*•
UnitetfStsfew-
Envirenmental Protection
Agency
Administration
and Resources
Management
EPA202-F-94-002
February 1994
Delegations of
Authority—
What Managers Need
to Know
En v i r o n f n e nt.a1 P ro tect i on A g e ncy
/ / w t/' s t .,! a c ks o fi E; o u 1 e v a r cl
b Office of Administration
inagement and Organization Division
I DelegationI Floors . . . . '7*2
Common Management
Concerns 2
r f
This Guide is designed to give you an
overview of EPA's delegations of
authority and to discuss your
responsibility in managing delegated
programs. A delegation of authority is
defined as the Administrator's charge to
senior Headquarters and Regional
managers to carry out statutory and
regulatory responsibilities on her behalf.
I. Background—
Delegated Authority
There are 555+ delegations in the
Agency's Delegations Manual.
Delegations are important for two
reasons. First, they are a legal record-
documenting which Agency officials
have authority to make decisions for the
Administrator. Second, delegations are
a management tool that establishes
operating conditions among
organizations and individuals as they
carry out authorities.
Figure 1 shows the distribution of 555+
delegations throughout the Agency.
Approximately 40% are held in
Headquarters, 29% in the Regions and
31% shared by Headquarters and the
Regions. Figure 1 also shows that EPA
is a fairly decentralized Agency, with
60% of its delegations going either solely
or on a shared basis to the Regions.
EPA's delegations tend to fall into one of
several categories, such as enforcement
actions, administrative decision.!?, state
environmental .agreements/approvals
Distribution of EPA's Delegation:
Shared
Headquarters
& Regions
172-(31%)
FIGURE 1
Based on data as of 3/10/93
certification/permits/registration
decisions, and awarding grants and
cooperative agreements. Figure 2
shows that the largest number of
delegations result from the Clean Water
Act and the Clean Air Act.
II. Delegated Authority vs.
General Authority
It's important to note that a delegation
•of authority is not needed for all work
that is performed by an office. Delegated
authority generally refers to
decision-making that flows directly from
legislation or regulation. General
authority stems from activities that an
office does as a result of its functions,
and can be found in functional and
mission statements, operating guidance,
and strategic plans.
Recycled/Recyclable
Printed with Soy/Canola Ink on paper that
contains at least 50% recycled fiber
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Delegations Sorted By Act
(Total Delegations - 555)
3NON - S
10 20 30 40 50 60 70 80 90 100
1Other Acts: Includes delegations from acts with fewer than 15 delegations.
Acts included are: PPA, EPCRA, IRAA, MPRSA, NCA, & OAPCA.
2Multi-Act: Delegations use multiple statutory authorities and cannot be
attributed to any one specific act.
3Non-Statutory: Includes delegations that are not based on legislation (i.e.,
General/Administrative delegations based on management decision-making
protocol, Executive Orders, Federal Register Notices, etc.).
FIGURE 2
To put it simply, a general authority is an activity that an office
performs—such as the analysis and work that is involved in
reviewing a permit. A delegated authority is an accountable
decision-making responsibility—such as approving or
denying a permit.
ill. Delegation Floors
n action can be redelegated to various levels in an
^organization, such as the Division Director or Branch
Chief level. A delegation floor is the lowest level in an
organization to which an actioncan be redelegated. This floor
is written into the delegation as a specific authorized level.
Delegatees may choose to have actions actually carried out
at a level above the authorized floor, but not below it.
As of March, I993, the majority of delegations are authorized
to be redelegated to the Division Director level (43%),
followed by 25% with no floor identified, and 15% that cannot
be redelegated. {In light of the Inspector General's concern
about delegation floors, the Agency now identifies a floor on
all delegations as they are written or revised.) Figure 3
indicates that Division Directors are the critical action and
decision-making level for the majority of delegated Agency
authorities.
iV. Common Management Concerns
As managers, delegated authorities are an
important part of the way you manage your
organization and your programs. In addition to the
technical and programmatic issues inherent in a
delegation, you also need to be aware of some
common management concerns.
(1) There Is considerable disagreement about
how to determine the lowest appropriate level for
redelegatlon In a highly decentralized
decision-making management structure.
— In EPA a significant amount of discretion and
autonomy is held in the Regional offices. It is
crucial to decide how much authority you wish to
delegate to the Regions.
— The level of delegation sometimes receives
Congressional interest. In general, Congress
prefers to keep decisions and accountability at
high levels in the Agency to ensure effective
oversight.
— In contrast, recent AA/RA Forums, the National
Performance Review, and individual Regions
have raised issues suggesting a need for
additional employee empowerment and
autonomy in making decisions under delegated
authority.
These tensions are symptomatic of the pull and
tug in a centralized vs. decentralized
management structure and are important for you
to keep in mind as you make your delegation
decisions.
Delegations Sorted By Floor'
(ToUOetogatianf - 555)
Division Director
0 50 100. 150 200 "250
1Floor= Lowest level to which a delegation can be redelegated, e.g.,
Branch Chief, Division Director.
^Others Includes delegations with floors identified as On-Site
Coordinators, National Program Managers, Senior Budget Officers,
or Human Resources Officers.
FIGURES
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EPA's delegation system is based on fivescore prfndptes and'
(1) Act for the Administrator — Generally the Administrator only
delegates to one or more senior officials reporting directly to her to
act on her behalf. This means the AA/RAs, General Counsel, and
Associate Administrators.
(2) Right to Exercise or Withdraw—The Administrator and other
delegatees always retain the right to exercise or withdraw a
delegated authority at any time.
(3) Allocate Authority — Delegations allocate authority between
the Regions and Headquarters, as well as among Headquarters
Offices. As a way of deciding who should hold what authority, issues
manly affecting Regional or field offices are delegated to Regional
Administrators, and issues that are multi-regional or of national
significance generally remain with the Administrator or are
delegated to senior officials at Headquarters.
(4) Authority at Lowest Level —When deciding to delegate
authorities, consider the following:
— Review enabling legislation—sometimes it dictates the level of
decision-making authority.
— Delegate an action to the lowest level that Is appropriate for
efficiency and effectiveness. , „
— Decide whether or not to redetegate autr«ir4% tower fevete
based on areas of responsibility, the staffs technical expertise,
and political judgment, then delegate as dosa as possible to
where the action takes place. >
— Determine if an action has a high degree of importance and
visibility and, if so. retain authority at an appropriate level
capable of performing the taak and making the appropriate
technical, political and policy judgments,
— Determine whether full or partial authorization Is needed based
on the above criteria; decide who should exercise what parts of
the authority; and what should not b& delegated, -f:
(5) Delegatees Are Accountable ~ Regardless of the fevel to
which an action is redelegated, you remain accountable for all
decisions or actions taken by your redetegateejs jn, exercising the
authority. In the following chain of ao»untaWlityfttJs very important
for you to understand the level at whfcfi delegate^ authorities are
or should be exercised.
(2) Determining the appropriate level to carry out an
authority is closely aligned with the notion of what
restrictions or limitations should be placed upon
officials as they carry out authorities. While limitations
are used most frequently with enforcement delegations,
the majority of EPA's delegations (approximately 64%)
have no restrictions limiting how officials exercise the
delegated authority (see Figure 4).
— Historically the Agency's Administrators, the recipients
of delegations, and the Management and Organization
Division (M&O) have strongly dlsconrag^ limitations
because they undermine the accountability and
effectiveness that a delegation is intended to provide.
Limitations result in "phantom"delegations, meaning that
the delegatee only appears to have the authority, but in
reality it is held by the office or person who must
ultimately approve the action.
Although delegatees want to receive authorities as
unencumbered as possible, National Program Managers
often want to maintain control or ensure national
consistency by placing limitations in delegations.
— Limitations, when necessary, establish operating
procedures between programs that must share
delegated authority.
— EPA officials who have been given a delegated authority
can only carry it out within the stated parameters of the
limitations included in the delegation.
(3) Timing is an Important Issue In managing your
delegations and programs. Delegation actions
submitted at the last minute force an expedited review
(or no review at all), limit input by essential parties
affected by the delegation, and create the potential for
vulnerability when the delegation Is exercised.
For example, regulations and permits are sometimes
approved and ready to be carried out before an office
realizes they do not have appropriate delegated authority
to approve the action.
Delegations Sorted By Limitations
(Total Detections - 555)
No Limitations
Notify
Consult
4 Concur
SO 100 150 200 So 300 350~
Number of Detections
1No specific restrictions on officials in exercising the delegated
authority.
Requires informing other official(s) named when exercising the
authority.
Requires discussing action with other official(s) named before
exercising the authority.
"Requires approval from other official(s) named before exercising the
authority. s
FIGURE 4
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anotner
%^f the *fe$gatfcfis with limitations;
Q Consult requires fhat an action official discuss the
action with another officiates) before exercising the
authority. Consult Is used in 46% of the delegations
,withjimftai:ons;
£3 ConeurJs the most rigid, of ail limitations, is used In
33% Qltfie delegation! Mriiijnitatlons, and requires
' th* '
oi another
Before deciding to exercise or withdraw a delegation
explore alternatives and discuss your concerns with the
reaelegatee. Withdrawing a delegated authority should
be used as a last resort after other alternatives are
exhausted.
Process
(4) A delegation of authority should be considered an
initial management step, not a final one. As a manager
you must also conirol delegations after they are
redelegsted. Several methods can be used:
— Consider crafting delegations to stipulate dollar levels or
types of actions as a way of control rather than delegating
broad authority or imposing unnecessary limitations. An
example are dollar limits used with some grant or
cooperative agreement delegations.
— Build a management infrastructure for your program
using a mix of applicable program guidance, plans,
evaluations, technical assistance, information sharing
systems, and other mechanisms. Don't rely solely on
delegations of authority for program management
directions.
— Systematically review your delegations on a regular
basis to make sure they are compatible with program
objectives. Periodic program evaluations and
conferences can heip the National Program Manager
assure that the entire program, including the exercise of
delegated authority, is solid and consistent.
- Revise delegations as understanding and experience
with the authority grows in the organization.
- Show confidence in the redelegation decisions you
make. Once decisions are redelegated, it is important to
demonstrate trust, integrity, and consistency toward
redelegatees and the actions they take under the
redelegations.
- Exercise a delegated authority yourself when it is
appropriate for policy or political reasons to do so; and
withdraw an authority if it is being improperly carried out.
Qefore the Administrator approves a delegation of
•-'authority, it is circulated through the Agency's "Green
Border" review process. This review process is the
mechanism for the Administrator to receive the advice and
counsel of her senior managers and to be sure that all legal
or operational issues have been raised before she makes her
decision. Green Border is also an Agencywide
consensus-building process, and is managed by the
Management and Organization Division (M&O) in the Office
of Administration and Resources Management. Your staff
has more detailed information about the Green Border review
process.
VI. Conclusion
Qelegations of authority are management tools that:
(1) Ease the burden of obligations for which the Administrator
is responsible by giving authority to senior managers to carry
out actions on her behalf. By delegating these
responsibilities to EPA senior officials, the Administrator has
more time to address other pressing issues affecting the
Agency; and
(2) Provide a legal record of Agency officials who carry out
authority on behalf of the Administrator. This becomes very
important when EPA actions are challenged in court.
If you are interested in learning about specific delegations in
your program, please consult the M&O Management Analyst
for your organization ((202) 260-5000) who will be happy to
assist you.
How EPA Gets Its
Delegated Authority
Adm I n J sxrai'or
12th Roo,
LegaI Record
Management Documant
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