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NARA 101, PART 2. Office of the Chief Operating Officer

ORGANIZATION

  1. Chief Operating Officer
    1. Provides leadership to ensure that NARA’s customer-facing lines of business carry out NARA’s mission and strategic plan.
    2. Ensures consistent application of policy across programs, and supports program managers in leading change, managing performance, and creating organizational capacity through feedback, coaching, operational reviews, external evaluations, and participation in program events.
    3. Leads integration of strategic initiatives into operational practices; consults with executives, staff directors, program managers, supervisors, and staff to develop and refine proposed policies and operating plans.
    4. Serves as the NARA Audit Resolution Officer.
    5. Serves as NARA’s Chief Risk Officer and co-chairs the Management Control Oversight Council with the Chief of Management and Administration.
    6. Serves as the Senior Agency Official for Records Management (OMB Directive, M-12-18 (Aug. 24, 2012).
    7. Serves as the Senior Agency Official for NARA’s Insider Threat Program, ensuring that NARA maintains effective controls against insider threats analyzing information from multiple sources, identifying potential insider threat concerns, and conducting appropriate inquiries, all while ensuring protections for employee privacy and civil liberties.
    8. Serves as NARA’s Tribal Liaison and is the official with principal responsibility for NARA’s implementation of Executive Order 13175, "Consultation and Coordination with Indian Tribal Governments.”
    9. Ensures that the “open NARA” principle of seeking input and participation from stakeholders and customers is actively pursued, and that the input is considered in making decisions.
    10. Ensures transparency in communications from operations to external customers, and among staff and managers throughout the agency’s lifecycle, customer, and business services operations.
    11. Advises the Archivist and other senior NARA officials on programs, policies, operational strategies, resource needs, and fiscal, technical, and programmatic directions crucial to the effective performance of NARA’s service operations and to improving NARA’s customer-serving operational capacity.
    12. Participates on Executive Leadership Team and the Management Team.
  2. Corporate Records Management
    1. Responsible for developing, implementing, and leading an agency-wide corporate records management program that ensures the adequate and proper documentation of NARA’s operations pursuant in accordance with federal law and OMB Directive M-12-18, Managing Government Records, and the economical and efficient management of the resulting federal records.
    2. Establishes recordkeeping objectives, responsibilities, and authorities for NARA’s corporate records. Provides implementing policies and guidance as required by the OMB, NARA, General Services Administration, or other agencies.
    3. Ensures that recordkeeping requirements are implemented throughout the lifecycle of NARA’s records and information using a network of Records and Information Management officers (RIM Network) assigned within each program area.
    4. In collaboration with Information Services, ensures that necessary and legally sufficient records management and archival functionalities are built into NARA’s electronic information systems.
    5. Works with the Chief Human Capital Officer to develop and provide training to all agency personnel on their records management responsibilities, including identification of Federal records, in all formats and media.
    6. Serves as the agency’s Records Officer, with responsibility for promulgating and, in coordination with the Chief Records Officer, obtaining the Archivist’s approval for all necessary records schedules for records created and received by NARA.
    7. Coordinates records disposition activities including transfer of permanent operational records into the holdings of the National Archives and the destruction of operational records stored in all Federal records centers.
    8. Institutes controls ensuring that all records, regardless of format or medium, are properly organized, classified or indexed, and described, and made available for use by appropriate agency staff.
    9. Provides consulting services to support the lifecycle of NARA’s records and information.
    10. Manages the NARA vital records program.
    11. Collaborates with the Chief Records Officer, the Applied Research Office in Information Services, and others to identify innovative ways to manage records and information; test promising records management technologies and practices; and support the development of NARA’s external records management policies and guidance.
    12. Provides technical consulting to records-related projects such as imaging and document conversion.
    13. Coordinates the use of technology to assist in litigation/FOIA support and other records-related business needs.
    14. Operates and administers technologies used to manage and store corporate records and information.
    15. Conducts formal evaluations and continuous improvement assessments regarding the effectiveness and efficiency of the corporate records management program, and the level of compliance with Federal regulations.
    16. Develops solutions to persistent and evolving records and information management challenges.
    17. Openly shares best practices with the records management community derived from practices found within NARA.
  3. Accountability
    Coordinates audit resolution and monitors progress on corrective action plans. Serves as point of contact for GAO and other auditing entities to provide coordinated NARA response. Serves as the NARA Audit Follow-up Official.
  4. Holdings Protection and Recovery
    1. Develops and administers policies, procedures, and training to reduce the loss of and aid in the recovery of holdings while ensuring ready access for research by all stakeholders.
    2. Administers the comprehensive holding protection program, which includes utilizing associated technological applications, training NARA staff, advising other NARA offices concerning the security of materials on exhibit or loan, and conducting announced and un-announced verification and compliance inspections to mitigate internal and external threats by improving oversight, surveillance and access controls to holdings agency-wide.
    3. Administers the archival recovery program, including identifying potential alienated NARA holdings and applying archival knowledge to assist in determining whether items are alienated from NARA holdings, potentially subject to replevin, or not deemed to warrant recovery or action on the part of NARA. Searches for alienated/stolen records, works with individuals or entities contacting NARA about possible lost or stolen documents, and supports programs that protect the integrity and security of NARA holdings.

DELEGATION OF AUTHORITIES
Authorities Delegated to Chief Operating Officer (COO) by the Archivist

  1. Corporate Records Management
    1. Exercise responsibility for ensuring that NARA officials and employees make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of NARA and are designed to furnish the information necessary to protect the legal and financial rights of the U.S. Government and of persons directly affected by NARA's activities (44 U.S.C. 3101). This authority is redelegated to Corporate Records Management (CM).
    2. Establish and maintain an active, continuing program for the economic and efficient management of NARA's records (44 U.S.C. 3102). This authority is redelegated to Corporate Records Management (CM).
    3. Transfer NARA [corporate/operational] records to Federal Records Centers in accordance with established records schedules. This authority is redelegated to Corporate Records Management.
    4. Certify to the Archivist by preparing and signing Standard Form 115, Request for Records Disposition Authority, that the listed records will cease to have sufficient administrative value to warrant further retention after the time periods specified (44 U.S.C. 3303). This authority is redelegated to Corporate Records Management (CM).
    5. Obtain approval of the Comptroller General of the United States for the disposal of certain classes of records relating to claims and demands by or against the U.S. Government or to accounts in which the U.S. Government is concerned (44 U.S.C. 3309). This authority is redelegated to Corporate Records Management (CM).
    6. Oversee disposal clearance for NARA [corporate/operational] records in FRCs (36 CFR 1233.20). This authority is redelegated to Corporate Records Management
  2. General Administration
    1. Accept and use voluntary and uncompensated personal services for NARA (44 U.S.C. 2105(d)). This authority is redelegated to unit heads.
    2. Solicit and accept gifts or bequests of money, securities, or other personal property, for the benefit of, or in connection with, the national archival and records activities administered by NARA (44 U.S.C. 2305). This authority is retained by the COO and may not be redelegated. This delegation of authority is subject to the requirements of NARA 404, National Archives Gift Fund.
    3. Accept orders from other departments, establishments, bureaus, or offices for materials, supplies, equipment, work, or service pursuant to the Economy Act (31 U.S.C. 1535). This authority is retained by the COO and may not be redelegated.
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