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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 49:49:1.0.1.1.1.1.2.1 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | A | Subpart A—General | § 1.1 Overview. | DOT | This part describes the organization of the United States Department of Transportation and provides for the performance of duties imposed upon, and the exercise of powers vested in, the Secretary of Transportation by law. | |||||
| 49:49:1.0.1.1.1.1.2.2 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | A | Subpart A—General | § 1.2 Organization of the Department. | DOT | (a) The Secretary of Transportation is the head of the Department. (b) The Department comprises the Office of the Secretary of Transportation (OST), the Office of the Inspector General (OIG), and the following Operating Administrations, each headed by an Administrator who reports directly to the Secretary: (1) The Federal Aviation Administration (FAA). (2) The Federal Highway Administration (FHWA). (3) The Federal Motor Carrier Safety Administration (FMCSA). (4) The Federal Railroad Administration (FRA). (5) The Federal Transit Administration (FTA). (6) The Maritime Administration (MARAD). (7) The National Highway Traffic Safety Administration (NHTSA). (8) The Pipeline and Hazardous Materials Safety Administration (PHMSA). (9) The Research and Innovative Technology Administration (RITA). (10) The Saint Lawrence Seaway Development Corporation (SLSDC). | |||||
| 49:49:1.0.1.1.1.1.2.3 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | A | Subpart A—General | § 1.3 Exercise of authority. | DOT | (a) In exercising powers and performing duties delegated by this part or redelegated pursuant thereto, officials of the Department of Transportation are governed by applicable laws, Executive Orders and regulations and by policies, objectives, plans, standards, procedures, and limitations as may be issued from time to time by or on behalf of the Secretary, or, with respect to matters under their jurisdictions, by or on behalf of the Deputy Secretary, the Under Secretary, the General Counsel, an Assistant Secretary, the Inspector General, or an Administrator. This includes, wherever specified, the requirement for advance notice to, prior coordination with, or prior approval by an authority other than that of the official proposing to act. (b) Subject to the reservations of authority to the Secretary of Transportation in § 1.21, the Deputy Secretary, the Under Secretary, the General Counsel, the Assistant Secretaries, the Inspector General, and the Administrators exercise the powers and perform the duties delegated to them under this part. (c) For delegations of authority vested in the Secretary by Executive Order 13526 (see also Executive Orders 12958 and 12065) originally to classify documents as secret and confidential, see § 8.11 of this subtitle. Previous delegations of authority to Department of Transportation officials to originally classify information as secret and confidential are hereby rescinded. | |||||
| 49:49:1.0.1.1.1.1.2.4 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | A | Subpart A—General | § 1.4 Construction. | DOT | For the purposes of this part: (a) “Federal Aviation Administrator” is synonymous with “Administrator of the Federal Aviation Administration.” (b) “Federal Highway Administrator” is synonymous with “Administrator of the Federal Highway Administration.” (c) “Federal Motor Carrier Safety Administrator” is synonymous with “Administrator of the Federal Motor Carrier Safety Administration.” (d) “Federal Railroad Administrator” is synonymous with “Administrator of the Federal Railroad Administration.” (e) “Federal Transit Administrator” is synonymous with “Administrator of the Federal Transit Administration.” (f) “Maritime Administrator” is synonymous with “Administrator of the Maritime Administration.” (g) “National Highway Traffic Safety Administrator” is synonymous with “Administrator of the National Highway Traffic Safety Administration.” (h) “Pipeline and Hazardous Materials Safety Administrator” is synonymous with “Administrator of the Pipeline and Hazardous Materials Safety Administration.” (i) “Saint Lawrence Seaway Development Corporation Administrator” is synonymous with “Administrator of the Saint Lawrence Seaway Development Corporation.” | |||||
| 49:49:1.0.1.1.1.2.2.1 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.11 Overview. | DOT | This subpart sets forth the OST's key responsibilities, its basic organizational structure, and the line of Secretarial succession in time of need. It also describes the key responsibilities of OST officials, and sets forth delegations and reservations of authority to those officials. | |||||
| 49:49:1.0.1.1.1.2.2.10 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.25 Delegations to the Under Secretary of Transportation for Policy. | DOT | The Under Secretary is delegated the following authorities: (a) Lead the development of transportation policy and serve as the principal adviser to the Secretary on all transportation policy matters. (b) Establish policy and ensure uniform departmental implementation of the National Environmental Policy Act of 1969, Pub. L. 91-190, as amended (42 U.S.C. 4321-4347) within the Department of Transportation. (c) Oversee the implementation of 49 U.S.C. 303 (Policy on lands, wildlife and waterfowl refuges, and historic sites). (d) Represent the Secretary of Transportation on various interagency boards, committees, and commissions to include the Architectural and Transportation Barriers Compliance Board and the Advisory Council on Historic Preservation and the Trade Policy Review Group and the Trade Policy Staff Committee. (e) Serve as the Department's designated principal conservation officer pursuant to section 656 of the Department of Energy Organization Act, Pub. L. 94-91 [42 U.S.C. 7266], and carry out the functions vested in the Secretary by section 656 of the Act, which pertains to planning and implementing energy conservation matters with the Department of Energy. (f) Carry out the functions of the Secretary pertaining to aircraft with respect to Transportation Order T-1 (44 CFR chapter IV) under the Defense Production Act of 1950, as amended, Pub. L. 81-774, 64 Stat. 798 [50 U.S.C. App. 2061 et seq. ] and Executive Order 10480, as amended (see also Executive Order 10773 and 12919). (g) Serve as Department of Transportation member of the Interagency Group on International Aviation, and pursuant to Executive Order 11382, as amended, serve as Chair of the Group. (h) Serve as second alternate representing the Secretary of Transportation to the Trade Policy Committee as mandated by Reorganization Plan No. 3 of 1979 (5 U.S.C. App. at 1381), as amended, and Executive Order 12188, as amended. (i) As supplemented by 14 CFR part 385, and except as provided in §§ 1.99(j) (RITA), and 1.27 (General Counsel) of thi… | |||||
| 49:49:1.0.1.1.1.2.2.11 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.25a Redelegations by the Under Secretary of Transportation for Policy. | DOT | (a) The Assistant Secretary for Transportation Policy is redelegated authority to: (1)(i) Redelegate and authorize successive redelegation of authority granted in this paragraph (a) to officials within the Office of the Assistant Secretary for Transportation Policy, except as limited by law or specific administrative reservation. (ii) Publish, in appendix A of this part, redelegations made under paragraph (a)(1)(i) of this section. (2) Establish policy and maintain oversight of implementation of the National Environmental Policy Act of 1969, Pub. L. 91-190, as amended (42 U.S.C. 4321-4347) within the Department of Transportation. (3) Oversee the implementation of 49 U.S.C. 303 (Policy on lands, wildlife and waterfowl refuges, and historic sites). (4) Represent the Secretary of Transportation on various interagency boards, committees, and commissions to include the Architectural and Transportation Barriers Compliance Board and the Advisory Council on Historic Preservation and the Trade Policy Review Group and the Trade Policy Staff Committee. (5) Serve as the Department's designated principal conservation officer pursuant to section 656 of the Department of Energy Organization Act, Pub. L. 94-91 [ 42 U.S.C. 7266], and carry out the functions vested in the Secretary by section 656 of the Act, which pertains to planning and implementing energy conservation matters with the Department of Energy. (6) Carry out the functions of section 42303 of 49 U.S.C., relating to the management of the Web site regarding the use of insecticides in passenger aircraft. (7) In coordination with the General Counsel, carry out the duties of the Secretary under Executive Orders 12866 and 13563 to establish the value of statistical life in connection with assessing the costs and benefits of Departmental regulatory action. (8) Carry out the duties of the Secretary under Executive Orders 12866 and 13563 to establish the value of time in connection with assessing the costs and benefits of Departmental regulatory action. (b) The Assi… | |||||
| 49:49:1.0.1.1.1.2.2.12 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.26 General Counsel. | DOT | The General Counsel is the chief legal officer of the Department, legal advisor to the Secretary, and final authority within the Department on questions of law. The Office of the General Counsel provides legal advice to the Secretary and secretarial offices, and supervision, coordination, and review of the legal work of the Chief Counsel Offices in the Department. The General Counsel participates with each Operating Administrator in the performance reviews of Chief Counsel. The General Counsel is responsible for retention of outside counsel, and for the approval of the hiring and promotion of departmental attorneys (other than in the Federal Aviation Administration). The General Counsel is also responsible for departmental regulation under statutes including the Air Carrier Access Act, statutes prohibiting unfair and deceptive practices in air transportation, the Americans with Disabilities Act, the Disadvantaged Business Enterprise program, and the Uniform Time Act. The General Counsel coordinates all international legal matters, and departmental participation in proceedings before other federal and state agencies. The General Counsel provides oversight of departmental litigation, regulation, legislation, Freedom of Information Act compliance, and administrative enforcement. | |||||
| 49:49:1.0.1.1.1.2.2.13 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.27 Delegations to the General Counsel. | DOT | [81 FR 19819, Apr. 5, 2016, as amended at 84 FR 71717, Dec. 27, 2019; 86 FR 17294, Apr. 2, 2021] | The General Counsel is delegated authority to: (a) Conduct all rulemaking proceedings under the Americans with Disabilities Act, the Disadvantaged Business Enterprise program, and the Uniform Time Act, as amended (15 U.S.C. 260 et seq. ). (b) Determine the practicability of applying the standard time of any standard time zone to the movements of any common carrier engaged in interstate or foreign commerce and issue operating exceptions in any case in which the General Counsel determines that it is impractical to apply the standard time (49 CFR 71.1). (c) Issue regulations making editorial changes or corrections to the regulations of the Office of the Secretary. (d) Grant permission, under specific circumstances, to deviate from a policy or procedure prescribed by the regulations of the Office of the Secretary (49 CFR part 9) with respect to the testimony of OST employees as witnesses in legal proceedings, the serving of legal process and pleadings in legal proceedings involving the Secretary or his Office, and the production of records of that Office pursuant to subpoena. (e) Respond to petitions for rulemaking or petitions for exemptions in accordance with 49 CFR 5.3, and notify petitioners of decisions in accordance with 49 CFR 5.3(d)(5). (f) Provide counsel to employees on questions of conflict of interest covered by departmental regulations on employee responsibility and conduct. (g) Coordinate the issuance of proposed Executive Orders and proclamations for transmittal to the Office of Management and Budget for action by the White House. (h) Except with respect to proceedings relating to safety fitness of an applicant (49 U.S.C. 307), decide on requests to intervene or appear before courts (with the consent of the Department of Justice) or agencies to present the views of the Department, subject to the concurrence of the Secretary. (i) Exercise the authority delegated to the Department by the Assistant Attorney General, Land and Natural Resources Division, in his order of October 2, 1970, to approve… | ||||
| 49:49:1.0.1.1.1.2.2.14 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.27a Delegations to the Career Deputy General Counsel. | DOT | The career Deputy General Counsel is delegated authority to: (a) Serve as the Department's Designated Agency Ethics Official in accordance with 5 CFR 2638.202; (b) Serve as the Department's Dispute Resolution Specialist pursuant to section 3(b) of the Alternative Dispute Resolution Act of 1996, Pub. L. 104-320, 5 U.S.C. App.; and (c) Serve as the Department's Chief FOIA Officer under 5 U.S.C. 552(j). | |||||
| 49:49:1.0.1.1.1.2.2.15 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.27b Delegations to the Assistant General Counsel for General Law. | DOT | The Assistant General Counsel for General Law is delegated authority to serve as the Department's Alternate Agency Ethics Official in accordance with 5 CFR 2638.202. | |||||
| 49:49:1.0.1.1.1.2.2.16 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.30 Assistant Secretaries. | DOT | (a) In performing their functions, the Assistant Secretaries are responsible for continuing liaison and coordination among themselves and with the Operating Administrations to: (1) Avoid unnecessary duplication of effort by or in conflict with the performance of similar activities by the Operating Administrations and the other Assistant Secretaries pursuant to their Secretarial delegations of authority or other legal authorities; and (2) Assure that the views of the Operating Administrations are considered in developing departmental policies, plans, and proposals. The Assistant Secretaries are also available to assist, as appropriate, the Operating Administrations in implementing departmental policy and programs. As primary staff advisors to the Secretary, the Assistant Secretaries are concerned with transportation matters of the broadest scope, including modal, intermodal, and other matters of Secretarial interest. (b) There are exceptions to the normal staff role described in paragraph (a) of this section. In selected instances, the Secretary has specifically delegated to Assistant Secretaries authority which they may exercise on the Secretary's behalf. | |||||
| 49:49:1.0.1.1.1.2.2.17 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.31 Assistant Secretary for Transportation Policy. | DOT | The Assistant Secretary for Transportation Policy provides policy advice to the Secretary, the Deputy Secretary, and the Under Secretary. The Office of the Assistant Secretary for Transportation Policy is responsible for: Public policy development, coordination, and evaluation for all aspects of transportation, except in the areas of aviation and international affairs, with the goal of making the Nation's transportation resources function as an integrated national system; evaluation of private transportation sector operating and economic issues; evaluation of public transportation sector operating and economic issues; regulatory and legislative initiatives and review; energy, environmental, disability, and safety policy and program development and review; and transportation infrastructure assessment and review. For delegations to the Assistant Secretary for Transportation Policy, see § 1.25a(a). | |||||
| 49:49:1.0.1.1.1.2.2.18 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.32 Assistant Secretary for Aviation and International Affairs. | DOT | The Office of the Assistant Secretary for Aviation and International Affairs is responsible for policy development, coordination, and evaluation of issues involving aviation, as well as international issues involving all areas of transportation; private sector evaluation; international transportation and transport-related trade policy and issues; regulatory and legislative initiatives and review of maritime/shipbuilding policies and programs; transport-related trade promotion; coordination of land transport relations with Canada and Mexico; economic regulation of the airline industry while placing maximum reliance on market forces and on actual and potential competition; the essential air service program and other rural air service programs; and, in coordination with the FAA, promotion of the aerospace industry. For delegations to the Assistant Secretary for Aviation and International Affairs, see § 1.25a(b). | |||||
| 49:49:1.0.1.1.1.2.2.19 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.33 Chief Financial Officer and Assistant Secretary for Budget and Programs. | DOT | (a) The Chief Financial Officer (CFO) is the principal budget and financial advisor to the Secretary and serves as Assistant Secretary for Budget and Programs. The CFO and Assistant Secretary for Budget and Programs provides oversight and policy guidance for all budget, financial management, program performance, and internal control activities of the Department and its Operating Administrations. (b) The CFO and Assistant Secretary for Budget and Programs concurs in the appointment and promotion of Chief Financial Officers, Budget Officers, and Directors of Finance of the Department and its Operating Administrations, and participates with each Administrator in the performance reviews of Chief Financial Officers, Budget Officers, and Directors of Finance in each of the Operating Administrations. (c) The CFO and Assistant Secretary for Budget and Programs, in consultation with the Chief Information Officer, may designate any information technology system as a financial management system under the CFO's policy and oversight area of responsibility. (d) The CFO and Assistant Secretary for Budget and Programs serves as the Vice Chair of the Department's Credit Council. The Office of the Assistant Secretary supports the Department's Credit Council by analyzing applications for the Department's various credit programs. The CFO also oversees the TIFIA program and the TIFIA Joint Program Office on behalf of the Secretary, including the evaluation of individual projects, and provides overall policy direction and program decisions for the TIFIA program. (e) The CFO and Assistant Secretary for Budget and Programs is responsible for preparation, review, and presentation of Department budget estimates; liaison with the Office of Management and Budget and Congressional Budget and Appropriations Committees; preparation of the Department's annual financial statements; departmental financial plans, apportionments, reapportionments, reprogrammings, and allotments; program and systems evaluation and analysis; program evaluation cr… | |||||
| 49:49:1.0.1.1.1.2.2.2 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.13 OST key responsibilities. | DOT | (a) The OST is responsible for: (1) Providing leadership in formulating and executing well-balanced national and international transportation objectives, policies, and programs to ensure the Nation has safe, economically competitive transportation systems that support U.S. interests, that are maintained in a state of good repair, that foster environmental sustainability, and that support livable communities; (2) Chairing the Department's Safety Council; (3) Stimulating and promoting research and development in all modes and types of transportation, with special emphasis on transportation safety; (4) Coordinating the various transportation programs of the Federal Government; (5) Encouraging maximum private development of transportation services; (6) Providing responsive, timely, and effective liaison with Congress and public and private organizations on transportation matters; (7) Providing innovative approaches to urban transportation and environmental enhancement programs; (8) Overseeing the Department's multimodal freight policy; (9) Providing effective management of the Department as a whole to ensure it achieves organizational excellence; (10) Leading Department-wide efforts for greater transparency and accountability; (11) Administering the Department's Livable Communities initiative to increase access to convenient and affordable transportation choices and improve transportation networks that accommodate pedestrians and bicycles; (12) Coordinating the Department's credit and financial assistance programs by leading the Credit Council to ensure responsible financing for the Nation's transportation projects; (13) Formulating and executing policies to ensure effective operation of the Department's aviation economic program including functions related to consumer protection and civil rights, domestic airline licensing matters, competition oversight, airline data collection, and review of international route negotiations and route awards to carriers; and (14) Leading and coordinating Federal Govern… | |||||
| 49:49:1.0.1.1.1.2.2.20 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.34 Delegations to the Chief Financial Officer and Assistant Secretary for Budget and Programs. | DOT | The Chief Financial Officer and Assistant Secretary for Budget and Programs is delegated authority to: (a) Serve as the Department's Chief Financial Officer pursuant to 31 U.S.C. 901 (Establishment of Agency Chief Financial Officers). (b) Exercise day-to-day operating management responsibility over the Office of Budget and Program Performance, the Office of the OST Chief Financial Officer, the Office of Financial Management, and the Office of Credit Oversight and Risk Management. (c) Direct and manage the Departmental planning, evaluation, budget, financial management, and internal control activities. (d) Exercise oversight and provide exclusive policy guidance to the Enterprise Services Center (ESC) regarding all financial management activities conducted by ESC and financial systems operated by ESC. This authority includes concurrence with any organizational changes within the Federal Aviation Administration that may affect financial management operations of the ESC. (e) Request apportionment or reapportionment of funds by the Office of Management and Budget, provided that no request for apportionment or reapportionment which anticipates the need for a supplemental appropriation shall be submitted to the Office of Management and Budget without appropriate certification by the Secretary. (f) Issue allotments or allocations of funds to components of the Department. (g) Authorize and approve official travel and transportation for staff members of the Immediate Office of the Secretary including authority to sign and approve related travel orders and travel vouchers, but not including requests for overseas travel. (h) Issue monetary authorizations for use of reception and representation funds. (i) Except as otherwise delegated, establish or operate or both, any special funds that are required by statute or administrative determination. (j) Exercise the Secretary's authority under 31 U.S.C. 3711 to collect, compromise, suspend collection action on, or terminate claims of the United States which are referred … | |||||
| 49:49:1.0.1.1.1.2.2.21 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.35 Assistant Secretary for Governmental Affairs. | DOT | [82 FR 19192, Apr. 26, 2017] | The Assistant Secretary for Governmental Affairs serves as the Department's primary point of contact for Congressional offices, as well as State and locally elected officials; works with other departmental offices to ensure that Congressional mandates are fully implemented by the Department; and works with the White House, other Federal agencies, and Congress to fulfill the Department's legislative priorities. The Assistant Secretary coordinates congressional and intergovernmental activities with governmental affairs offices in the Operating Administrations and is the final authority on governmental affairs issues within the Department. The Assistant Secretary participates with each Administrator in the hiring decisions (other than in the Federal Aviation Administration) and performance reviews of all of the Operating Administrations' Directors of Governmental Affairs. The Assistant Secretary supervises the Deputy Assistant Secretary for Tribal Government Affairs who plans and coordinates the Department's policies and programs with respect to Indian tribes and tribal organizations. | ||||
| 49:49:1.0.1.1.1.2.2.22 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.36 Delegations to the Assistant Secretary for Governmental Affairs. | DOT | The Assistant Secretary for Governmental Affairs is delegated authority to: (a) Establish procedures for responding to Congressional correspondence; and (b) Supervise the Deputy Assistant Secretary for Tribal Government Affairs. | |||||
| 49:49:1.0.1.1.1.2.2.23 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.37 Assistant Secretary for Administration. | DOT | [82 FR 19192, Apr. 26, 2017] | The Assistant Secretary for Administration is the principal advisor to the Secretary and Deputy Secretary on Department-wide administrative matters and is the final authority on these matters within the Department. The Assistant Secretary for Administration serves as the Designated Agency Safety and Health Official. The Office of the Assistant Secretary for Administration's responsibilities include: Strategic management of human capital; monitoring the progress of departmental offices related to sustainability goals; controls and standards to ensure that procurement and financial assistance programs are in accord with good business practice; follow-up and resolution of Government Accountability Office and Inspector General audit reviews; information resource management; property management information; facilities; and security. The Assistant Secretary for Administration is responsible for recommending performance objectives for the Operating Administrations' Directors of Human Resources. The Assistant Secretary for Administration participates with each Administrator in the hiring decisions (other than in the Federal Aviation Administration) and performance reviews of all of the Operating Administrations' Associate Administrators for Administration. | ||||
| 49:49:1.0.1.1.1.2.2.24 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.38 Delegations to the Assistant Secretary for Administration. | DOT | The Assistant Secretary for Administration is delegated authority for the following: (a) Acquisition. (1) Exercise procurement authority with respect to requirements of the Office of the Secretary or an Operating Administration, if requested under an agreement with that Operating Administration. (2) Make the required determinations with respect to mistakes in bids relative to sales of personal property conducted by the Office of the Secretary without power of redelegation. (3) Except as delegated to the National Highway Traffic Safety Administrator by § 1.95, carry out the functions vested in the Secretary by section 3 of Executive Order 11912 (“Delegation of Authorities Relating to Energy Policy and Conservation”), as amended. (4) Carry out the functions delegated to the Secretary from time to time by the Administrator of General Services to lease real property for Department use. (5) Carry out the duties and responsibilities of agency head for departmental procurement within the meaning of the Federal Acquisition Regulation. This authority as agency head for departmental procurement excludes duties, responsibilities, and powers expressly reserved for the Secretary of Transportation. (6) Serve as Deputy Chief Acquisition Officer. (7) Provide departmental guidance on grants, cooperative agreements, and other financial assistance transactions, but not including loans, loan guarantees, interest subsidies, or insurance. (8) Issue departmental procurement regulations, subject to coordination with the General Counsel and interested Operating Administrations. In commenting upon proposed provisions for the procurement regulations, the Operating Administrations will indicate the nature and purpose of any additional implementing or supplementing policy guidance which they propose to issue at the Operating Administration level. (b) Personnel. (1) Conduct a personnel management program for the Office of the Secretary of Transportation, with authority to take, direct others to take, recommend or approve any pers… | |||||
| 49:49:1.0.1.1.1.2.2.25 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.38a Redelegations by the Assistant Secretary for Administration. | DOT | (a) The Director, Office of the Senior Procurement Executive is redelegated the authority to: (1) Carry out the duties and responsibilities of agency head for departmental procurement within the meaning of the Federal Acquisition Regulation except for those duties expressly reserved for the Secretary of Transportation. (2) Carry out the functions of the Chief Acquisition Officer (CAO) except for those functions specifically reserved for the Deputy Secretary. In carrying out these functions and in support of requirements under Services Acquisition Reform Act (SARA), enacted as part of the National Defense Authorization Act for 2004—Public Law 108-136, the Senior Procurement Executive (SPE) is expected to interact directly, and without intervening authority, with the CAO on issues related to strategic acquisition policy, implementation, and management. The nature and frequency of interactions with the CAO will be determined mutually between the SPE and the CAO. (3) Procure and authorize payment for property and services for the Office of the Secretary, with power to re-delegate and authorize successive re-delegations. (b) The Director of Human Resources Management is redelegated the authority to: (1) Develop departmental human capital policies and objectives, and monitor and oversee the implementation of those policies. (2) Establish departmental human capital performance objectives and metrics. (3) Conduct a personnel management program for the Office of the Secretary with authority to take, direct others to take, recommend or approve any personnel action with respect to such authority. (4) Concur in the appointment and promotion of all Human Resources (HR) Directors in each Operating Administration and participate in the performance reviews of HR Directors. (5) Provide policy and overall direction in the execution of the DOT Labor-Management Relations Program. (6) Develop and operate the Federal Employee Workplace Drug and Alcohol Testing Program in accordance with Executive Order 12564 and The Omnibus … | |||||
| 49:49:1.0.1.1.1.2.2.26 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.39 Executive Secretariat. | DOT | The Executive Secretariat provides organized staff services to the Secretary and Deputy Secretary to assist them in carrying out their management functions and their responsibilities for formulating, coordinating and communicating major policy decisions. The Office controls and coordinates internal and external material directed to the Secretary and Deputy Secretary and ensures that their decisions and instructions are implemented. | |||||
| 49:49:1.0.1.1.1.2.2.27 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.40 Departmental Office of Civil Rights. | DOT | The Departmental Office of Civil Rights serves as the Department's Equal Employment Opportunity (EEO) Officer and Title VI Coordinator. The Director also serves as principal advisor to the Secretary and the Deputy Secretary on the civil rights and nondiscrimination statutes, regulations, and Executive Orders applicable to the Department, including titles VI and VII of the Civil Rights Act of 1964, as amended, the Age Discrimination in Employment Act of 1967, as amended, the Age Discrimination Act of 1975, as amended, section 504 of the Rehabilitation Act of 1973, as amended, the Americans with Disabilities Act of 1990, the Equal Pay Act of 1963, the ADA Amendments Act of 2008, and the Genetic Information Nondiscrimination Act of 2008. The Departmental Office of Civil Rights provides guidance to the Operating Administrations and Secretarial officers on these matters. The Office periodically reviews and evaluates the civil rights programs of the Operating Administrations to ensure that recipients of financial assistance meet applicable Federal civil rights requirements. | |||||
| 49:49:1.0.1.1.1.2.2.28 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.41 Delegations to the Director of the Departmental Office of Civil Rights. | DOT | The Director of the Departmental Office of Civil Rights is delegated authority to conduct all stages of the formal employment discrimination complaints process (including acceptance/dismissal, investigation, and final adjudication); to provide guidance to the Operating Administrations and Secretarial officers concerning the implementation and enforcement of all civil rights laws, regulations and Executive Orders for which the Department is responsible; to otherwise perform activities to ensure compliance with external civil rights programs; and to review and evaluate the Operating Administrations' enforcement of these authorities. These authorities include: (a) Title VI and VII of the Civil Rights Act of 1964, 42 U.S.C. 2000d et seq. and 2000e et seq. (b) Sections 501 and 504 of the Rehabilitation Act of 1973, 29 U.S.C. 791 and 794-794a. (c) Age Discrimination in Employment Act of 1967, 29 U.S.C. 621 et seq. (d) Age Discrimination Act of 1975, 42 U.S.C. 6101 et seq. (e) Americans with Disabilities Act of 1990, 42 U.S.C. 12101-121213. (f) ADA Amendments Act of 2008 (Pub. L. 110-325) [42 U.S.C. 12101 Note]. (g) Genetic Information Nondiscrimination Act of 2008, 42 U.S.C. 2000ff et seq. (h) Equal Pay Act of 1963, 29 U.S.C. 206(d). (i) Alcohol, Drug Abuse, and Mental Health Administration Reorganization Act (Pub. L. 102-321) (j) Chapter XIV of subtitle B, of title 29 of the CFR (Equal Employment Opportunity Commission Regulations). (k) Title VIII of the Civil Rights Act of 1968 (Pub. L. 90-284) [42 U.S.C. 3601 et seq. ]. (l) 40 U.S.C. 476 (prohibition on sex discrimination). (m) Title IX of the Education Amendments of 1972, 20 U.S.C. 1681. (n) In coordination with the Assistant Secretary for Transportation Policy, Executive Order 12898 (“Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations”) (See also Executive Order 12948). (o) 49 U.S.C. 306 (prohibition on discrimination in programs receiving financial assistance), 5310 (transportation for elderly… | |||||
| 49:49:1.0.1.1.1.2.2.29 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.42 Office of Small and Disadvantaged Business Utilization. | DOT | The Director of the Office of Small and Disadvantaged Business Utilization ensures that the Department's small and disadvantaged business policies and programs are developed in a fair, efficient, and effective manner. The Office is responsible for the Department's implementation and execution of the functions and duties under the Small Business Act, and providing opportunities, technical assistance, and financial services to the small and disadvantaged business community. | |||||
| 49:49:1.0.1.1.1.2.2.3 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.15 OST structure. | DOT | (a) Secretary and Deputy Secretary. The Secretary and Deputy Secretary are assisted by the following, all of which report directly to the Secretary: (1) The Chief of Staff; (2) The Executive Secretariat; (3) The Departmental Office of Civil Rights; (4) The Office of Small and Disadvantaged Business Utilization; (5) The Office of Intelligence, Security and Emergency Response; (6) The Office of Public Affairs; (7) The Office of the Chief Information Officer; and (8) The Office of Drug & Alcohol Policy & Compliance. (b) The Under Secretary of Transportation for Policy, the General Counsel, and the Assistant Secretaries for Administration, Budget and Programs, and Governmental Affairs also report directly to the Secretary. (c) Office of the Under Secretary of Transportation for Policy. This Office is composed of: (1) The Office of the Assistant Secretary for Transportation Policy, which includes: (i) The Office of Policy Development, Strategic Planning and Performance; (ii) The Office of Infrastructure Finance and Innovation; and (iii) The Office of the Chief Economist. (2) The Office of the Assistant Secretary for Aviation and International Affairs, which includes: (i) The Office of International Transportation and Trade; (ii) The Office of International Aviation; and (iii) The Office of Aviation Analysis. (d) Office of the General Counsel. This Office is composed of: (1) The Office of General Law; (2) The Office of International Law; (3) The Office of Litigation; (4) The Office of Legislation; (5) The Office of Regulation and Enforcement; (6) The Office of Operations, which includes the Freedom of Information Act (FOIA) Office; (7) The Office of Aviation Enforcement and Proceedings, which includes the Aviation Consumer Protection Division; and (8) The Center for Alternative Dispute Resolution. (e) Office of the Chief Financial Officer and Assistant Secretary for Budget and Programs. This Office is composed of: (1) The Office of Budget and Program Performance; (2) The Office of … | |||||
| 49:49:1.0.1.1.1.2.2.30 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.43 Delegations to the Director of the Office of Small and Disadvantaged Business Utilization. | DOT | The Director of Small and Disadvantaged Business Utilization is delegated authority to: (a) Exercise departmental responsibility for the implementation and execution of functions and duties under sections 2[8] and 2[15] of the Small Business Act (Pub. L. 85-836) [15 U.S.C. 637 and 644]. (b) Carry out the functions vested in the Secretary by 49 U.S.C. 332 (Minority Resource Center). | |||||
| 49:49:1.0.1.1.1.2.2.31 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.44 Office of Intelligence, Security and Emergency Response. | DOT | The Director of the Office of Intelligence, Security and Emergency Response is responsible for the development, coordination, and execution of plans and procedures for the Department to balance transportation security requirements with the safety, mobility and economic needs of the Nation through effective intelligence, security, preparedness and emergency response programs. The Director is the Department's principal Emergency Coordinator for the implementation of these programs. | |||||
| 49:49:1.0.1.1.1.2.2.32 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.45 Delegations to the Director of the Office of Intelligence, Security and Emergency Response. | DOT | The Director of Intelligence, Security, and Emergency Response is delegated authority to: (a) Carry out the functions related to emergency preparedness and response vested in the Secretary by the following authorities: 49 U.S.C. 101 and 301; Executive Order 12148, as amended (“Federal Emergency Management”); Executive Order 12656 (“Assignment of Emergency Preparedness Responsibilities”) (as amended; see Executive Order 13286); Executive Order 12742 (“National Security Industrial Responsiveness”); Executive Order 13434 (“National Security Professional Development”); Reorganization Plan No. 3 of 1978 (5 U.S.C. app at 235 (2012); and such other statutes, executive orders, and other directives as may pertain to emergency preparedness and response. (b) Serve as the Department's Continuity Coordinator in accordance with National Security Presidential Directive 51/Homeland Security Presidential Directive 20, National Continuity Policy, and Federal Continuity Directives (FCD) 1 Federal Executive Branch National Continuity Program and Requirements and FCD 2 Federal Executive Branch Mission Essential Function and Primary Mission Essential Function Identification and Submission Process. Provide leadership for departmental programs pertaining to intelligence related to the transportation sector, transportation security policy, and civil transportation emergency preparedness and response activities. (c) Lead departmental collaboration efforts with the Department of Homeland Security and other Departments and Agencies related to transportation security and transportation infrastructure protection as required by Homeland Security Presidential Directive 7, Critical Infrastructure Identification, Prioritization, and Protection. (d) Together with the Assistant Secretary for Administration, carry out oversight and management of the duties pertaining to national security professional development assigned to the Secretary under Executive Order 13434 (“National Security Professional Development”). (e) Together with the Off… | |||||
| 49:49:1.0.1.1.1.2.2.33 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.46 Office of Public Affairs. | DOT | [82 FR 19193, Apr. 26, 2017] | The Director of Public Affairs is the principal advisor to the Secretary and Secretarial Officers on public affairs issues and the final authority on public affairs issues within the Department. The Office of Public Affairs prepares news releases and supporting media materials, and maintains a new media presence. The Office also provides information to the Secretary on opinions and reactions of the public and news media on programs and transportation issues. The Office of Public Affairs is responsible for the supervision, coordination, and review of the activities of the public affairs offices within the Operating Administrations. The Director of Public Affairs participates with each Administrator in the hiring decisions (other than in the Federal Aviation Administration) and performance reviews of all of the Operating Administrations' Directors of Public Affairs. | ||||
| 49:49:1.0.1.1.1.2.2.34 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.47 Delegations to the Assistant to the Secretary and Director of Public Affairs. | DOT | The Assistant to the Secretary and Director of Public Affairs is delegated authority to: (a) Monitor the overall public information program and review and approve departmental informational materials having policy-making ramifications before they are printed and disseminated. (b) Carry out the functions to promote carpooling and vanpooling transferred to the Department of Transportation by section 310 of the Department of Energy Organization Act of 1977 (Pub. L. 95-91) [42 U.S.C. 7159]. | |||||
| 49:49:1.0.1.1.1.2.2.35 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.48 Office of the Chief Information Officer. | DOT | [82 FR 19193, Apr. 26, 2017] | The Chief Information Officer (CIO) is the principal information technology (IT), cyber security, privacy, and records management advisor to the Secretary, and is the final authority on these matters within the Department. The Office of the CIO supports the Organizational Excellence Strategic Goal by providing leadership on all matters associated with the Department's IT portfolio. The CIO participates with each Administrator in the hiring decisions and performance reviews of the Operating Administrations' CIOs. | ||||
| 49:49:1.0.1.1.1.2.2.36 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.49 Delegations to the Chief Information Officer. | DOT | The Chief Information Officer is delegated authority to: (a) Carry out all functions and responsibilities assigned to the Secretary with respect to the Paperwork Reduction Act of 1995 (44 U.S.C. 3506); (b) Carry out all functions and responsibilities assigned to the Secretary with respect to the Clinger-Cohen Act of 1996 (40 U.S.C. 11312 to 11314, and 11317); (c) Carry out all functions and responsibilities assigned to the Secretary with respect to the E-Government Act of 2002, Public Law 107-347; (d) Carry out all functions and responsibilities necessary to ensure compliance with the Federal Information Security Management Act of 2002 (44 U.S.C. 3534 and 3544); (e) Serve as the Chief Privacy Officer, 42 U.S.C. 2000ee-2, and administer the Privacy Act of 1974, 5 U.S.C. 552a, and 49 CFR part 10 (Maintenance of and Access to Records Pertaining to Individuals) in connection with the records of the Office of the Secretary; (f) Carry out all functions and responsibilities necessary to issue notices of Department of Transportation systems of records as required by the Privacy Act; (g) Carry out all functions and responsibilities assigned to the Secretary with respect to the Federal Records Act (44 U.S.C. 3101-3102) and necessary to ensure compliance with the regulations of the National Archives and Records Administration (36 CFR parts 1220 through 1299; 44 U.S.C. Chapters 21, 29, 31, and 33), in coordination with the General Counsel; and (h) Serve as the Senior Agency Official for Geospatial Information under Office of Management and Budget Memorandum M-06-07, “Designation of a Senior Agency Official for Geospatial Information” (March 3, 2006). | |||||
| 49:49:1.0.1.1.1.2.2.37 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.50 Office of Drug & Alcohol Policy & Compliance. | DOT | The Office of Drug & Alcohol Policy & Compliance advises the Secretary on national and international drug testing and control issues and is the principal advisor to the Secretary on rules related to the drug and alcohol testing of safety-sensitive transportation employees in aviation, trucking, railroads, mass transit, pipelines, and other transportation industries. The Office, in coordination with the Office of the General Counsel, publishes and provides interpretations of rules related to 49 CFR part 40 on the conduct of drug and alcohol tests, including how to conduct tests, and which procedures to use when testing. The Office coordinates with Federal Agencies and assists foreign governments in developing drug and alcohol testing programs and implementing the President's National Drug Control Strategy. | |||||
| 49:49:1.0.1.1.1.2.2.38 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.60 General Authorizations and Delegations to Secretarial Officers. | DOT | (a) Acting in his or her own name and title, the Under Secretary, the General Counsel, and each Assistant Secretary, within his or her sphere of responsibility, is authorized to identify and define the requirements for, and to recommend to the Secretary, new or revised departmental policies, plans, and proposals. Each of these officers is authorized to issue departmental standards, criteria, systems and procedures that are consistent with applicable laws, Executive Orders, Government-wide regulations and policies established by the Secretary, and to inspect, review, and evaluate departmental program performance and effectiveness and advise the Secretary regarding the adequacy thereof. (b) Except for nondelegable statutory duties including those that transfer as a result of succession to act as Secretary of Transportation, each Deputy Assistant Secretary and Deputy General Counsel is authorized to act for and perform the duties of his or her principal in the absence or disability of the principal and as otherwise directed by the principal. (c) The Deputy Secretary, the Under Secretary, the General Counsel, and the Assistant Secretaries for Administration, Budget and Programs, and Governmental Affairs are delegated authority to: (1) Redelegate and authorize successive redelegations of authority granted by the Secretary within their respective organizations, except as limited by law or specific administrative reservation, including authority to publish those redelegations in appendix A of this part. (2) Authorize and approve official travel (except foreign travel) and transportation for themselves, their subordinates, and others performing services for, or in cooperation with, the Office of the Secretary. (3) Establish ad hoc committees for specific tasks within their assigned staff area. (4) Establish, modify, extend, or terminate standing committees within their specific areas of responsibility when directed or authorized to do so by the Secretary. (5) Designate members of interagency committees when such c… | |||||
| 49:49:1.0.1.1.1.2.2.4 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.17 OST line of secretarial succession. | DOT | (a) The following officials, in the order indicated, shall act as Secretary of Transportation, in case of the absence or disability of the Secretary, until the absence or disability ceases, or in the case of a vacancy, until a successor is appointed. Notwithstanding the provisions of this section, the President retains discretion, to the extent permitted by the law, to depart from this order in designating an acting Secretary of Transportation. (1) Deputy Secretary. (2) Under Secretary of Transportation for Policy. (3) General Counsel. (4) Chief Financial Officer and Assistant Secretary for Budget and Programs. (5) Assistant Secretary for Transportation Policy. (6) Assistant Secretary for Governmental Affairs. (7) Assistant Secretary for Aviation and International Affairs. (8) Assistant Secretary for Administration. (9) Administrator of the Federal Highway Administration. (10) Administrator of the Federal Aviation Administration. (11) Administrator of the Federal Motor Carrier Safety Administration. (12) Administrator of the Federal Railroad Administration. (13) Administrator of the Federal Transit Administration. (14) Administrator of the Maritime Administration. (15) Administrator of the Pipeline and Hazardous Materials Safety Administration. (16) Administrator of the National Highway Traffic Safety Administration. (17) Administrator of the Research and Innovative Technology Administration. (18) Administrator of the Saint Lawrence Seaway Development Corporation. (19) Regional Administrator, Southern Region, Federal Aviation Administration. (20) Director, Resource Center, Lakewood, Colorado, Federal Highway Administration. (21) Regional Administrator, Northwest Mountain Region, Federal Aviation Administration. (b) Without regard to the foregoing, a person directed to perform the duties of the Secretary pursuant to 5 U.S.C. 3347 (the Vacancies Act) shall act as Secretary of Transportation. | |||||
| 49:49:1.0.1.1.1.2.2.5 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.20 Secretary of Transportation. | DOT | The Secretary is the head of the Department. The Secretary exercises oversight of all of the OST components, as well as each of the Operating Administrations, and overall planning, direction, and control of the Department's agenda. | |||||
| 49:49:1.0.1.1.1.2.2.6 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.21 Reservations of Authority to the Secretary of Transportation. | DOT | (a) All powers and duties that are not delegated by the Secretary in this part, or otherwise vested in officials other than the Secretary, are reserved to the Secretary. Except as otherwise provided, the Secretary may exercise powers and duties delegated or assigned to officials other than the Secretary. (b) The delegations of authority in subpart C (Office of the Inspector General) and subpart D (Operating Administrations) of this part do not extend to the following actions, authority for which is reserved to the Secretary or the Secretary's delegatee within the Office of the Secretary: (1) General transportation matters. (i) Transportation leadership authority pursuant to 49 U.S.C. 301 (Duties of the Secretary of Transportation: Leadership, consultation, and cooperation). (ii) Functions relating to transportation activities, plans, and programs under 49 U.S.C. 304 (Joint activities with the Secretary of Housing and Urban Development). (iii) Authority to develop, prepare, coordinate, transmit, and revise transportation investment standards and criteria under 49 U.S.C. 305 (Transportation investment standards and criteria). (iv) Authority relating to standard time zones and advanced (daylight) time (15 U.S.C. 260 et seq. ). (2) Legislation, rulemakings, and reports. (i) Submission to the President, the Director of the Office of Management and Budget, or Congress of proposals or recommendations for legislation, significant rulemakings and related documents as authorized by law, Executive Orders, proclamations or reorganization plans, or other Presidential action. (ii) Submission to the President or Congress of any report or any proposed transportation policy or investment standards or criteria, except with the prior written approval of the Secretary. (iii) Submission of the annual statement on systems of internal accounting and administrative control under the Federal Managers' Financial Integrity Act of 1982 (FMFIA) (31 U.S.C. 3512 note). (3) Budget and finance. (i) Approval and submission to the O… | |||||
| 49:49:1.0.1.1.1.2.2.7 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.22 Deputy Secretary. | DOT | Along with the Secretary, the Deputy Secretary exercises oversight of all of the OST components, as well as each of the Operating Administrations, and overall planning, direction, and control of the Department's agenda. The Deputy Secretary: (a) May exercise the authority of the Secretary, except where specifically limited by law, order, regulation, or instructions of the Secretary; (b) Serves as the Chief Operating Officer; and (c) Serves as the Chief Acquisition Officer. | |||||
| 49:49:1.0.1.1.1.2.2.8 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.23 Delegations to the Deputy Secretary. | DOT | The Deputy Secretary may exercise the authority of the Secretary, except where specifically limited by law, order, regulations, or instructions of the Secretary. In addition, the Deputy Secretary is delegated authority to: (a) Exercise executive control over Departmental Budgeting and Program Evaluation. (b) Serve as Chairman of the Departmental Executive Resources Board and its Executive Committee. (c) Serve as the Chair of the Department's Safety Council. (d) Serve as the Chair of the Department's Credit Council. (e) Approve the establishment, modification, extension, or termination of: (1) Department-wide (intra-department) committees affecting more than one program. (2) OST-sponsored interagency committees. (f) Approve the designation of: (1) Departmental representatives and the chairman for interagency committees sponsored by the Office of the Secretary. (2) Departmental members for international committees. (g) Serve as the representative of the Secretary on the board of directors of the National Railroad Passenger Corporation and carry out the functions vested in the Secretary as a member of the board by 49 U.S.C. 24302. (h) Approve the initiation of regulatory action, as defined in Executive Order 12866, by Secretarial offices and Operating Administrations. | |||||
| 49:49:1.0.1.1.1.2.2.9 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | B | Subpart B—Office of the Secretary | § 1.24 Under Secretary of Transportation for Policy. | DOT | The Under Secretary provides leadership in the Department's development of policies and programs to protect and enhance the safety, adequacy, and efficiency of the transportation system and services. The Office of the Under Secretary serves as the focal point within the Federal Government for coordination of intermodal transportation policy, which brings together departmental intermodal perspectives, advocates intermodal interests, and provides secretarial leadership and visibility on issues that involve or affect more than one Operating Administration. | |||||
| 49:49:1.0.1.1.1.3.3.1 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | C | Subpart C—Office of Inspector General | § 1.70 Overview. | DOT | This subpart describes the key responsibilities of the Office of Inspector General, the structure of the office, and the authority of the Inspector General. | |||||
| 49:49:1.0.1.1.1.3.3.2 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | C | Subpart C—Office of Inspector General | § 1.71 Key responsibilities. | DOT | The Inspector General conducts, supervises, and coordinates audits and investigations; reviews existing and proposed legislation and makes recommendations to the Secretary and Congress concerning their effect on the economy and efficiency of program administration, or the prevention and detection of fraud and abuse; recommends policies for and conducts, supervises, or coordinates other activities of the Department for the purpose of promoting economy and efficiency in program administration, or preventing and detecting fraud and abuse; and keeps the Secretary and the Congress fully and currently informed. | |||||
| 49:49:1.0.1.1.1.3.3.3 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | C | Subpart C—Office of Inspector General | § 1.72 Structure. | DOT | This Office is composed of: (a) The Office of the Deputy Inspector General; (b) The Office of the Principal Assistant Inspector General for Investigations; (c) The Office of the Principal Assistant Inspector General for Auditing and Evaluation; (d) The Office of the Assistant Inspector General for Administration; and (e) The Office of the Assistant Inspector General for Legal, Legislative and External Affairs. | |||||
| 49:49:1.0.1.1.1.3.3.4 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | C | Subpart C—Office of Inspector General | § 1.73 Authority of Inspector General. | DOT | The Inspector General shall report to and be under the general supervision of the Secretary and Deputy Secretary. The Inspector General has such authority as is provided by the Inspector General Act of 1978, as amended, and as is otherwise provided by law. Authorities provided to the Inspector General by law are reserved to the Inspector General. In accordance with the statutory intent of the Inspector General Act to create an independent and objective unit, the Inspector General is authorized to make such investigations and reports relating to the administration of the programs and operations of the Department as are, in the judgment of the Inspector General, necessary and desirable. Neither the Secretary nor the Deputy Secretary shall prevent or prohibit the Inspector General from initiating, carrying out, or completing any audit or investigation, or from issuing any subpoena during the course of any audit or investigation. | |||||
| 49:49:1.0.1.1.1.3.3.5 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | C | Subpart C—Office of Inspector General | § 1.74 Delegations to Inspector General. | DOT | The Inspector General is delegated authority to: (a) Redelegate and authorize successive redelegations of authority granted by the Secretary within the Office of Inspector General, except as limited by law or specific administrative reservation. (b) Authorize and approve official travel, including foreign travel and transportation for themselves, their subordinates, and others performing services for, or in cooperation with, the Office of Inspector General. (c) Exercise the authority of the Secretary to resolve informal allegations of discrimination arising in or relating to the Office of Inspector General through Equal Employment Opportunity counseling or the Alternative Dispute Resolution process and to develop and implement affirmative action and diversity plans. (d) Exercise the authority vested in the Secretary by 49 U.S.C. 326(a) to accept gifts of property (other than real property) or services (in carrying out aviation duties and powers), and the authority to accept travel reimbursements from non-federal sources under 31 U.S.C. 1353. (e) Exercise the implied authority to solicit gifts associated with 49 U.S.C. 326(a), notwithstanding the reservation of authority to the Secretary in § 1.21. (f) Carry out the emergency preparedness functions assigned to the Secretary by Executive Order 12656 (as amended; see Executive Order 13286) and by the Federal Emergency Management Agency and General Services Administration (FEMA and GSA) as they pertain to the Office of Inspector General, including those relating to continuity of operations, emergency resource management, and training. (g) Determine the existence and amount of indebtedness and the method of collecting repayments from employees and members within the Office of Inspector General and collect repayments accordingly, as provided by 5 U.S.C. 5514. (h) Waive claims of the United States arising out of an erroneous payment to an employee of the Office of Inspector General of pay or allowances, or travel, transportation, or relocation expenses and allow… | |||||
| 49:49:1.0.1.1.1.4.3.1 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.80 Overview. | DOT | This subpart sets forth the key responsibilities of the Operating Administrations, and the delegations of authority from the Secretary of Transportation to the Administrators. | |||||
| 49:49:1.0.1.1.1.4.3.10 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.88 The Federal Railroad Administration. | DOT | Is responsible for: (a) Regulating safety functions pertaining to railroads; (b) Conducting research and development activity in support of safer and more efficient rail transportation; (c) Investigating and issuing reports concerning collisions, derailments, and other railroad accidents resulting in serious injury to persons or to the property of a railroad; (d) Developing safety strategies to combat the causes of collisions, derailments, and other railroad accidents, as well as to reduce overall risk in the Nation's rail systems; (e) Promoting and strengthening the national rail system, including freight rail and high speed and higher performing intercity passenger rail. (f) Providing financial assistance, including grants, loans and loan guarantees, for rail freight and intermodal development, as well as high-speed and intercity passenger rail development; (g) Maximizing the positive impacts on the U.S. economy by encouraging domestic manufacturing on rail projects through the enforcement of Buy America provisions; and (h) Strengthening local communities by supporting station-area development and strong connections among rail passenger service, intercity bus, local transit, bicycle/pedestrian, and airport facilities. | |||||
| 49:49:1.0.1.1.1.4.3.11 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.89 Delegations to the Federal Railroad Administrator. | DOT | The Federal Railroad Administrator is delegated authority to: (a) Carry out the functions and exercise the authority vested in the Secretary by 49 U.S.C. Subtitle V, Part A (Safety, chapter 201 et seq. ), Part B (Assistance, chapter 221 et seq. ), Part C (Passenger Transportation, chapter 241 et seq. ), Part D (High-speed Rail, chapter 261), and section 28101 of Part E, relating to the law enforcement authority of railroad police officers; except 49 U.S.C. 20134 with respect to highway, traffic, and motor vehicle safety and highway construction. (b) Carry out the functions and exercise the authority vested in the Secretary by the Rail Safety Improvement Act of 2008 (Pub. L. 110-432, Div. A, 122 Stat. 4848). (c) Carry out the functions and exercise the authority vested in the Secretary by the Passenger Rail Investment and Improvement Act of 2008 (Pub. L. 110-432, Div. B, 122 Stat. 4907), except Title VI (122 Stat. 4968) as it relates to capital and preventive maintenance projects for the Washington Metropolitan Area Transit Authority. (d) Carry out the functions vested in the Secretary by section 5 (as it relates to railroad bridges not over navigable waterways) and section 8(a) (as it relates to railroad bridges) of the International Bridge Act of 1972 (Pub. L. 92-434, 86 Stat. 731) (33 U.S.C. 535c and 535e(a)). (e) Exercise the administrative powers vested in the Secretary by 49 U.S.C. Subtitle I, Chapter 5 (section 501 et seq. ) pertaining to railroad safety and 49 U.S.C. 103 (Federal Railroad Administration). (f) Promote and undertake research and development relating to rail matters generally (49 U.S.C. Chapter 3 (section 301 et seq ). and 49 U.S.C. 102). (g) Carry out the functions vested in the Secretary by 45 U.S.C. Ch. 15 (section 601 et seq. ) with respect to emergency rail services, except the authority to make findings required by 45 U.S.C. 662(a) and the authority to sign guarantees of certificates issued by trustees. (h) Carry out the functions vested in the Secretary by 45 U.S.C. chapt… | |||||
| 49:49:1.0.1.1.1.4.3.12 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.90 The Federal Transit Administration. | DOT | Is responsible for: (a) Providing grants that support the development of safe, comprehensive and coordinated public transportation systems; (b) Creating and implementing a national public transportation safety program that includes the development of safety practices and standards; (c) Assisting public transportation systems to achieve and maintain their infrastructure, equipment and vehicles in a state of good repair; (d) Promoting the environmental benefits of public transportation through continuing, cooperative, and comprehensive planning that improves the performance of the intermodal transportation system. (e) Supporting research, development, demonstration, and deployment projects dedicated to assisting in the delivery of safe, efficient and effective public transportation service; (f) Supporting, in coordination with FHWA and FRA, strong connections between public transportation and other modes of transportation, including bicycle/pedestrian facilities and station-area development that strengthen local communities; and (g) Maximizing the positive impacts on the U.S. economy by encouraging domestic manufacturing on transit projects through the enforcement of Buy America provisions. | |||||
| 49:49:1.0.1.1.1.4.3.13 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.91 Delegations to the Federal Transit Administrator. | DOT | The Federal Transit Administrator is delegated authority to carry out the following: (a) Chapter 53 of title 49, United States Code, and notes thereto. (b) Sections 3 and 9 through 15 of the National Capital Transportation Act of 1969 (Pub. L. 91-143, 83 Stat. 320), as amended (DC Code, section 9-1101.01 et seq. ). (c) Sections of title 23, United States Code, and notes thereto that involve public transportation projects, including those provisions that pertain to planning, environmental reviews and use of historic resources for public transportation projects. (d) Section 303 of title 49, United States Code, as it involves public transportation projects. (e) The following sections of Moving Ahead for Progress in the 21st Century Act (Pub. L. 112-141, 126 Stat. 405): (1) Sections 1315 [23 U.S.C. 109 note], 1316 [23 U.S.C. 109 note], 1317 [23 U.S.C. 109 note], 1318 [23 U.S.C. 109 note], and 1321, as they relate to public transit projects; and (2) Sections 20005(b) [49 U.S.C. 5303 note], 20008(b) [49 U.S.C. 5309 note], 20013(b) [49 U.S.C. 5315 note], 20017(b) [49 U.S.C. 5324 note], 20021(b), and 20025(b) [49 U.S.C. 5335 note]. (f) Section 601 of the Passenger Rail Investment and Improvement Act of 2008 (Pub. L. 110-432, Div. B). | |||||
| 49:49:1.0.1.1.1.4.3.14 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.92 The Maritime Administration. | DOT | Is responsible for: (a) Fostering the development and maintenance of a United States merchant marine sufficient to meet the needs of the national security and of the domestic and foreign commerce of the United States; (b) Operating the U.S. Merchant Marine Academy in order to train officers for the Nation's merchant marine; (c) Promoting development of ports and intermodal transportation systems through investments in port infrastructure via grant programs and America's Marine Highway program; (d) Promoting the growth and modernization of the U.S. merchant marine and U.S. shipyards by administering loan and guarantee programs; (e) Overseeing the administration of cargo preference statutes; (f) Maintaining custody of, operating, and preserving ships in the National Defense Reserve Fleet as well as other vessels under the custody of MARAD and managing, maintaining and operating its Ready Reserve Force component; (g) Conducting research and development to improve and promote the waterborne commerce of the United States. | |||||
| 49:49:1.0.1.1.1.4.3.15 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.93 Delegations to the Maritime Administrator. | DOT | The Maritime Administrator is delegated authority to: (a) Carry out the functions and exercise the authorities vested in the Secretary under Subtitle V of title 46, U.S.C., except for 46 U.S.C. 51303 and 55601(c) and (d); (b) Carry out the functions and exercise the authorities vested in the Secretary under Subtitle III of title 46, U.S.C.; (c) Carry out the functions and exercise the authorities vested in the Secretary under the Merchant Ship Sales Act of 1946, as amended (50 U.S.C. App. 1735 et seq. ); (d) Carry out the functions and exercise the authorities vested in the Secretary under 50 U.S.C. App 1744 with respect to the National Shipping Authority; (e) Exercise the authority vested in the Administrator of General Services by the Act of June 1, 1948, Public Law 80-566, 62 Stat. 281, 40 U.S.C. 318-318c and the Federal Property and Administrative Services Act of 1949, as amended, Public Law 81-152, 63 Stat. 377, and delegated to the Secretary of Transportation by the Administrator of General Services on March 23, 2000, relating to the enforcement of laws for the protection of property and persons at the United States Merchant Marine Academy, located in Kings Point, New York. This may be accomplished through appointment of uniformed personnel as special police, establishment of rules and regulations governing conduct on the affected property, and execution of agreements with other Federal, State, or local authorities. (f) Carry out the functions and exercise the authorities vested in the Secretary by section 3(d) of the Act to Prevent Pollution from Ships (33 U.S.C. 1902(d)) as it relates to ships owned or operated by the Maritime Administration when engaged in noncommercial service; (g) Carry out the functions vested in the Secretary by 40 U.S.C. 554 relating to authority to convey surplus real property to public entities for use in the development or operation of port facilities; (h) Carry out the following powers and duties and exercise the authorities vested in the Secretary by the Deepwater Port… | |||||
| 49:49:1.0.1.1.1.4.3.16 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.94 The National Highway Traffic Safety Administration. | DOT | Is responsible for: (a) In highway safety, setting uniform guidelines for a coordinated national highway safety formula grant program carried out by the States and local communities; conducting research and development activities, including demonstration projects and the collection and analysis of highway and motor vehicle safety data and related information; administering highway safety grant programs to encourage State efforts in such areas as occupant protection, impaired and distracted driving, traffic safety data information system improvements, motorcyclist safety, child safety restraints, and graduated driver's licensing; determining State compliance with highway traffic safety law requirements; administering a nationwide high visibility enforcement program; administering the National Driver Register; and leading and coordinating efforts to establish, expand, and improve State, local, tribal, and regional emergency medical services and 9-1-1 systems. (b) In motor vehicle safety, establishing and enforcing safety standards and regulations for the manufacture and importation of motor vehicles and motor vehicle equipment; conducting research, development, and testing concerning motor vehicle safety, including vehicle-to-vehicle and vehicle-to-infrastructure technologies and other new or advanced vehicle technologies; and investigating safety-related defects and non-compliance in motor vehicles and motor vehicle equipment and administering related recalls. (c) In automobile fuel economy, establishing automobile fuel economy standards for passenger and non-passenger automobiles and fuel efficiency standards for medium and heavy vehicles. (d) In consumer protection and information, establishing requirements and carrying out programs for passenger motor vehicle information, such as the New Car Assessment Program; bumper standards for passenger motor vehicles; odometer requirements; and passenger motor vehicle theft prevention standards. | |||||
| 49:49:1.0.1.1.1.4.3.17 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.95 Delegations to the National Highway Traffic Safety Administrator. | DOT | The National Highway Traffic Safety Administrator is delegated authority to: (a) Exercise the authority vested in the Secretary under chapters 301, 303, 321, 323, 325, 327, 329, and 331, of Title 49, U.S.C., except for 49 U.S.C. 32916(b). (b) Exercise the authority vested in the Secretary by 49 U.S.C. 20134(a) with respect to laws administered by the National Highway Traffic Safety Administration pertaining to highway, traffic and motor vehicle safety. (c) Carry out, in coordination with the Federal Motor Carrier Safety Administrator, the authority vested in the Secretary by subchapter III of chapter 311 of title 49, U.S.C., to promulgate safety standards for commercial motor vehicles and equipment subsequent to initial manufacture when the standards are based upon and similar to a Federal Motor Vehicle Safety Standard promulgated, either simultaneously or previously, under chapter 301 of title 49, U.S.C. (d) Carry out the Highway Safety Act of 1966, as amended (Pub. L. 89-564, 80 Stat. 731), for highway safety programs, research, and development except those relating to highway design, construction and maintenance, traffic control devices, identification and surveillance of crash locations, and highway-related aspects of pedestrian safety. (e) Exercise the authority vested in the Secretary under chapter 4 of title 23, U.S.C., except for 23 U.S.C. 409. (f) Carry out the functions and exercise the authority vested in the Secretary for the following provisions of title 23, U.S.C. (with respect to matters within the primary responsibility of the National Highway Traffic Safety Administration): 153, 154, 158, 161, 163, 164, and 313 (Buy America). (g) Carry out the consultation functions vested in the Secretary by Executive Order 11912, as amended (“Delegation of Authorities Relating to Energy Policy and Conservation”) relating to automobiles. (h) Exercise the authority vested in the Secretary by section 210(2) of the Clean Air Act, Public Law 90-148, as amended [42 U.S.C. 7544(2)]. (i) Carry out the function… | |||||
| 49:49:1.0.1.1.1.4.3.18 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.96 The Pipeline and Hazardous Materials Safety Administration. | DOT | Is responsible for: (a) Pipelines. (1) Administering a national program of safety in natural gas and hazardous liquid pipeline transportation including identifying pipeline safety concerns, developing uniform safety standards, and promulgating and enforcing safety regulations; (2) Increasing the gas and liquid pipeline industry's focus on safety beyond compliance with minimum standards, with particular attention to developing strong safety cultures in regulated entities; (3) Enhancing information awareness systems at the State and local levels to reduce pipeline damage from excavation and providing grants to support these systems; and (4) Encouraging the timely replacement of aging and deteriorating pipelines in distribution systems, especially in areas with high potential negative consequences to public safety and the environment. (b) Hazardous materials. (1) Administering a national program of safety, including security, in multi-modal hazardous materials transportation including identifying hazardous materials safety concerns, developing uniform safety standards, and promulgating and enforcing safety and security regulations; and (2) Conducting outreach and provide available grants assistance to increase awareness and emergency preparedness. | |||||
| 49:49:1.0.1.1.1.4.3.19 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.97 Delegations to the Pipeline and Hazardous Materials Safety Administrator. | DOT | The Pipeline and Hazardous Materials Safety Administrator is delegated responsibility to: (a) Pipelines. (1) Exercise the authority vested in the Secretary under chapter 601 of title 49, U.S.C. (2) Exercise the authority vested in the Secretary under section 28 of the Mineral Leasing Act, as amended (30 U.S.C. 185(a) and 30 U.S.C. 185(w)(3)). (3) Exercise the authority vested in the Secretary under section 21 of the Deepwater Port Act of 1974, as amended (33 U.S.C. 1520) relating to the establishment, enforcement and review of regulations concerning the safe construction, operation or maintenance of oil or natural gas pipelines on Federal lands and the Outer Continental Shelf. (4) Carry out the functions vested in the Secretary by section 5 (as it relates to pipelines not over navigable waterways) and section 8(a) (as it relates to pipelines) of the International Bridge Act of 1972 (Pub. L. 92-434, 86 Stat. 731) (33 U.S.C. 535c and 535e(a)). (5) Exercise the authority vested in the Secretary under the Outer Continental Shelf Lands Act, as amended (43 U.S.C. 1331 et seq. ) with respect to the establishment, enforcement and review of regulations concerning pipeline safety. (6) Carry out the functions vested in the Secretary by section 7 of Executive Order 12580 (delegating sections 108 and 109, respectively, of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 as amended (49 U.S.C. 9615 et seq. ), insofar as they relate to pipelines. (7) Exercise the authority vested in the Secretary by 49 U.S.C. 60301 as it relates to pipeline safety user fees. (8) Exercise the authority vested in the Secretary by 49 U.S.C. 6101 et seq. as it relates to pipeline damage prevention One Call programs. (9) Exercise the authority vested in the Secretary by the Pipeline Safety Improvement Act of 2002 (Pub. L. 107-355, 116 Stat. 2985). (10) Exercise the authority vested in the Secretary by the Pipeline Safety, Regulatory Certainty, and Job Creation Act of 2011 (Pub. L. 112-90). (b) Hazard… | |||||
| 49:49:1.0.1.1.1.4.3.2 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.81 Delegations to all Administrators. | DOT | (a) Except as prescribed by the Secretary of Transportation, each Administrator is authorized to: (1) Exercise the authority of the Secretary over and with respect to any personnel within their respective organizations. (2) [Reserved] (3) Exercise the authority vested in the Secretary to prescribe regulations under 49 U.S.C. 322(a) with respect to statutory provisions for which authority is delegated by other sections in this part. (4) Carry out the functions of the Secretary concerning environmental enhancement by 49 U.S.C. 303 (Duties of the Secretary of Transportation: Policy on lands, wildlife and waterfowl refuges, and historic sites) and 23 U.S.C. 138 as they relate to matters within the primary responsibility of each Operating Administration. (5) Carry out the functions of the Secretary under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq. ), section 176(c) of the Clean Air Act (42 U.S.C. 7506(c)), and related environmental laws as they relate to matters within the primary responsibility of each Operating Administration. (6) Carry out the functions of the Secretary under section 106 of the Historic Preservation Act of 1966, 16 U.S.C. 470f, as they relate to matters within the primary responsibility of each Operating Administration. (7) Administer FOIA and 49 CFR part 7 (Public Availability of Information) in connection with the records of the Operating Administration. (8) Administer the Privacy Act of 1974, 5 U.S.C. 552a, and 49 CFR part 10 (Maintenance of and Access to Records Pertaining to Individuals) in connection with the records of the Operating Administration. (9) Make written requests under subsection (b)(7) of the Privacy Act for records maintained by other agencies that are necessary to carry out an authorized law enforcement activity. (10) Carry out the emergency preparedness functions assigned to the Secretary by Executive Order 12656, (as amended; see Executive Order 13286) and by the Federal Emergency Management Agency and General Services Administration (FEMA… | |||||
| 49:49:1.0.1.1.1.4.3.20 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.98 The Research and Innovative Technology Administration. | DOT | Is responsible for: (a) Coordinating, facilitating, and reviewing the Department's research and development programs and activities, except as related to NHTSA; (b) After consultation with Operating Administration and OST offices, making recommendations to the Secretary on all Operating Administration and OST research budgets; (c) Providing leadership on technical, navigation, communication, and systems engineering activities, and spectrum management on behalf of the civil and civilian PNT communities; (d) Directing and administering university transportation research grants; (e) In coordination with FHWA, NHTSA, and FMCSA, conducting vehicle-to-vehicle and vehicle-to-infrastructure research; (f) Advancing Intelligent Transportation Systems (ITS) research and deployment of real-time multi-modal travel information for travelers, carriers, and public agencies; (g) Providing oversight of the activities of the Volpe National Transportation Systems Center, the ITS Joint Program Office, the Bureau of Transportation Statistics, and the Transportation Safety Institute; and (h) Providing technical support to advance the mission of the Secretary's Safety Council. | |||||
| 49:49:1.0.1.1.1.4.3.21 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.99 Delegations to the Research and Innovative Technology Administrator. | DOT | The Research and Innovative Technology Administrator is delegated authority for the following: (a) Coordination of departmental research and development programs and activities. (1) Coordinate, facilitate, and review all departmental research and development programs and activities, except those carried out by the National Highway Traffic Safety Administration, as described in section 4(b) of the Norman Y. Mineta Research and Special Programs Improvement Act (Pub. L. 108-426, 118 Stat. 2423). (2) After consultation with Operating Administration and OST offices, RITA shall make recommendations to the Secretary on all Operating Administration and OST research budgets. (b) Science and technology. (1) With respect to scientific and technological matters, serve as principal advisor to the Secretary and representative of the Department to the academic community, the private sector, professional organizations, and other federal, state and local government agencies. (2) Serve as principal liaison official for the Department of Transportation with the Office of Science and Technology Policy in the Executive Office of the President, the National Science and Technology Council, and the President's Committee of Advisors on Science and Technology. (3) Serve as primary official responsible for coordination and oversight of the Department's implementation of section 2 of the Federal Technology Transfer Act of 1986 (15 U.S.C. 3710a), relating to the transfer of Federal technology to the marketplace; and section 12(d) of the National Technology Transfer and Advancement Act of 1996 (Pub. L. 104-113), as implemented by OMB Circular A-119: Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities. (4) Serve as Chair and Executive Secretary of the Department of Transportation's Research, Development and Technology Planning Council and Planning Team. (5) Advocate Department of Transportation policy and program coordination efforts associated with transportation… | |||||
| 49:49:1.0.1.1.1.4.3.22 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.100 The Saint Lawrence Seaway Development Corporation. | DOT | Is responsible for the development, operation, and maintenance of that part of the Saint Lawrence Seaway within the territorial limits of the United States. | |||||
| 49:49:1.0.1.1.1.4.3.23 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.101 Delegations to the Saint Lawrence Seaway Development Corporation Administrator. | DOT | The Administrator of the Saint Lawrence Seaway Development Corporation is delegated authority to: (a) Carry out the functions vested in the Secretary by sections 4, 5, 6, 7, 8, 12 and 13 of section 2 of the Port and Tanker Safety Act of 1978 (Pub. L. 95-474, 92 Stat. 1471) [33 U.S.C. 1223-1225, 1227, and 1231-1232] as they relate to the operation of the Saint Lawrence Seaway. (b) Carry out the functions vested in the Secretary by section 5 and section 8(a) of the International Bridge Act of 1972 (Pub. L. 92-434, 86 Stat. 731) [33 U.S.C. 535c and 535e(a)] as it relates to the Saint Lawrence River. (c) Carry out the functions vested in the Secretary by section 3(d) of the Act to Prevent Pollution from Ships [33 U.S.C. 1902e] as it relates to ships owned or operated by the Corporation when engaged in noncommercial service. | |||||
| 49:49:1.0.1.1.1.4.3.3 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.81a Redelegation by all Administrators. | DOT | Except as otherwise specifically provided in this part, each Administrator may redelegate and authorize successive redelegations of authority within the organization under that official's jurisdiction. | |||||
| 49:49:1.0.1.1.1.4.3.4 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.82 The Federal Aviation Administration. | DOT | Is responsible for: (a) Promulgating and enforcing regulations on all safety matters relating to the operation of airports, the manufacture, operation, and maintenance of aircraft, and the efficiency of the National Airspace System; (b) Planning and supporting the development of an integrated national system of airports, with due consideration of safety, capacity, efficiency, environmental compatibility and sustainability; (c) Administering federal financial assistance programs for airports including airport grants-in-aid; (d) Preserving and enhancing the safety and efficiency of the Nation's air transportation system by implementing NextGen and other technologies, as appropriate; (e) Registering aircraft and recording rights in aircraft; (f) Developing, modifying, testing, and evaluating systems, procedures, facilities, and devices needed for the safe and efficient navigation and traffic control of aircraft; (h) Locating, constructing or installing, maintaining and operating Federal aids to air navigation, wherever necessary; (i) Developing air traffic regulations, and administering air navigation services for control of civil and military air operations within U.S. airspace, as well as administering such air navigation services as the FAA has accepted responsibility for providing in international airspace and the airspace of foreign countries; (j) Promoting aviation safety and efficiency through technical aviation assistance to foreign aviation authorities; (k) Developing strategies to improve runway safety at all commercial service airports; (l) Administering the Continuous Lower Energy, Emissions and Noise program, improving connections to surface transportation, and other efforts to increase the environmental sustainability of the Nation's air transportation systems; (m) Conducting an effective airport technology research program to improve airport safety, efficiency, and sustainability; (n) Exercising the final authority for carrying out all functions, powers, and duties of the Administration i… | |||||
| 49:49:1.0.1.1.1.4.3.5 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.83 Delegations to the Federal Aviation Administrator. | DOT | The Federal Aviation Administrator is delegated authority to: (a) Carry out the following functions vested in the Secretary by 49 U.S.C. Subtitle VII (Aviation Programs): (1) Sections 40103(a)(2), relating to the consultation with the Architectural and Transportation Barriers Compliance Board before prescribing regulations or procedures that will have a significant impact on accessibility of commercial airports or commercial air transportation for individuals with disabilities; 40109(c), but only as it relates to the regulation of 49 U.S.C. 46301(b) (smoke alarm device penalties), and 40109(e), relating to maximum flying hours 40113(a) as it relates to the functions vested in the Secretary and delegated in this section; 40114, relating to reports and records requirements; 40115, relating to withholding information from public disclosure; 40116, relating to the prohibition on State taxation as the prohibition may affect an airport sponsor's grant assurances; 40117, relating to passenger facility charges; 40119(b), relating to the issuance of regulations on disclosure of information obtained or developed in ensuring security; and 40127(b) of chapter 401, relating to prohibition on discrimination by private airports; (2) Section 41723 of subchapter I of chapter 417, relating to notice concerning aircraft assembly; (3) Section 44102(b) of chapter 441, relating to defining the term “based and primarily used in the United States”; (4) Chapter 443, relating to insurance; (5) Chapter 445, relating to facilities, personnel, and research, except section 44502(a)(3) as it relates to authorizing a department, agency, or instrumentality of the United States Government to carry out any duty or power under subsection 44502(a) with the consent of the head of the department, agency, or instrumentality; (6) Chapter 447, relating to safety regulation; (7) Chapter 451, relating to alcohol and controlled substances testing; (8) Subpart IV of Part A of 49 U.S.C. Subtitle VII (chapters 461-465) relating to the Secretary's auth… | |||||
| 49:49:1.0.1.1.1.4.3.6 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.84 The Federal Highway Administration. | DOT | Is responsible for: (a) Improving mobility on our Nation's highways through national leadership, innovation, and program delivery. (b) Developing safety strategies using a data-driven, systematic approach to address safety for motorists, bicyclists, and pedestrians from engineering, education, enforcement, and emergency medical services perspectives and coordinating with FMCSA and NHTSA as appropriate. (c) Planning, in cooperation with the States, the nation's highway system. (d) Improving, in cooperation with the States (via the provision of grants), infrastructure condition, safety, mobility and freight movement roads on the National Highway System, including the Interstate System and to other federal-aid roads and other surface transportation infrastructure. (e) Identifying and deploying innovation aimed at shortening project delivery, enhancing the safety of our roadways, and protecting the environment. (f) Surveying and constructing Federal lands transportation facilities, Federal lands access transportation facilities, tribal transportation facilities, defense highways and access roads, and parkways and roads in national parks and other federally-administered areas. (g) Developing and administering uniform State standards for highway safety programs with respect to identification and surveillance of crash locations; highway design, construction, and maintenance, including context sensitive solutions, highway-related aspects of pedestrian safety, and traffic control devices. (h) Administering the Department's National Bridge Inspection Standards and the National Tunnel Inspection Standards to ensure the Nation has safe, well-maintained bridges and tunnels for use by the traveling public. (i) In coordination with NHTSA, RITA, and FMCSA, conducting vehicle-to-vehicle and vehicle-to-infrastructure research. (j) Managing TIFIA funds, 23 U.S.C. 601-609, in conjunction with the TIFIA Joint Program Office, including managing accounting and budgeting activities, and procuring any necessary financial or tec… | |||||
| 49:49:1.0.1.1.1.4.3.7 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.85 Delegations to the Federal Highway Administrator. | DOT | (a) The Federal Highway Administrator is delegated authority to administer the following provisions of title 23, U.S.C. (Highways): (1) Chapter 1, Federal-Aid Highways, except for: (i) Section 142 (as it relates to matters within the primary responsibility of the Federal Transit Administrator); (ii) The following sections as they relate to matters within the primary responsibility of the National Highway Traffic Safety Administration: 153, 154, 158, 161, 163, and 164; and (iii) Section 167(f) (National Freight Strategic Plan). (2) Chapter 2, Other Highways, except for section 205. (3) Chapter 3, General Provisions (as it relates to matters within the primary responsibility of the Federal Highway Administration), except for section 322. (4) Section 409 of chapter 4, Highway Safety. (5) Chapter 5, Research, Technology, and Education, except for section 508. (6) Chapter 6, Infrastructure Finance, subject to the limitations set forth in §§ 1.33 (Assistant Secretary for Budget and Programs) and 1.21 (reservation to the Secretary of final approval of TIFIA credit assistance applications). (b) The Federal Highway Administrator is delegated authority to administer the following provisions of title 49, U.S.C. (Transportation): (1) Section 20134(a) with respect to the laws administered by the Federal Highway Administrator pertaining to highway safety and highway construction; and (2) Sections 31111 and 31112 (as it relates to matters within the primary responsibility of the Federal Highway Administration). (3) Section 31314 (as it relates to matters within the primary responsibility of the Federal Highway Administration). (c) The Federal Highway Administrator is delegated authority to administer the following laws relating generally to highways: (1) Section 502(c) of the General Bridge Act of 1946, as amended, Public Law 79-601, tit. V, 60 Stat. 847, [33 U.S.C. 525(c)]. (2) Reorganization Plan No. 7 of 1949 (63 Stat. 1070). (3) The Federal-Aid Highway Act of 1954, as amended (Pub. L. 83-350, 68 Stat. 70). … | |||||
| 49:49:1.0.1.1.1.4.3.8 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.86 The Federal Motor Carrier Safety Administration. | DOT | Is responsible for: (a) Managing program and regulatory activities, including administering laws and promulgating and enforcing regulations on safety matters relating to motor carrier safety; (b) Carrying out motor carrier registration and authority to regulate household goods transportation; (c) Developing strategies for improving commercial motor vehicle, operator, and carrier safety and administering grants to implement these strategies; (d) Inspecting records and equipment of commercial motor carriers, and investigating accidents and reporting violations of motor carrier safety regulations; (e) Carrying out research, development, and technology transfer activities to promote safety of operation and equipment of motor vehicles for the motor carrier transportation program; and (f) Carrying out an effective communications and outreach program which includes providing relevant safety data to the public. | |||||
| 49:49:1.0.1.1.1.4.3.9 | 49 | Transportation | A | 1 | PART 1—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES | D | Subpart D—Operating Administrations | § 1.87 Delegations to the Federal Motor Carrier Safety Administrator. | DOT | The Federal Motor Carrier Safety Administrator is delegated authority to: (a) Carry out the following functions and exercise the authority vested in the Secretary by 49 U.S.C., Subtitle IV, part B: (1) Chapter 131, relating to general provisions on transportation policy; (2) Chapter 133, relating to administrative provisions; (3) Chapter 135, relating to jurisdiction; (4) Sections 13704 and 13707 of chapter 137, relating to rates, routes, and services; (5) Chapter 139, relating to registration and financial responsibility requirements, except section 13907(d)(2); (6) Chapter 141, relating to operations of motor carriers; (7) Sections 14501, 14502, and 14504a relating to Federal-State relations, and section 14506 relating to identification of vehicles. (8) Sections 14701 through 14705, 14707, 14708, 14710, and 14711 of chapter 147, relating to enforcement remedies, investigations and motor carrier liability; and (9) Sections 14901 through 14913, 14915, and 14916 of chapter 149 relating to civil and criminal penalties for violations of 49 U.S.C. subtitle IV, part B. (b) Carry out the functions vested in the Secretary by sections 104 and 204 of the ICC Termination Act of 1995, Public Law 104-88, 109 Stat. 803, relating to self-insurance rules and a savings clause. (c) Carry out the functions vested in the Secretary by 42 U.S.C. 4917, relating to procedures for the inspection, surveillance and measurement of commercial motor vehicles for compliance with interstate motor carrier noise emission standards and related enforcement activities including the promulgation of necessary regulations. (d) Carry out the following functions and exercise the authority vested in the Secretary by chapter 51 of title 49, U.S.C.: (1) Except as delegated to the Under Secretary of Transportation for Policy by § 1.25, carry out the functions vested in the Secretary by 49 U.S.C. 5121(a), (b), (c), and (d), 5122, 5123, and 5124, relating to the transportation or shipment of hazardous materials by highway. (2) Carry out the fun… | |||||
| 49:49:1.0.1.1.10.0.3.1 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.1 Scope. | DOT | (a) Applicability. This part governs the maintenance, safeguarding, and disclosure of records and information that the Secretary of DOT has determined to be Sensitive Security Information, as defined in § 15.5. This part does not apply to the maintenance, safeguarding, or disclosure of classified national security information, as defined by Executive Order 12968, or to other sensitive unclassified information that is not SSI, but that nonetheless may be exempt from public disclosure under the Freedom of Information Act. In addition, in the case of information that has been designated as critical infrastructure information under section 214 of the Homeland Security Act, the receipt, maintenance, or disclosure of such information by a Federal agency or employee is governed by section 214 and any implementing regulations, not by this part. (b) Delegation. The authority of the Secretary under this part may be further delegated within DOT. | |||||||
| 49:49:1.0.1.1.10.0.3.10 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.19 Destruction of SSI. | DOT | (a) DOT. Subject to the requirements of the Federal Records Act (5 U.S.C. 105), including the duty to preserve records containing documentation of a Federal agency's policies, decisions, and essential transactions, DOT destroys SSI when no longer needed to carry out the agency's function. (b) Other covered persons —(1) In general. A covered person must destroy SSI completely to preclude recognition or reconstruction of the information when the covered person no longer needs the SSI to carry out transportation security measures. (2) Exception. Paragraph (b)(1) of this section does not require a State or local government agency to destroy information that the agency is required to preserve under State or local law. | |||||||
| 49:49:1.0.1.1.10.0.3.2 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.3 Terms used in this part. | DOT | In addition to the terms in § 15.3 of this chapter, the following terms apply in this part: Administrator means the Under Secretary of Transportation for Security referred to in 49 U.S.C. 114(b), or his or her designee. Coast Guard means the United States Coast Guard. Covered person means any organization, entity, individual, or other person described in § 15.7. In the case of an individual, covered person includes any individual applying for employment in a position that would be a covered person, or in training for such a position, regardless of whether that individual is receiving a wage, salary, or other form of payment. Covered person includes a person applying for certification or other form of approval that, if granted, would make the person a covered person described in § 15.7. DHS means the Department of Homeland Security and any directorate, bureau, or other component within the Department of Homeland Security, including the United States Coast Guard. DOT means the Department of Transportation and any operating administration, entity, or office within the Department of Transportation, including the Saint Lawrence Seaway Development Corporation and the Bureau of Transportation Statistics. Federal Flight Deck Officer means a pilot participating in the Federal Flight Deck Officer Program under 49 U.S.C. 44921 and implementing regulations. Maritime facility means any facility as defined in 33 CFR part 101. Record includes any means by which information is preserved, irrespective of format, including a book, paper, drawing, map, recording, tape, film, photograph, machine-readable material, and any information stored in an electronic format. The term record also includes any draft, proposed, or recommended change to any record. Security contingency plan means a plan detailing response procedures to address a transportation security incident, threat assessment, or specific threat against transportation, including details of preparation, response, mitigation, recovery, and reconstitution… | |||||||
| 49:49:1.0.1.1.10.0.3.3 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.5 Sensitive security information. | DOT | (a) In general. In accordance with 49 U.S.C. 40119(b)(1), SSI is information obtained or developed in the conduct of security activities, including research and development, the disclosure of which the Secretary of DOT has determined would— (1) Constitute an unwarranted invasion of privacy (including, but not limited to, information contained in any personnel, medical, or similar file); (2) Reveal trade secrets or privileged or confidential information obtained from any person; or (3) Be detrimental to transportation safety. (b) Information constituting SSI. Except as otherwise provided in writing by the Secretary of DOT in the interest of public safety or in furtherance of transportation security, the following information, and records containing such information, constitute SSI: (1) Security programs and contingency plans. Any security program or security contingency plan issued, established, required, received, or approved by DOT or DHS, including— (i) Any aircraft operator or airport operator security program or security contingency plan under this chapter; (ii) Any vessel, maritime facility, or port area security plan required or directed under Federal law; (iii) Any national or area security plan prepared under 46 U.S.C. 70103; and (iv) Any security incident response plan established under 46 U.S.C. 70104. (2) Security Directives. Any Security Directive or order— (i) Issued by TSA under 49 CFR 1542.303, 1544.305, or other authority; (ii) Issued by the Coast Guard under the Maritime Transportation Security Act, 33 CFR part 6, or 33 U.S.C. 1221 et seq. related to maritime security; or (iii) Any comments, instructions, and implementing guidance pertaining thereto. (3) Information Circulars. Any notice issued by DHS or DOT regarding a threat to aviation or maritime transportation, including any— (i) Information Circular issued by TSA under 49 CFR 1542.303 or 1544.305, or other authority; and (ii) Navigation or Vessel Inspection Circular issued by the Coast Guard related to maritime s… | |||||||
| 49:49:1.0.1.1.10.0.3.4 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.7 Covered persons. | DOT | Persons subject to the requirements of part 15 are: (a) Each airport operator and aircraft operator subject to the requirements of Subchapter C of this title. (b) Each indirect air carrier, as defined in 49 CFR 1540.5. (c) Each owner, charterer, or operator of a vessel, including foreign vessel owners, charterers, and operators, required to have a security plan under Federal or International law. (d) Each owner or operator of a maritime facility required to have a security plan under the Maritime Transportation Security Act, (Pub. L. 107-295), 46 U.S.C. 70101 et seq., 33 CFR part 6, or 33 U.S.C. 1221 et seq. (e) Each person performing the function of a computer reservation system or global distribution system for airline passenger information. (f) Each person participating in a national or area security committee established under 46 U.S.C. 70112, or a port security committee. (g) Each industry trade association that represents covered persons and has entered into a non-disclosure agreement with the DHS or DOT. (h) DHS and DOT. (i) Each person conducting research and development activities that relate to aviation or maritime transportation security and are approved, accepted, funded, recommended, or directed by DHS or DOT. (j) Each person who has access to SSI, as specified in § 15.11. (k) Each person employed by, contracted to, or acting for a covered person, including a grantee of DHS or DOT, and including a person formerly in such position. (l) Each person for which a vulnerability assessment has been directed, created, held, funded, or approved by the DOT, DHS, or that has prepared a vulnerability assessment that will be provided to DOT or DHS in support of a Federal security program. (m) Each person receiving SSI under § 1520.15(d) or (e). | |||||||
| 49:49:1.0.1.1.10.0.3.5 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.9 Restrictions on the disclosure of SSI. | DOT | (a) Duty to protect information. A covered person must— (1) Take reasonable steps to safeguard SSI in that person's possession or control from unauthorized disclosure. When a person is not in physical possession of SSI, the person must store it a secure container, such as a locked desk or file cabinet or in a locked room. (2) Disclose, or otherwise provide access to, SSI only to covered persons who have a need to know, unless otherwise authorized in writing by TSA, the Coast Guard, or the Secretary of DOT. (3) Refer requests by other persons for SSI to TSA or the applicable component or agency within DOT or DHS. (4) Mark SSI as specified in § 15.13. (5) Dispose of SSI as specified in § 15.19. (b) Unmarked SSI. If a covered person receives a record containing SSI that is not marked as specified in § 1520.13, the covered person must— (1) Mark the record as specified in § 15.13; and (2) Inform the sender of the record that the record must be marked as specified in § 15.13. (c) Duty to report unauthorized disclosure. When a covered person becomes aware that SSI has been released to unauthorized persons, the covered person must promptly inform TSA or the applicable DOT or DHS component or agency. (d) Additional requirements for critical infrastructure information. In the case of information that is both SSI and has been designated as critical infrastructure information under section 214 of the Homeland Security Act, any covered person who is a Federal employee in possession of such information must comply with the disclosure restrictions and other requirements applicable to such information under section 214 and any implementing regulations. | |||||||
| 49:49:1.0.1.1.10.0.3.6 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.11 Persons with a need to know. | DOT | [69 FR 28078, May 18, 2004, as amended at 70 FR 1381, Jan. 7, 2005] | (a) In general. A person has a need to know SSI in each of the following circumstances: (1) When the person requires access to specific SSI to carry out transportation security activities approved, accepted, funded, recommended, or directed by DHS or DOT. (2) When the person is in training to carry out transportation security activities approved, accepted, funded, recommended, or directed by DHS or DOT. (3) When the information is necessary for the person to supervise or otherwise manage individuals carrying out transportation security activities approved, accepted, funded, recommended, or directed by the DHS or DOT. (4) When the person needs the information to provide technical or legal advice to a covered person regarding transportation security requirements of Federal law. (5) When the person needs the information to represent a covered person in connection with any judicial or administrative proceeding regarding those requirements. (b) Federal employees, contractors, and grantees. (1) A Federal employee has a need to know SSI if access to the information is necessary for performance of the employee's official duties. (2) A person acting in the performance of a contract with or grant from DHS or DOT has a need to know SSI if access to the information is necessary to performance of the contract or grant. (c) Background check. The Secretary of DOT may make an individual's access to the SSI contingent upon satisfactory completion of a security background check and the imposition of procedures and requirements for safeguarding SSI that are satisfactory to the Secretary. (d) Need to know further limited by the DHS or DOT. For some specific SSI, DHS or DOT may make a finding that only specific persons or classes of persons have a need to know. | ||||||
| 49:49:1.0.1.1.10.0.3.7 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.13 Marking SSI. | DOT | (a) Marking of paper records. In the case of paper records containing SSI, a covered person must mark the record by placing the protective marking conspicuously on the top, and the distribution limitation statement on the bottom, of— (1) The outside of any front and back cover, including a binder cover or folder, if the document has a front and back cover; (2) Any title page; and (3) Each page of the document. (b) Protective marking. The protective marking is: SENSITIVE SECURITY INFORMATION. (c) Distribution limitation statement. The distribution limitation statement is: WARNING: This record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know”, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520. WARNING: This record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know”, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520. (d) Other types of records. In the case of non-paper records that contain SSI, including motion picture films, videotape recordings, audio recording, and electronic and magnetic records, a covered person must clearly and conspicuously mark the records with the protective marking and the distribution limitation statement such that the viewer or listener is reasonably likel… | |||||||
| 49:49:1.0.1.1.10.0.3.8 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.15 SSI disclosed by DOT. | DOT | (a) In general. Except as otherwise provided in this section, and notwithstanding the Freedom of Information Act (5 U.S.C. 552), the Privacy Act (5 U.S.C. 552a), and other laws, records containing SSI are not available for public inspection or copying, nor does DOT release such records to persons without a need to know. (b) Disclosure under the Freedom of Information Act and the Privacy Act. If a record contains both SSI and information that is not SSI, DOT, on a proper Freedom of Information Act or Privacy Act request, may disclose the record with the SSI redacted, provided the record is not otherwise exempt from disclosure under the Freedom of Information Act or Privacy Act. (c) Disclosures to committees of Congress and the General Accounting Office. Nothing in this part precludes DOT from disclosing SSI to a committee of Congress authorized to have the information or to the Comptroller General, or to any authorized representative of the Comptroller General. (d) Disclosure in enforcement proceedings —(1) In general. The Secretary of DOT may provide SSI to a person in the context of an administrative enforcement proceeding when, in the sole discretion of the Secretary, access to the SSI is necessary for the person to prepare a response to allegations contained in a legal enforcement action document issued by DOT. (2) Security background check. Prior to providing SSI to a person under paragraph (d)(1) of this section, the Secretary of DOT may require the individual or, in the case of an entity, the individuals representing the entity, and their counsel, to undergo and satisfy, in the judgment of the Secretary of DOT, a security background check. (e) Other conditional disclosure. The Secretary of DOT may authorize a conditional disclosure of specific records or information that constitute SSI upon the written determination by the Secretary that disclosure of such records or information, subject to such limitations and restrictions as the Secretary may prescribe, would not be detrimental to transp… | |||||||
| 49:49:1.0.1.1.10.0.3.9 | 49 | Transportation | A | 15 | PART 15—PROTECTION OF SENSITIVE SECURITY INFORMATION | § 15.17 Consequences of unauthorized disclosure of SSI. | DOT | Violation of this part is grounds for a civil penalty and other enforcement or corrective action by DOT, and appropriate personnel actions for Federal employees. Corrective action may include issuance of an order requiring retrieval of SSI to remedy unauthorized disclosure or an order to cease future unauthorized disclosure. | |||||||
| 49:49:1.0.1.1.11.0.3.1 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.1 What is the purpose of these regulations? | DOT | (a) The regulations in this part implement Executive Order 12372, “Intergovernmental Review of Federal Programs,” issued July 14, 1982, and amended on April 8, 1983. These regulations also implement applicable provisions of section 401 of the Intergovernmental Cooperation Act of 1968 and section 204 of the Demonstration Cities and Metropolitan Development Act of 1966. (b) These regulations are intended to foster an intergovernmental partnership and a strengthened Federalism by relying on state processes and on state, areawide, regional and local coordination for review of proposed Federal financial assistance and direct Federal development. (c) These regulations are intended to aid the internal management of the Department, and are not intended to create any right or benefit enforceable at law by a party against the Department or its officers. | |||||||
| 49:49:1.0.1.1.11.0.3.10 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.10 How does the Secretary make efforts to accommodate intergovernmental concerns? | DOT | (a) If a state process provides a state process recommendation to the Department through its single point of contact, the Secretary either: (1) Accepts the recommendation; (2) Reaches a mutually agreeable solution with the state process; or (3) Provides the single point of contact with a written explanation of the decision, in such form as the Secretary in his or her discretion deems appropriate. The Secretary may also supplement the written explanation by providing the explanation to the single point of contact by telephone, other telecommunication, or other means. (b) In any explanation under paragraph (a)(3) of this section, the Secretary informs the single point of contact that: (1) The Department will not implement its decision for at least ten days after the single point of contact receives the explanation; or (2) The Secretary has reviewed the decision and determined that, because of unusual circumstances, the waiting period of at least ten days is not feasible. (c) For purposes of computing the waiting period under paragraph (b)(1) of this section, a single point of contact is presumed to have received written notification 5 days after the date of mailing of such notification. | |||||||
| 49:49:1.0.1.1.11.0.3.11 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.11 What are the Secretary's obligations in interstate situations? | DOT | (a) The Secretary is responsible for: (1) Identifying proposed federal financial assistance and direct federal development that have an impact on interstate areas; (2) Notifying appropriate officials and entities in states which have adopted a process and which select the Department's program or activity. (3) Making efforts to identify and notify the affected state, areawide, regional, and local officials and entities in those states that have not adopted a process under the Order or do not select the Department's program or activity; (4) Responding pursuant to § 17.10 of this part if the Secretary receives a recommendation from a designated areawide agency transmitted by a single point of contact, in cases in which the review, coordination, and communication with the Department have been delegated. (b) The Secretary uses the procedures in § 17.10 if a state process provides a state process recommendation to the Department through a single point of contact. | |||||||
| 49:49:1.0.1.1.11.0.3.12 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.12 How may a state simplify, consolidate, or substitute federally required state plans? | DOT | (a) As used in this section: (1) Simplify means that a state may develop its own format, choose its own submission date, and select the planning period for a state plan. (2) Consolidate means that a state may meet statutory and regulatory requirements by combining two or more plans into one document and that the state can select the format, submission date, and planning period for the consolidated plan. (3) Substitute means that a state may use a plan or other document that it has developed for its own purposes to meet Federal requirements. (b) If not inconsistent with law, a state may decide to try to simplify, consolidate, or substitute federally required state plans without prior approval by the Secretary. (c) The Secretary reviews each state plan that a state has simplified, consolidated, or substituted and accepts the plan only if its contents meet federal requirements. | |||||||
| 49:49:1.0.1.1.11.0.3.13 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.13 May the Secretary waive any provision of these regulations? | DOT | In an emergency, the Secretary may waive any provision of these regulations. | |||||||
| 49:49:1.0.1.1.11.0.3.2 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.2 What definitions apply to these regulations? | DOT | Department means the U.S. Department of Transportation. Order means Executive Order 12372, issued July 14, 1982, and amended April 8, 1983, and titled “Intergovernmental Review of Federal Programs.” Secretary means the Secretary of the U.S. Department of Transportation or an official or employee of the Department acting for the Secretary under a delegation of authority. State means any of the 50 states, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, the U.S. Virgin Islands, or the Trust Territory of the Pacific Islands. | |||||||
| 49:49:1.0.1.1.11.0.3.3 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.3 What programs and activities of the Department are subject to these regulations? | DOT | The Secretary publishes in the Federal Register a list of the Department's programs and activities that are subject to these regulations and identifies which of these are subject to the requirements of section 204 of the Demonstration Cities and Metropolitan Development Act. | |||||||
| 49:49:1.0.1.1.11.0.3.4 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.4 [Reserved] | DOT | ||||||||
| 49:49:1.0.1.1.11.0.3.5 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.5 What is the Secretary's obligation with respect to Federal interagency coordination? | DOT | The Secretary, to the extent practicable, consults with and seeks advice from all other substantially affected Federal departments and agencies in an effort to assure full coordination between such agencies and the Department regarding programs and activities covered under these regulations. | |||||||
| 49:49:1.0.1.1.11.0.3.6 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.6 What procedures apply to the selection of programs and activities under these regulations? | DOT | (a) A state may select any program or activity published in the Federal Register in accordance with § 17.3 of this part for intergovernmental review under these regulations. Each state, before selecting programs and activities shall consult with local elected officials. (b) Each state that adopts a process shall notify the Secretary of the Department's programs and activities selected for that process. (c) A state may notify the Secretary of changes in its selections at any time. For each change, the state shall submit to the Secretary an assurance that the state has consulted with elected local elected officials regarding the change. The Department may establish deadlines by which states are required to inform the Secretary of changes in their program selections. (d) The Secretary uses a state's process as soon as feasible, depending on individual programs, and activities, after the Secretary is notified of its selections. | |||||||
| 49:49:1.0.1.1.11.0.3.7 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.7 How does the Secretary communicate with state and local officials concerning the Department's programs and activities? | DOT | (a) For those programs and activities covered by a state process under § 17.6, the Secretary, to the extent permitted by law: (1) Uses the state process to determine views of state and local elected officials; and, (2) Communicates with state and local elected officials, through the state process, as early in a program planning cycle as is reasonably feasible to explain specific plans and actions. (b) The Secretary provides notice to directly affected state, areawide, regional, and local entities in a state of proposed Federal financial assistance or direct Federal development if: (1) The state has not adopted a process under the Order; or (2) The assistance or development involves a program or activity not selected for the state process. This notice may be made by publication in the Federal Register or other appropriate means, which the Department in its discretion deems appropriate. | |||||||
| 49:49:1.0.1.1.11.0.3.8 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.8 How does the Secretary provide states an opportunity to comment on proposed Federal financial assistance and direct Federal development? | DOT | (a) Except in unusual circumstances, the Secretary gives state processes or state, areawide, regional and local officials and entities at least: (1) [Reserved] (2) 60 days from the date established by the Secretary to comment on proposed direct Federal development or Federal financial assistance. (b) This section also applies to comments in cases in which the review, coordination, and communication with the Department have been delegated. (c) Applicants for programs and activities subject to section 204 of the Demonstration Cities and Metropolitan Act shall allow areawide agencies a 60-day opportunity for review and comment. | |||||||
| 49:49:1.0.1.1.11.0.3.9 | 49 | Transportation | A | 17 | PART 17—INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION PROGRAMS AND ACTIVITIES | § 17.9 How does the Secretary receive and respond to comments? | DOT | (a) The Secretary follows the procedures in § 17.10 if: (1) A state office or official is designated to act as a single point of contact between a state process and all federal agencies, and (2) That office or official transmits a state process recommendation for a program selected under § 17.6. (b)(1) The single point of contact is not obligated to transmit comments from state, areawide, regional or local officials and entities where there is no state process recommendation. (2) If a state process recommendation is transmitted by a single point of contact, all comments from state, areawide, regional, and local officials and entities that differ from it must also be transmitted. (c) If a state has not established a process, or is unable to submit a state process recommendation, state, areawide, regional and local officials and entities may submit comments either to the applicant or to the Department. (d) If a program or activity is not selected for a state process, state, areawide, regional and local officials and entities may submit comments either to the applicant or to the Department. In addition, if a state process recommendation for a nonselected program or activity is transmitted to the Department by the single point of contact, the Secretary follows the procedures of § 17.10 of this part. (e) The Secretary considers comments which do not constitute a state process recommendation submitted under these regulations and for which the Secretary is not required to apply the procedures of § 17.10 of this part, when such comments are provided by a single point of contact, by the applicant, or directly to the Department by a commenting party. | |||||||
| 49:49:1.0.1.1.13.1.3.1 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | A | Subpart A—General | § 20.100 Conditions on use of funds. | DOT | (a) No appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative ageement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (b) Each person who requests or receives from an agency a Federal contract, grant, loan, or cooperative agreement shall file with that agency a certification, set forth in appendix A, that the person has not made, and will not make, any payment prohibited by paragraph (a) of this section. (c) Each person who requests or receives from an agency a Federal contract, grant, loan, or a cooperative agreement shall file with that agency a disclosure form, set forth in appendix B, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under paragraph (a) of this section if paid for with appropriated funds. (d) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a statement, set forth in appendix A, whether that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee. (e) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a disclosure form, … | |||||
| 49:49:1.0.1.1.13.1.3.2 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | A | Subpart A—General | § 20.105 Definitions. | DOT | For purposes of this part: (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1). (b) Covered Federal action means any of the following Federal actions: (1) The awarding of any Federal contract; (2) The making of any Federal grant; (3) The making of any Federal loan; (4) The entering into of any cooperative agreement; and, (5) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan. Loan guarantees and loan insurance are addressed independently within this part. (c) Federal contract means an acquisition contract awarded by an agency, including those subject to the Federal Acquisition Regulation (FAR), and any other acquisition contract for real or personal property or services not subject to the FAR. (d) Federal cooperative agreement means a cooperative agreement entered into by an agency. (e) Federal grant means an award of financial assistance in the form of money, or property in lieu of money, by the Federal Government or a direct appropriation made by law to any person. The term does not include technical assistance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, loan insurance, interest subsidies, insurance, or direct United States cash assistance to an individual. (f) Federal loan means a loan made by an agency. The term does not include loan guarantee or loan insurance. (g) Indian tribe and tribal organization have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act. (h) Influencing or attempting to influence mea… | |||||
| 49:49:1.0.1.1.13.1.3.3 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | A | Subpart A—General | § 20.110 Certification and disclosure. | DOT | (a) Each person shall file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such person for: (1) Award of a Federal contract, grant, or cooperative agreement exceeding $100,000; or (2) An award of a Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000. (b) Each person shall file a certification, and a disclosure form, if required, upon receipt by such person of: (1) A Federal contract, grant, or cooperative agreement exceeding $100,000; or (2) A Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000, Unless such person previously filed a certification, and a disclosure form, if required, under paragraph (a) of this section. (c) Each person shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this section. An event that materially affects the accuracy of the information reported includes: (1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or (2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or, (3) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action. (d) Any person who requests or receives from a person referred to in paragraphs (a) or (b) of this section: (1) A subcontract exceeding $100,000 at any tier under a Federal contract; (2) A subgrant, contract, or subcontract exceeding $100,000 at any tier under a Federal grant; (3) A contract or subcontract exceeding $100,000 at any tier under a Federal loan exceeding $150,000; or, (4) A contract or subcontract exceeding $100… | |||||
| 49:49:1.0.1.1.13.2.3.1 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | B | Subpart B—Activities by Own Employees | § 20.200 Agency and legislative liaison. | DOT | (a) The prohibition on the use of appropriated funds, in § 20.100 (a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement if the payment is for agency and legislative liaison activities not directly related to a covered Federal action. (b) For purposes of paragraph (a) of this section, providing any information specifically requested by an agency or Congress is allowable at any time. (c) For purposes of paragraph (a) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation for any covered Federal action: (1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and, (2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use. (d) For purposes of paragraph (a) of this section, the following agencies and legislative liaison activities are allowable only where they are prior to formal solicitation of any covered Federal action: (1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; (2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and, (3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law 95-507 and other subsequent amendments. (e) Only those activities expressly authorized by this section are allowable under this section. | |||||
| 49:49:1.0.1.1.13.2.3.2 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | B | Subpart B—Activities by Own Employees | § 20.205 Professional and technical services. | DOT | (a) The prohibition on the use of appropriated funds, in § 20.100 (a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or an extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement. (b) For purposes of paragraph (a) of this section, “professional and technical services” shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communic… | |||||
| 49:49:1.0.1.1.13.2.3.3 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | B | Subpart B—Activities by Own Employees | § 20.210 Reporting. | DOT | No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a person. | |||||
| 49:49:1.0.1.1.13.3.3.1 | 49 | Transportation | A | 20 | PART 20—NEW RESTRICTIONS ON LOBBYING | C | Subpart C—Activities by Other Than Own Employees | § 20.300 Professional and technical services. | DOT | (a) The prohibition on the use of appropriated funds, in § 20.100 (a), does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement. (b) The reporting requirements in § 20.110 (a) and (b) regarding filing a disclosure form by each person, if required, shall not apply with respect to professional or technical services rendered directly in the preparation, submission, or negotiation of any commitment providing for the United States to insure or guarantee a loan. (c) For purposes of paragraph (a) of this section, “professional and technical services” shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting or a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's p… |
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