RESPONSIBILITIES AND PROCEDURES FOR DELEGATING AUTHORITY
IHS Chapter 8-101
General Administration Manual
IHS Transmittal 92.01 (07/02/92)
Subject: RESPONSIBILITIES AND PROCEDURES FOR DELEGATING AUTHORITY
8-101-10 Legal Importance of Delegations
8-101-20 Legal Basis for Delegating Authority
8-101-40 Policies on Delegating Authority
8-101-50 Documentation to Request Delegations of Authority
8-101-60 Documentation for Delegations of Authority Within the IHS
8-101-70 Processing of Documentation
8-101-80 Actions by the Delegating Official
8-101-90 Publication of Delegations
8-101-100 Technical Assistance
Exhibit 8-101-A DDCO Listing for IHS Associate Director Offices
Exhibit 8-101-B DDCO Listing for IHS Area Offices
Exhibit 8-101-C Sample Enabling Document for Delegation of Authority
Exhibit 8-101-D Sample IHS Delegations of Authority
Exhibit 8-101-E Sample Transmittal Memorandum for Delegation of Authority
Exhibit 8-101-F Sample Transmittal Notice for Delegation of Authority
Exhibit 8-101-G IHS Headquarters Delegation of Authority Format
Exhibit 8-101-H IHS Area Delegations of Authority Format
- This chapter establishes policy and procedures for preparing and processing delegations of authority within the Indian Health Service (IHS).
- This chapter supersedes all previously issued IHS instructions pertaining to the preparation and processing of delegations and is to be used in conjunction with the Department of Health and Human Services (HHS) Chapter 8-100 and Public Health Service (PHS) Chapter 8-101.
8-101-10 LEGAL IMPORTANCE OF DELEGATIONS
- Delegations of authority are vital to the operation of IHS. Delegations allow the Director, IHS, to delegate to IHS officials the authority necessary to carry out the activities of the Agency. Carrying out these activities without the authority could have a serious adverse impact on the Agency and the officials who act without legal authority.
- It is essential that each official of this Agency has written evidence of legal authority before taking any action to expend or use Government funds or resources. An official who approves the expenditure of funds without proper legal authority could be held liable for the funds.
8-101-20 LEGAL BASIS FOR DELEGATING AUTHORITY
- Authority of the Director, IHS
The IHS derives authority to delegate through the Reorganization Order of January 4, 1988, or subsequent delegations from the Assistant Secretary for Health (ASH), PHS, for program delegations, and the Director, Office of Management (OM), PHS, for administrative and financial delegations.
- Authority to Delegate and Redelegate
- The Director, IHS, or any other IHS official may delegate and authorize redelegation of any authority conferred on him/her by law or delegation, unless the law or the delegation prohibits such redelegation.
- Any IHS official or employee who delegates or redelegates authority may continue to exercise the authority, since the act of delegating does not divest the delegating official of the authority.
- Rescinding Authority
Authority that is delegated to an official may be retained at that level by the official.
- Staff Responsibilities
The Office of the Director, IHS, the IHS Associate Directors, and the Area Directors are responsible for identifying the need for legal authority to administer their programs and activities. The Manual Issuance and Delegations Control Branch (MIDCB), Division of Management Policy (DMP), Office of Administration and Management (OAM) is responsible for (1) developing requests for delegations of program authorities and (2) submitting the delegation packages, through the Director, IHS, for approval, and forwarding the delegation packages to the Secretary through PHS when appropriate, as prescribed herein. In those instances where the authority has broad delegation impact throughout the IHS, MIDCB is responsible for developing the delegation package requesting the authority from the Secretary, HHS.
The IHS officials are responsible for identifying the need for delegating authority within their organizations and to subordinate organizations; for delegating authority to subordinates and making certain that these officials understand the substance and limits of their authorities; and for periodically reviewing current delegations within the organization to determine their continued need.
- Headquarters Delegation Control System
- The Chief, MIDCB, is the Directives Delegations Control Officer (DDCO) for the IHS. The Agency DDCO, under the direction of the Director, DMP, assumes the following responsibilities:
- Develops IHS policies and procedures regarding the delegation of authority.
- Provides IHS instructions on delegations that are adopted.
- Directs the provision of technical assistance on the use and application of delegations of authority.
- Serves as the principal staff advisor within IHS on delegations of authority.
- Administers the IHS Delegations Control System.
- Coordinates the review of proposed delegations submitted for approval by the Secretary, the ASH, or the Director, IHS.
- Maintains a master listing and the official files of all delegations made by the Director, IHS.
- Each IHS Associate Director shall designate a DDCO and alternate for their respective organization in writing. Each Associate Director's DDCO assumes the following responsibilities:
- Serves as the organization's principal advisor on delegations of authority.
- Implements IHS policies and procedures on delegations of authority.
- Administers the organization's delegations of authority.
- Maintains a master listing and official files of all delegations made to and within the organization.
- See IHS Exhibit 8-101-A for a complete listing of principal DDCOs within the IHS Associate Director Offices.
- Area Delegation Control System
Each Area Director shall develop and maintain, within the guidelines of this chapter, a delegation control system for their organization that, at a minimum, provides for the following:
- Designation of an Area DDCO and an alternate DDCO.
- Effective review of each delegation before putting it into effect to ensure that it meets the criteria stated in this chapter.
- Prompt notification to all affected managers, supervisors, and other personnel of any changes in the authorities delegated to them.
- Effective means for keeping all delegations current and available, including but not limited to these actions:
- Prompt identification of the need to delegate authority.
- Filing of all delegations made to or within the organization with the organization's DDCO.
- Periodic review (at least annually) of existing delegations to determine if they are needed, up-to-date, and consistent with Department, PHS, and IHS policies.
- See IHS Exhibit 8-101-B for a complete listing of principal DDCOs within the IHS Area Offices.
8-100-40 POLICIES ON DELEGATING AUTHORITY
- Flow of Delegated Authority
- Program authorities are delegated by the ASH to the Director, IHS, for redelegation within IHS, as appropriate. Program delegations normally follow organizational lines except in cases where it is stated otherwise (i.e., laws, or the delegations from the ASH state who must exercise the authority).
- Administrative authorities are delegated by the ASH to the Director, OM, who delegates to the Director, IHS who in turn redelegates to the Director of Headquarters Opetations (DHO), IHS. Administrative and financial management delegations normally follow organizational lines, except in cases where the delegations from the Director, IHS, state otherwise.
- Personnel administrative authorities for IHS Headquarters East staff are delegated to the Director, Division of Personnel Management (OPM), IHS, by the Associate Director, OAM.
- Personnel administrative authorities for the personnel staffs within the Area Offices are delegated by the Assistant Secretary for Personnel Administration (ASPER) to the Regional Personnel Officers, who redelegates directly to the Area Directors.
- Authority of the Deputy Director
The Deputy Director, IHS, has the same authority as the Director only when acting in the Director's absence.
- Authority of the DHO
The DHO has all appropriate administrative and program authorities as delegated by the Director, IHS.
- Authority of the Associate Director, OAM
The Associate Director, OAM, as the Chief Administrative Officer in the IHS, has all the appropriate authorities as delegated by the DHO. The Associate Director, OAM, redelegates authority to all Associate Directors and others, as appropriate.
- Authority of the Associate Directors
The Associate Directors have appropriate administrative authorites as delegated by the Associate Director, OAM. The Associate Directors have appropriate program authorities as permitted by the Public Law or Executive Order.
- Authority of the Area Directors
The Area Directors have the appropriate administrative authorities as delegated by the DHO. The Area Directors have appropriate program authorities as permitted by the Public Law or Executive Order.
- Authority to Redelegate
Any delegated authority may be redelegated totally or partially unless the delegation document prohibits or restricts redelegation. All delegation documents shall state whether an authority can or cannot be redelegated.
The IHS Associate Directors and Area Directors should redelegate both program and administrative authorities to the appropriate operating level, when permitted. Redelegations should follow the organization's chain of command.
- Delegating Authority to Positions
Authority is generally delegated from official position to official position. Therefore, IHS authorities are delegated to official titles (e.g. Associate Director, Office of Health Programs). On rare occasions, an administrative or financial management authority may require delegation to a specific individual within an organization.
If an official holds two titles, he/she receives or delegates authority as the incumbent of the position to which the delegation applies. For example, one person may function as both the Associate Director, OAM, and the Director, OMP. However, when he/she receives or delegates authority in his/her capacity as Director, OMP, only the title Director, OMP, is used in the memorandum; the title Associate Director, OAM, is omitted.
- Delegations to be in Writing
All delegations shall be made in writing. See General Administration Manual (GAM) IHS Chapter 8-101-60 for format and content of delegation documents.
- Effective Date of Delegations
Each delegation becomes effective upon the date of signature. No delegation can be made retroactive. However, actions taken prior to the effective date may be ratified by the Director, IHS, or appropriate delegating official with the approval of the Office of General Counsel (OGC).
- Review by the OGC
All program delegations within IHS will be cleared with the OGC. If the delegation is for the signature of the Director, IHS, the ASH, or the Secretary, formal clearances shall be obtained by MIDCB staff before submission to the Executive Secretariat/IHS, or the Director, IHS. The initiator of the delegation may obtain advice and guidance from the OGC during the developmental stage.
- Effect of Reorganization on Delegations
When an IHS organization is reorganized, delegations to and within the IHS organization should be continued. Therefore, a statement ("in them or their successors") should be added within the reorganization order to continue existing authorities. See GAM HHS Chapter 8-60 and GAM HHS Chapter 8-60-50H.
- Authority of Acting Official
Authority is generally delegated from official position to official position. Therefore, an acting official will delegate an authority in the full capacity of the position and omit the word "Acting" in the "From" line of the instrument of delegation. The word "acting" is added to the title below the official's signature. Similarly, the word "acting" is omitted in the "To" line of the instrument of delegation. Any officially designated individual in an acting capacity has the full authority of that official position.
- Advance Consultation
During the planning stage of a new, amended, or canceled delegation, consultation is advised. The IHS officials should consult with MIDCB staff, OGC, or any other IHS staff affected directly or indirectly by the delegation.
- Effect of Absence of Funds on Program Delegations
The absence of funds appropriated by the Congress for a program for any fiscal year will not be used as grounds to avoid or defer requesting delegations of authority pertaining to that program by the responsible IHS office.
- Effect of Subsequent Legislation
Program authorities are delegated on an "in futuro" basis and should read, for example: "Indian Self-Determination and Education Assistance Act, as amended." The term "as amended" encompasses subsequent legislation and automatically conveys any additional authorities contained therein. Delegations of authority for public laws that do not amend the PHS Act or the Social Security Act, so called free-standing public laws, should state "as amended hereafter."
8-101-50 DOCUMENTATION TO REQUEST DELEGATIONS OF AUTHORITY
- Request for a Delegation of Authority from the Secretary to ASH, with Redelegation to the Director, IHS.
For information on this type of documentation, see GAM PHS Chapter 8-101-20.
- A Request for a Delegation of Authority from PHS to the Director, IHS (Without Requiring a Delegation from the Secretary).
For information on this type of documentation, see GAM PHS Chapter 8-101-20.
8-101-60 DOCUMENTATION FOR DELEGATIONS OF AUTHORITY WITHIN THE IHS
- Administrative Authorities.
- The Director, IHS, delegates all administrative authorities to the DHO.
- The DHO delegates the authorities to the Associate Director, OAM, and to the Area Directors.
- The Associate Director, OAM, redelegates authorities to IHS Associate Directors, if appropriate, for further redelegation to other appropriate Headquarters levels.
- The Area Directors redelegate their authorities to the Executive Officer, if appropriate, for redelegation to their Office Directors and/or Service Unit Directors.
- Personnel Authorities.
- Personnel administrative authorities are legal and regulatory authorities exercised by Servicing Personnel Offices. These authorities include the appointment, promotion, demotion, or separation of personnel; classification of positions; fixing of pay, or authorization of training.
- Personnel administrative authorities for IHS Headquarters East staff are delegated to the Director, DPM, OAM, IHS, by the Associate Director, OAM.
- Personnel administrative authorities for the personnel staffs within the Area Offices are delegated by ASPER to the Regional Personnel Officers, who redelegates directly to the Area Directors.
- Personnel management authorities are authorities exercised by line managers, such as the selection of personnel, acceptable level of competence determination, employee appraisal, quality increases, performance awards, adverse actions, leave, overtime, or approval of training.
- Personnel management authorities are delegated to the Associate Directors by the Associate Director, OAM, as the agency's Chief Administrative Officer, for further redelegation, as appropriate, to line managers.
- Personnel management authorities are delegated to the Area Directors by the DHO.
- Documentation Requirements for Administrative Delegations of Authority.
- An enabling document establishes the need for an IHS delegation of an administrative authority. An Administrative Delegation of Authority is received in the MIDCB from the PHS. See IHS Exhibit 8-101-C.
- A draft delegation of authority is developed by the MIDCB and the appropriate organization and function (O&F) staff. The final delegation of authority contains the following information:
- Authority(ies) delegated and to whom;
- By whom the delegation is made;
- Authority to redelegate;
- Restrictions and limitations;
- Information and guidance;
- Any supersessions amendments, or cancellations of previous delegations; and
- Effective date of delegation.
See IHS Exhibit 8-101-D.
- A transmittal memorandum is prepared by MIDCB to transfer the signed delegation of authority to the officials receiving the authority. See IHS Exhibit 8-101-E.
- A transmittal notice is prepared by MIDCB to transmit the delegation of authority to all appropriate IHS officials for filing. See IHS Exhibit 8-101-F.
- The IHS Exhibit 8-101-G provides an example of the IHS Headquarters Delegations of Authority Format.
- The IHS Exhibit 8-101-H provides an example of the IHS Area Delegations of Authority Format.
8-101-70 PROCESSING DOCUMENTS
- Review Process
- Clearance with OGC. It is the responsibility of MIDCB to obtain clearance from OGC, as appropriate, on the delegation instruments to be signed by the Director or the DHO. This clearance will be indicated on the yellow file box copies of the delegation instruments.
- Clearance with the PHS or Appropriate IHS Office. It is the responsibility of MIDCB to obtain clearance from PHS or the IHS offices receiving portions of the authority or that are otherwise involved. Such clearance may be indicated by either a sign-off on the yellow file box copy of the transmittal memorandum or, if more expeditious, by the clearing office writing a note of concurrence, which must then be included in the package.
- MIDCB Review. The MIDCB reviews the package for accuracy and completeness and obtains necessary clearances, including clearance from the Associate Director, OAM, and the Director, IHS.
- Copy Requirements
The copy requirements for a delegation package containing a delegation from the Secretary to the ASH are the same as those contained in the HHS Communications Style Guidelines for other correspondence.
- Distribution and Depository
The Chief, MIDCB, as the Agency DDCO, maintains the legal depository for IHS delegations of authority. Therefore, MIDCB retains the original signed delegation of authority and furnishes a copy to each addressee.
8-101-80 ACTIONS BY THE DELEGATING OFFICIAL
- The delegating official, upon signature, is to return the original delegation (including the file copies) to the appropriate DDCO for distribution and maintenance of the complete official file.
- The Agency DDCO will, for the Director and the Office of the Director:
- notify all the delegates of the delegation;
- prepare the printing inquisition for administrative and financial delegations in order for them to be published in the manual system;
- maintain the official files for all delegations that require the Director's, ASH's, or the Secretary's approval. These files will include the signed copy and a yellow-box copy reflecting the clearances.
- The Area/Headquarters DDCOs will, for their respective areas of authority:
- notify all delegates of the delegation;
- maintain the official files for all delegations pertaining to their organizations. These files will include the signed copy and a yellow-box copy reflecting the clearances; and
- send a copy of all program redelegations within their organization to the MIDCB.
8-101-90 PUBLICATION OF DELEGATIONS
- Delegations Affecting the Public
Whenever an IHS official makes a delegation or redelegation of authority that may have a significant impact on the public, the appropriate DDCO will assist the delegating official in preparing a Federal Register notice for the signature of the Director, IHS. (It should be noted that all program delegations prepared for the signature of the Director, IHS, will have a Federal Register notice attached for the Director to sign, as a part of the delegation package.)
- Issuing Delegations of Program Authorities
- Issuing Delegations of Administrative and Financial Authorities
All administrative and financial management authorities signed by the Director, IHS, will be published in the Delegations of Authority Binders with an index of all delegations of authority located in the Indian Health Manual, Part 1, Chapter 5.
8-101-100 TECHNICAL ASSISTANCE
Technical assistance on delegating authorities and applying the provisions of this chapter may be obtained from the MIDCB staff.
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