NARA 101, NARA Organization and Delegation of Authority

Transmittal Memo

DATE: January 28, 2013

TO: Executives, Staff Directors, NHPRC, and OIG

SUBJECT: NARA 101, NARA Organization and Delegation of Authority

Purpose: This directive designates the approved organizational units within the National Archives and Records Administration (NARA), the functional statements of these units, the delegation of program authorities from the Archivist of the United States to NARA officials, the official process units must use to make changes to these functional statements and delegations, and the designated officials to perform in the absence of the Archivist (succession to command).

Background/significant changes:

• Establishes the Office of Innovation;
• Restructures Information Services into a comprehensive IT organization;
• Places the acquisitions function under the Chief Financial Officer in Business Support Services to better align our financial and procurement services;
• Makes minor adjustments to the Business Support Services internal structure;
• Standardizes the wording used in parts 1-11 to refer to changes made by the Transformation;
• Assigns part 5 of this directive to the new Office of Innovation; parts formerly numbered 5-10 are renumbered 6-11;
• Revises NARA’s Delegations of Authority and Orders of Succession during a National Security Emergency, and succession to command;
• Revises the process units must use to make changes to their functional statements and delegations; and
• Includes a new Appendix D which reflects critical positions in the agency.

Available forms: None.

Cancelled policy: All previous versions, parts and appendices of NARA 101.

Cancelled forms: None.

Effective date: October 1, 2012.

Contact information: For information about this directive, please contact Stuart Culy, Strategy Division, Room 4100 (Archives II), by e-mail, or on (301) 837-0970.

DAVID S. FERRIERO
Archivist of the United States

Attachments

NARA 101
October 1, 2012

SUBJECT: NARA Organization and Delegation of Authority

101.1 Purpose of this directive.

This directive designates the approved organizational units within the National Archives and Records Administration (NARA), the functional statements of these units, the delegation of program authorities from the Archivist of the United States to NARA officials, the official process units must use to make changes to these functional statements and delegations, and the designated officials to perform in the absence of the Archivist (succession to command).

101.2 Definitions.

For the purpose of this directive and when referring to organizational units in other directives or internal correspondence, the following terms mean:

1. Executives - the executives for the offices identified in parts 1 - 11.
2. Staff directors - the directors of the Congressional Affairs Staff (NCON), Equal Employment Opportunity Office (NEEO), and the General Counsel (NGC).
3. NHPRC - the Executive Director of the National Historical Publications and Records Commission.
4. OIG - the head of the Office of the Inspector General.

101.3 Organization of this directive.

This directive establishes agency-wide policy for NARA's organization and delegation of authority, including limits on delegated authority, procedures for changing the organization, and succession of command. The agency’s organizational structure and delegations pertaining to units within that structure are specifically described in 11 parts. Part 1 describes the organization of the Office of the Archivist of the United States, authorities retained by the Archivist, and authorities delegated to officials within the Office of the Archivist. Parts 2 through 11 describe the organization and functions of the NARA program offices, including all authorized units within those offices. Each part also includes the authorities delegated to an office.

101.4 Succession to command.

1. Pursuant to the Presidential Memorandum of May 21, 2012, Designation of Officers of the National Archives and Records Administration To Act as Archivist of the United States, during any period in which the Archivist of the United States (Archivist) has died, resigned, or otherwise become unable to perform the functions and duties of the office, the Deputy Archivist shall act as Archivist.
2. Subject to the exceptions below and the limitations set forth in the Federal Vacancies Reform Act of 1998, as amended, 5 U.S.C. 3345 et seq., the following officials of the National Archives and Records Administration, in the order listed, shall act as and perform the functions and duties of the office of the Archivist of the United States (Archivist), during any period in which the Archivist and the Deputy Archivist have died, resigned, or otherwise become unable to perform the functions and duties of the Office of the Archivist:
   1. Chief Operating Officer;
   2. Executive for Agency Services;
   3. Director, National Personnel Records Center; and
   4. Director, George W. Bush Library.
3. Exceptions.
   1. No individual who is serving in an office listed in section 101.4b (1)-(4) of this directive in an acting capacity shall, by virtue of so serving, act as Archivist.
   2. No individual listed in section 101.4b (1)-(4) of this directive shall act as Archivist unless that individual is otherwise eligible to so serve under the Federal Vacancies Reform Act of 1998, as amended.
   3. Notwithstanding the provision of the Presidential Memorandum of May 21, 2012, the President retains discretion, to the extent permitted by law, to depart from the memorandum in designating an acting Archivist.
4. In the event that the President declares a national emergency and the Archivist is unable for any reason to perform the duties of the office, this line of succession also applies (see paragraph 101.6).

101.5 Delegation of authority.

1. Basic policy. To the fullest extent practicable, the Archivist delegates authority to officials with operational responsibility.
2. Authority of the Archivist. All authority lodged in NARA is vested in the Archivist of the United States. The Archivist may delegate and authorize successive redelegations of any of the functions assigned to him or her, except as otherwise expressly provided by law. A delegation of functions by the Archivist shall not relieve the Archivist of responsibility for the administration of such functions. Authorized redelegations to subordinate officials shall not relieve executives, staff directors, or the NHPRC of the responsibility for the administration of the subject functions.
3. Observance of laws, regulations, program directives, and instructions. Any authority delegated to an executive, staff director, or the NHPRC is exercised under such applicable laws and regulations and such program directives and instructions as are in effect on the date of the exercise of this authority. In the event of an emergency and their inability to communicate with the Archivist, these officials are authorized, without prior approval of the Archivist, to take actions necessary for the safety and protection of persons and property under NARA control.
4. Delegation and redelegation.
   1. The Archivist delegates authorities directly to executives, staff directors, or the NHPRC. Each of these officials in turn redelegates authority to officials reporting to them except where specifically precluded by the delegation from the Archivist, and each establishes such limitations on the exercise of delegated authority as may be determined to be in the best interest of NARA.
   2. Unless stated otherwise, when an authority is redelegated by an executive, staff director, or the NHPRC, the redelegating official is not listed as a recipient of the initial redelegation of the authority. Only the official exercising the redelegated authority is listed in the "delegation of authorities" portion of parts 1 through 11.
   3. Subordinate units may delegate authority to a division director or equivalent, unless stated otherwise.
   4. Any person authorized to act for an officer or employee delegated authority hereunder, may exercise the authority of the absent or disabled officer or employee, subject to the limitations that may be imposed.
5. Restrictions. Authorities delegated by the Archivist in this directive may be redelegated within specified limitations. All other authority that may be exercised by the Archivist is retained by the Archivist, including functions and powers not specifically retained in Part 1 of this directive. Informal communications are not to be used for the dissemination of delegations of authority or limitations thereto. This does not, however, preclude managers from placing temporary limitations on subordinates when directed by management judgment.

101.6 Delegations of Authority and Orders of Succession during a National Security Emergency.

In accordance with the Federal Emergency Management Agency’s Federal Continuity Directive (FCD) 1, this section establishes emergency “alter ego” delegations of authority and orders of succession for key positions for use during a national security emergency.

1. The emergency delegations of authority and orders of succession in this section are effective during a national security emergency and other emergency situations when normal operations are disrupted. These delegations of authority and orders of succession take effect when normal channels of directions are disrupted and terminate when these channels have resumed. To the extent circumstances permit, officials must document the beginning and end dates of their authority under this section.
2. Officials succeeding to an office under an order of succession serve in an acting capacity and are authorized to exercise all of the functions and duties of the position, including the authority to redelegate.
3. Officials exercising the authorities of a position under an “alter ego” delegation of authority are authorized to exercise all of the functions and duties of the position, including the authority to redelegate. But the official is not the “acting” officeholder; he or she must act in their own capacity. For example, a Deputy Executive authorized to exercise the Executive’s authorities under an “alter ego” can exercise all of the Executive’s authorities, but is not designated the “acting” Executive. The Deputy Executive exercises the Executive’s authorities in his or her own capacity as a Deputy Executive, not as acting Executive.
4. The Archivist. If the Archivist is not available, the Deputy Archivist serves as Acting Archivist. If both the Archivist and the Deputy Archivist are unavailable, the Acting Archivist is determined through the order of succession in paragraphs 101.4b and c.
5. The Deputy Archivist. The positions listed in paragraphs 101.4b are delegated “alter ego” authority for the Deputy Archivist in a national security emergency.
6. The Archivist has determined that key positions listed in Appendix D, Delegation of Authority and Succession for Key Positions in NARA, to be critical to agency operations in any given emergency situation, such as a continuity event. These positions are an essential part of NARA’s continuity plans and should be three positions deep and geographically dispersed where feasible.

101.7 Changes to NARA organization and delegation of authority.

1. The Archivist must approve changes to NARA organization and delegation of authority (see par. 101.8). The Strategy Division (SP) prepares a transmittal memo along with the revised part(s).
2. Intended permanent or temporary changes are announced in a NARA notice. The notice should outline the intended changes and set a date for effecting the change. A temporary change is not incorporated into NARA 101.

101.8 Procedures for proposing changes to the NARA organization.

The Executive, Staff Director, NHPRC, or OIG must prepare a proposal. For major reorganizations, this process must begin several months before a proposed effective date.

1. Step 1 – Submit to the Archivist (through SP):
   1. A summary description of the proposed change with as-is and proposed to-be organization charts as appropriate; and
   2. Identification of the problems addressed by the proposal, an analysis of alternative organizational and managerial solutions, a discussion of how the proposal conforms to NARA's Strategic Plan and a summary of anticipated benefits of the proposed change.
2. Step 2 – Upon the Archivist's preliminary approval of the proposal, SP informs the Talent Management Division (HT) and the Budget and Finance Branch (BCB) of the impending reorganization, and notifies the requesting office who must compile the following for coordination by SP:
   1. Proposed functional statements and changes to delegations of authority;
   2. The current and proposed staffing patterns, including the number of positions by grade, series, title, and salary for each affected organizational element before and after the proposed change, and any new position descriptions. Staffing spreadsheets will be provided by SP and HT to supplement this effort. If staff additions are contemplated, indicate why they are needed. If there are any staff reductions, include a plan to show how this will be accomplished;
   3. Proposed organization names and organization symbols;
   4. Proposed relocation of employees, if applicable;
   5. Office, work, and storage space required;
   6. Equipment to be moved, acquired, or excessed;
   7. Office automation and telephone changes;
   8. An estimate of dollars and FTEs to be transferred from existing organizations, and dollar and FTE estimates for the following fiscal year;
   9. A list of policies (including regulations) required to be changed;
   10. Any anticipated areas of concern for labor relations. Human Capital consults with labor organizations, as necessary, with SP and the impacted offices involvement;
   11. Anticipated effect on the public;
   12. Anticipated impact on equal employment opportunity (EEO); and
   13. A proposed timetable for accomplishment.
3. Step 3 – Office of General Counsel (NGC) reviews for legal sufficiency.
4. Step 4 – SP prepares the final documents for the Archivist’s signature.

101.9 Implementation phase.

Upon approval of an organizational change, the head of the reorganizing office ensures that all implementation goals are met. 

101.10 Publication in the Federal Register.

If SP and NGC jointly determine changes to NARA 101 warrant publication in the Federal Register, SP coordinates the publication. 

101.11 How are records created by this directive maintained under the NARA records schedule?

Reorganization case files are maintained by the Strategy Division (SP) in the directives case files, file no. 104-1.