NPRC 1804.1J
August 15, 2001

SUBJECT: Signature authority, Center correspondence

1.  Purpose.  This memorandum provides signature authority guidelines for the various categories of Center correspondence.

2.  Cancellation.  NPRC 1804.1I is canceled.

3.  Reason for revision.  The memorandum is revised to:

      a.  Authorize the dispatching of completed correspondence that allows core managers and their assistants (Page) to sign authentication certificates (NA Form 13040 series) for all branches of service;

      b.  Reflect restructuring and changes in the names and correspondence symbols of operating elements.

4.  Applicability.  This memorandum is applicable to all NPRC employees who prepare and/or sign Center correspondence.

5.  Delegation of authority.  Authority to sign and release other than routine correspondence is delegated as indicated in app. A.  Primary signer and the alternate are shown in columns A and B, respectively. Authority to sign routine correspondence for a core manager/branch chief is set forth in app. B.

6.  Authenticating correspondence.

      a.  Composed correspondence.  Composed correspondence is prepared on the appropriate formal or informal letterhead stationery.  Most often the name and position title of the person indicated in column A of app. A are typed in the signature block.  Either the person listed in column A signs her/his own name or the alternate shown in column B signs and writes "for" to the left of the position title. Exceptions occur when:

      (1)  Columns A and B both show that whoever signs the correspondence does so "for" the Director/Assistant Director.  In these situations the Director's/Assistant Director's name and title are typed in the signature block, and the person listed in column A, or alternatively, column B, then signs her/his name, also writing the word "for" to the left of "Director" or "Assistant Director."

      (2)  The position listed in column A is vacant.  In this case the position title in the signature block is the same as the one shown in column A, but the title is preceded by "Acting."

      (3)  The Center is sending an Authentication Certificate, as described in category 10 of app. A, and the alternate person who signs the correspondence is acting in the temporary absence of the person whose position is listed in column A.  In this case "Acting" precedes the position title in the signature block.

      b.  Form letters and forms.  On the most frequently used forms and form letters, the names of the various cores/branches are pre-printed in the document's signature block.  On such documents the person who has prepared the correspondence will sign her/his first and last name and check the box that indicates the core manager/branch chief for whom the person is signing.  Facsimile signatures are not preprinted on form letters and forms.  Rubber stamps with facsimile signatures are not authorized.

      c.  Replies entered on the requests.  Replies that are prepared on the request forms are authenticated by use of the appropriate NPRC correspondence stamp.  The actual signing or initialing of these is delegated for the core manager/branch chief in app. B.

7.  Forms.  This memorandum makes use of the following forms:

R. L. HINDMAN
Director

Category	Position title of person authorized to sign: A	Alternate: B
1.  Correspondence involving major Center-wide policy, highly controversial matters, service agreements, negotiations, prospective visitors, and any matters the assistant director deems to merit the personal attention of the Director.*	Director	Acting Director
2.  Correspondence to higher NARA officials.	Director	Acting Director
3.  Replies to high state and Federal (except NARA) officials and citizens representing important interests.*	Assistant Director for Military/Civilian Records	Director
4.  Complaints:  Responses to more serious complaints are prepared for the signature of the Director and routed through the appropriate assistant director.  The core manager/branch chief or acting core manager/branch chief signs all others (this may be further delegated at the option of the core manager/branch chief).  See latest revision of NPRC 1864.101 for criteria.
5.  Tracers (Second Requests):  Tracers from any routine use of records may be further delegated at the option of the core manager/branch chief.	Core Manager/Branch Chief	Acting Core Manager/Branch Chief
6.  Replies to employee suggestions.	Director	Acting Director
7.  Correspondence involving fee regulations; and matters of a general nature.   a.  Matters limited to either Page or Winnebago.   b.  Nonspecific or Center-wide.	Assistant Director for Military/Civilian Records Chief, Management Systems Staff (Signs "for" the Director)	Acting Assistant Director for Military/Civilian Records Acting Chief, Management Systems Staff (signs "for" the Director)
8.  Freedom of Information Act requests:   a.  Information releasable.   b.  Information not releasable:       in part or in whole.	Routine signature authority Core Manager/Branch Chief (may be further delegated by the core manager/branch chief)	Routine signature authority Acting Core Manager/Branch Chief (may be further delegated by the acting core manager/ branch chief)
9.  Congressional correspondence:   a.  Routine request     (1)  Winnebago       (2)  Page         --Referral         --Returned for more information         --Unable to identify         --Returned for authorization         --Transmittal of sep. document         --Transmittal of personnel and/or            medical records (simple request)   b.  Complaints regarding prior NPRC service; complex correspondence, (Page).   c.  Complaints regarding prior NPRC service (Winnebago); or questions about NPRC policy or procedures.	Branch Chief (signs "for" the Director) Archives Technician (signs "for" the Director)         Core Manager (signs "for" the Director) Director	Acting Branch Chief (signs "for" the Director) Coach (signs "for" the Director)         Acting Core Manager (signs "for" the Director) Acting Director
10.  Authentication Certificates, NA Form 13040 series, including letters transmitting documents under seal. Also includes certificates attesting to information of record or to absence of desired information or desired record. a.  Records and/or certificate supplied by one core/branch at either Page or Winnebago.   b.  Records and/or certificate supplied by a core and a branch at different locations (both Page and Winnebago).	Core Manager/Branch Chief   Director	Acting Core Manager/Branch Chief (Use "Acting" in typed signature block.)** Acting Director (Use "Acting Director" in typed signature Block.)
11.  FEGLI, Agency Certification of Insurance Status, Standard Form 56.	Chief, Reference Service Branch	Acting Chief, Reference Service Branch
12.  Correspondence requesting reference service which cannot be routed properly because of lack of sufficient information or which is related to records serviced by more than one reference organization including proposals for or questions on the conduct of special research projects; proper forms and procedures for submitting requests; and inquiries improperly addressed.  The assistant director may delegate signature authority on individual inquiries to a core manager/branch chief as deemed appropriate.	Assistant Director for Military/Civilian Records	Acting Assistant Director for Military/Civilian Records
13.  Correspondence asking for general information regarding the July 1973 fire and/or requesting NARA publications concerning the fire.  The Assistant Director may delegate signature authority on individual inquiries to a core manager/branch chief as deemed appropriate.	Assistant Director for Military/Civilian Records	Acting Assistant Director for Military/Civilian Records
14.  Correspondence involving the explanation/interpretation of provisions of the Privacy and/or Freedom of Information Acts, the Release and Access Guide for Military Personnel and Related Records (NPRC 1865.16), and Restrictions and Release Policies of Official Personnel Folders (NPRC 1867.6).	Assistant Director for Military/Civilian Records	Acting Assistant Director for Military/Civilian Records
15.  Correspondence requesting copies of NARA publications which are not fire-related and requests for assistance on developing new or revised forms for requesting reference service.  May be further delegated.   a.  Matters limited to either Page or Winnebago.   b.  Center-wide.	Assistant Director for Military/Civilian Records Chief, Management Systems Staff (Signs"for" the Director)	Acting Assistant Director for Military/Civilian Records Acting Chief, Management Systems Staff (Signs "for" the Director)
16.  Correspondence which asks questions concerning Center mission, capabilities, and records holdings spanning the function.	Chief, Management Systems Staff (Signs"for" the Director)	Acting Chief, Management Systems Staff (Signs "for" the Director)
17.  SPECIAL PROJECTS:  requests that mention proposals for or the conduct of special research projects usually involving large numbers of records and provide no direct benefit to veterans, former federal civilian employees, or their next of kin.  See current NRP numbered memo for a further explanation of special projects.	Assistant Director for Military/Civilian Records	Acting Assistant Director for Military/Civilian Records
18.  SPECIAL PROJECTS:  requests that mention proposals for or the conduct of special research projects usually involving large numbers of dependent medical records for all branches of service.  See current NRP numbered memo for a further explanation of special projects.	Director	Acting Director
19.  Bills of lading, and correspondence concerning bills of lading, shipments of records, and property.	Chief, Military/Civilian Operations Branch	Chief, A & D Section, Military/Civilian Operations Branch
20.  Correspondence notifying agencies of deficiencies in records shipments just received.   a.  Page     b.  Winnebago	Chief, A & D Section, Military Operations Branch Chief, A & D Section, Civilian Operations Branch	Acting Chief, A & D Section***   Acting Chief, A & D Section***
21.  NA Form 13119, Response to Agency Request for Extension of Authorized Records Retention Period.	Chief, Military/Civilian Operations Branch	Chief, A & D Section, Military/Civilian Operations Branch***
22.  Media inquiries.   a.  Page - Responses to media requests are typically prepared by core expert technicians and signed by core managers.       b.  Winnebago	Core Manager-core managers will make the determination as to whether the request should be forwarded to the Assistant Director or Director for signature (depending on the sensitivity of the request). Assistant Director for Civilian Records	Acting Core Manager-acting core manager will make the determination as to whether the request should be forwarded to the Assistant Director or Director for signature (depending on the sensitivity of the request). Acting Assistant Director for Civilian Records
23.  Requests that lack proper signatory authority (denials).	See the NOTE in app. B.
24.  Routine correspondence.	See app. B

*Matters requiring attention of, or signature by someone in Central Office, such as White House cases, are referred to the proper official by the Director.

**In absence of both the primary and alternate signers, the assistant director signs.

***In the absence of both the primary and alternate signers; or in circumstances which require substantive deviations from NARA, NR, or NPRC policy, the assistant director signs.

A.  Correspondence is signed for the core manager/branch chief as outlined below:

1. Routine correspondence:

   Supervisory archives technicians, archives technicians, and archives aids in correspondence sections/cores, Personnel Reference Service Section, and Agency Reference Service Section.

2. Routine disposition of inquiries:

   Supervisory archives technicians and archives technicians in the correspondence and search sections and cores.  Mail supervisors, mail and file clerks in the Mail and Data Input Sections.

3. Above categories as completed by trainee:

   Trainee, as appropriate, and initialed by trainer or supervisor to indicate review and approval prior to release for dispatch.

4. Routine replies to requests, which lack proper signatory authority:

   Supervisory archives technicians and archives technicians in the correspondence and search sections/cores. Mail supervisors, mail and file supervisors, and mail and file clerks in the inquiry analysis and distribution section/units and the Mail and Data Input Section.

NOTE:  The Privacy Act does not consider a request, which is returned to the sender because it lacks proper signatory authorization to be a denial of records.  Only the legal custodian of the record (DoD or OPM) can deny a request for access which contains proper signatory authorization.