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FHWA Order M1100.1A

Order
Subject
FHWA Delegations and Organization Manual: Chapter 3
Classification Code Date  
M1100.1A, Chg. 16, Chapter 3: Reservations May 20, 2003 PART 1, CH. 3

PART I. DELEGATIONS OF AUTHORITY

CHAPTER 3. RESERVATIONS

TABLE OF CONTENTS

SECTION I -RESERVATIONS BY THE SECRETARY

SECTION II -RESERVATIONS BY THE ADMINISTRATOR


PART I. DELEGATIONS OF AUTHORITY

CHAPTER 3. RESERVATIONS

SECTION 1. RESERVATIONS BY THE SECRETARY

  1. GENERAL TRANSPORTATION MATTERS

    1. Transportation leadership authority under 49 U.S.C. 301.

    2. Functions relating to transportation activities, plans, and programs under 49 U.S.C. 304.

    3. Authority to develop, prepare, coordinate, transmit, and review transportation investment standards and criteria under 49 U.S.C. 305.

    4. Authority relating to standard time zones and advanced (daylight) time (15 U.S.C. 260 et seq.).

  2. LEGISLATION AND REPORTS

    1. Submission to the President, the Director of the Office of Management and Budget (OMB) or the Congress of proposals or recommendations for legislation, Executive Orders, Proclamations or Reorganization Plans or other Presidential action.

    2. Submission to Congress or the President of any report or any proposed transportation policy or investment standards or criteria. 1

    3. Submission of an annual statement to the President and Congress on systems of internal accounting and administrative control under the Federal Managers' Financial Integrity Act of 1982 (P.L. 97-255), which reserves to the Secretary the functions vested in the Secretary by the Act so that the annual report will be a comprehensive report reflecting all DOT systems of internal accounting and administrative control.

  3. BUDGET AND FINANCE

    1. Approval and submission to OMB of original or amended budget estimates or requests for allocations of personnel ceiling (31 U.S.C. 1108).

    2. Approval of requests for legislation which, if enacted, would authorize subsequent appropriations for the Department (31 U.S.C. 1108).

    3. Transfer of the balance of an appropriation from one operating element to another within the Department under the terms of 31 U.S.C. 1531.

    4. Submission to the Director of OMB of requests for the transfer of the balance or portions of an appropriation from one element to another within the Department (31 U.S.C. 1513 and 1514).

  4. INTERVENTION AND APPEARANCES. Except with respect to proceedings related to the safety fitness of an applicant (49 U.S.C. 302), make decisions on requests to intervene or appear before courts and administrative agencies to present the views of the Department.

  5. PERSONNEL

    1. Recommendations to the Office of Personnel Management (OPM) on the allocation of a position to the Senior Executive Service (SES), Senior Level (SL), Scientific or Professional (ST), GS-16, 17, or 18 or an equivalent level position (5 U.S.C. 5108).

    2. Recommendations to OPM of approval of the qualifications of any candidate for a position at grade GS-16, 17, or 18 or an equivalent level (5 U.S.C. 3324), for initial career appointment in the SES (5 U.S.C. 3393), or to an executive level position.

    3. Approval of the following actions relating to Schedules A, B, and C and noncareer executive assignment positions or incumbents, except for actions under Schedules A and B limited to one year or less at grade GS-9 or lower, or an equivalent level:
    4. (1) Establishment or abolishment of positions;

      (2) Hires;

      (3) Promotions other than quality and periodic within-grade promotions;

      (4) Transfer of personnel to Schedules A, B, or C positions or noncareer executive assignment positions, either permanently or on detail; and

      (5) Transfer of personnel from Schedule A, B, or C noncareer executive assignment positions to career Civil Service positions.

    5. Approval of employment of experts or consultants.

    6. Authority relating to scientific and professional positions under Section 6(a)(5) of the Department of Transportation Act (49 U.S.C. 1655(a)(5)).

    7. Authority to develop, coordinate, and issue wage schedules under the Federal Wage System, except as delegated to the Commandant of the Coast Guard.

    8. Certify to OPM that a suggestion, invention, superior accomplishment, or other meritorious effort is highly exceptional and deserving of a cash award in excess of $10,000 up to $25,000.

  6. SECURITY

    1. Suspend or remove an employee from a position in the Department for security reasons under Executive Order No. 10450 (3 CFR, 1949-53 Comp. 936) or the employment in the Department of a person who was previously separated for security reasons from any Federal agency.

    2. Request Presidential approval of a claim of executive privilege with respect to information requested by any Congressional Committee or Member of Congress.

    3. Make determinations prescribed by sections 4(a)(2)(B), 4(b)(3), 5(b), and 9 of Executive Order No. 10865 (3 CFR 1959-63 Comp. p. 398) relating to the adjudication and final denial of access to classified information to industry personnel.

    4. Make those determinations or delegations prescribed by sections 1-202 and 3-3 of Executive Order 12065 (43 F.R. 28949, June 28, 1978) which are reserved to the head of the Department.

  7. PROCUREMENT. Exercise of the extraordinary authority for defense contracts provided for in Public Law 85-804 (50 U.S.C. 1431-1435), and considerations and decisions on contract appeals and other matters pursuant to the Department of Transportation Contract Appeals Regulations (48 CFR 6301 and 6302).

  8. PRINTING. Request approval of the Joint Committee on Printing for any procurement or other action requiring Committee approval.

  9. INTERDEPARTMENTAL AND INTERAGENCY AGREEMENTS. Execution of any written interdepartmental or interagency agreement with the head of another executive department or Agency.

  10. INFORMATION TECHNOLOGY. Approval authority relating to acquisition of information technology equipment and services as delimited by DOT H 1350.2,Department of Transportation Information Resources Management Manual, dated March 31, 1993.

  11. thru 13. RESERVED.

SECTION 2. RESERVATIONS BY THE ADMINISTRATOR. These functjions and duties are to be performed exclusively by the Administrator or, in the event that both the office of the Administrator and Deputy Administrator are vacant, by the official performing the functions and duties of the Administrator in accordance with Part I, Chapter 2 (Order of Succession).

  1. ADMINISTRATIVE

    1. Personnel
    2. (1) Senior Executives. Select people for employment, promotion, and position change in the SES, subject to OST approval.

      (2) Selection of Division Administrators. Select Division Administrators, GS-340-15, from promotion certificates issued by the Office of Human Resources.

      (3) Labor Management Relations. Act on requests for exclusive recognition of a national scope.

      (4) Approval of Cash Awards of $10,000 or Less. Approve cash awards up to $10,000, including cash awards for lesser amounts which exceed the maximum approval authorities of Associate Administrators and Chief Counsel, Directors of Field Services, Resource Center Managers, Division Administrators, and Federal Lands Highway Division Engineers. Cash award limits are contained in the Personnel Management Manual, Part I (Personnel Systems and Procedures), Chapter 9 (Awards and Employee Recognition).

      (5) Requests for the Certification of Cash Awards Exceeding $10,000. Request that the Secretary certify to OPM that a suggestion, invention, superior accomplishment, or other meritorious effort is highly exceptional and deserving of a cash award in excess of $10,000 up to $25,000.

      (6) Nominations for Unusually Outstanding Performance Awards. Approve nominations for unusually outstanding performance awards.

      (7) Nominations for Presidential Awards. Nominate employees for Presidential cash awards.

      (8) Designation of a Reconsideration Official. Designate an individual within the Federal Highway Administration (FHWA) to serve as the Reconsideration Official regarding an employee's disagreement with a performance appraisalwhen there is no third level supervisor in the FHWA to serve as the Reconsideration Official.

    3. Travel 2
    4. (1) International.

        (a)  With the exception of categories for which authority is delegated in Chapter 4 (Administrative), paragraph 36 of this Part:

        • 1 authorize NON-ROUTINE international travel involving fewer than seven (7) employees; and

        • 2 authorize all travel to Canada and Mexico for the Deputy Administrator, Executive Director, Associate Administrators, and Chief Counsel.

        (b) Except as provided in the footnote below, accept offers of travel payments involving NON-ROUTINE international travel for all other FHWA employees. 3

        (c) Approve international invitational travel involving fewer than seven (7) individuals who are not Federal Government employees when they are acting in a capacity that is directly related to, or in connection with, official FHWA activities (5 U.S.C. 5703).

      (2) Special Travel Approvals. Authorize premium-class service on common carrier transportation.

      Refer to DOT Order 1500.11, Department of Transportation Guiding Principles, and FHWA Order 1500.8, Supplement 1, FHWA Travel Policy Supplement.

    5. Organization Approval for Headquarters Offices. Approve all organizational changes for Headquarters Offices, to the division level, that do not require Secretarial review and approval. Significant changes requiring Secretarial approval include: (1) those that provide Associate Administrators with a major responsibility or function new to the FHWA and that h ave substantial personnel and/or budget implications; (2) actions having an impact on Senior Executive Service positions or having an adverse impact on current FHWA personnel (e.g., grades, pay, major increases in staff, or reduction-in-force); (3) changes that have an impact on field structure and/or personnel resources; and (4) those that represent a major departure from the existing character or operating practices of the FHWA.

    6. Official Entertainment. Approve official entertainment in private residences in accordance with DOT Order 2770.1C, Official Reception and Representation Expenses.

    7. Signatory Authority. Sign all correspondence:
    8. (1) setting forth newly established FHWA policy;

      (2) dealing with sensitive or controversial areas;

      (3) involving the functional responsibilities of more than one Associate Administrator;

      (4) containing FHWA comments on proposed DOT issuances involving new policy or significant revisions in existing delegations or policy statements, or;

      (5) addressed to:

        (a) the Secretary or Deputy Secretary of Transportation;

        (b) White House officials;

        (c) the Director, OMB;

        (d) Members of the Cabinet;

        (e) House and Senate leadership and key committee chairs and ranking minorities in both houses, including routine State-oriented issues;

        (f) Members of Congress if the correspondence regards policy-related issues; or a member expresses his/her personal view such as an objection to or suggestion about a project, issue, or policy as opposed to being constituent-related; or regards an FHWA discretionary grant request;

        (g) Heads of independent agencies;

        (h) Governors if the correspondence regards non-routine and/or policy-related issues; or

        (i) Mayors if the correspondence regards non-routine and/or policy-related issues.

    9. Performance of Commercial Activities.

      • (1)   Written Appeals. Serve as the final FHWA appeals official for written appeals made by parties affected by OMB Circular A-76 approval actions based on decisions rendered by Associate Administrators or Chief Counsel. Conduct an independent review of, and make a final determination on, written appeals.

        (2)   Federal Activities Inventory Reform Act of 1998 (FAIR Act of 1998, Public Law 105-277). Receive and decide an appeal from an interested party of an adverse decision rendered by the Associate Administrator for Administration.

  2. FEDERAL-AID AND FEDERAL LANDS

    1. Issue, amend, and revoke rules and regulations pertaining to Federal-aid Highways and Defense Access Roads except as provided in Chapter 4, paragraph 102 of this Part (23 U.S.C. 315).

    2. Approve regulations pertaining to the Federal Lands Highway Program jointly with the Secretary of the appropriate Federal land management agencies(23 U.S.C. 204(f)).

    3. Apportion funds authorized to be appropriated from the Highway Trust Fund for the Federal-aid Highway System (23 U.S.C. 104).

    4. Allocate funds authorized to be appropriated for the Public Lands Highway Discretionary Program (23 U.S.C. 202(b)).

    5. Approve location and plans for certain toll bridges (33 U.S.C. 525(c)).

    6. Approve the acquisition or construction of Interstate toll bridges or tunnels by the Kansas City Area Transportation District or Authority (Sec. 2(e) of P.L. 89-599; 80 Stat. 829).

    7. Approve modifications and revisions to the National Highway System.

    8. Take final action on appeals by a State of a Division Administrator's decision under Chapter 5 (Federal-aid), paragraph 19 (Right-of-Way Relinquishment and Changes in Access Control), subparagraph d of this Part.

    9. Approve changes in the degree of access control except as delegated to the Division Administrators in Chapter 5, paragraph 19b of this Part, and approve engineering and operational acceptability of changes in points of ingress or egress with Interstate through traffic lanes and with interchange ramps on completed sections of the Interstate system, except as delegated to the Division Administrators in Chapter 5, paragraph 34 (Authorizations to Proceed), subparagraph b of this Part. (This reservation is not applicable to any segment of the Federal-Aid Interstate system in Alaska.)

    10. Approve with respect to Interstate System routes, (1) the general locations, control points, and revisions thereof, including additions and deletions, and (2) the specific locations of sections and their intermediate control points, when such sections include toll facilities or approaches thereto.

    11. Execute agreements and amendments thereto with the Governors of the Virgin Islands, Guam, and American Samoa, respectively, relative to the Territorial Highway Program (23 U.S.C. 215(c)).

    12. Approve transfers under 23 U.S.C. 104(c), (d), and (g) to or from funds for which the initial distribution to the States is effected by other than a statutory apportionment formula.

  3. HIGHWAY SAFETY

    1. Apportion funds authorized to be appropriated for highway safety programs within priority highway safety program areas assigned to the FHWA by law (23 U.S.C. 402(c)).

    2. Except as provided in Chapter 8(Highway Safety), paragraph 7 (Highway Safety Guidelines Errors) of this Part, promulgate new or revised uniform highway safety guidelines and amendments or revocations thereof within priority highway safety program areas assigned to the FHWA, as specifically provided by law enacted after the date of enactment of the Federal-Aid Highway Act of 1973 (23 U.S.C. 402(a)).

  4. REGULATORY FLEXIBILITY ACT. Perform the functions enumerated in 49 CFR 1.45(a)(13) relating to the authority to make certifications, findings, and determinations under the Regulatory Flexibility Act (P.L. 96-354).

1 Submission of these documents by anyone other than the Secretary requires the prior written approval of the Secretary.

2 The Administrator has the authority to accept offers of travel payments from non-Federal sources for his own travel within the 50 States and non-foreign areas.

3 The Assistant Secretary for Aviation and International Affairs has the authority to accept offers of travel payments from non-Federal sources for international travel (ROUTINE OR NON-ROUTINE) for the FHWA Administrator, Deputy Administrator, CBU Program Managers, SBU Directors, Resource Center Directors, and for international travel involving seven (7) or more employees. In addition, he/she has the authority to accept offers of travel payments for the FHWA Administrator (needed only for offers of payment involving foreign travel), Deputy Administrator, CBU Program Managers, SBU Directors, Resource Center Directors, and for travel (ROUTINE OR NON-ROUTINE) involving seven (7) or more employees.

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