Subject: NHTSA PROCESS WAIVER FRAMEWORK

• PURPOSE: This Order implements the Secretary of Transportation's policy direction to develop and maintain an operational environment that works better, costs less, and gets the results Americans care about. It provides a framework for achieving managerial and operational flexibility within the National Highway Traffic Safety Administration (NHTSA) by fostering innovation through effective use of waivers to internal rules, regulations, policies, procedures, processes, etc. over which a NHTSA official has authority. Processes suitable for waivers include, but are not limited to, the internal process for securing training, the internal process for reorganizing missions and functions below Office level, and the internal process for researching and developing the information for providing responses to inquiries from outside the agency. This framework is meant to foster the creation of a climate of opportunity and support for employee innovation. The waivers are intended to promote an environment that diminishes the fear of failure that accompanies innovation.
• SCOPE: This Order applies to all NHTSA Federal employees.
• POLICY: It is NHTSA policy to actively use waivers to create managerial and operational flexibility to meet the challenges of the transportation system of the 21^st Century. Therefore, all NHTSA officials who can waive internal rules, regulations, policies, procedures, and processes are directed to approve waiver requests from NHTSA employees, whenever feasible, and not to disapprove any request unless there is a compelling reason to do so. This framework does not apply to discretionary management decisions, e.g., office operations such as workload distribution, work hours, Telecommuting. Waiver requests in such areas may be processed at the option of the manager responsible for the function.
• RESPONSIBILITIES:

1. NHTSA officials shall actively use waivers to create managerial and operational flexibility to meet the challenges of highway traffic safety in the 21^st Century. Each employee is encouraged to suggest new, innovative ideas, even if they are on the cutting edge and require risk taking.
2. Each NHTSA official who has the authority to waive internal rules, regulations, policies, procedures, and processes, i.e., those who are responsible for the existence of the process, shall approve waiver requests from NHTSA employees, whenever feasible, and shall not recommend disapproval of any request unless there is a compelling reason to do so. Recommendations for disapproval will be forwarded to the Executive Director (see paragraph 5.h. below).
3. All NHTSA officials having authority to change or waive an internal rule, regulation, policy, procedure, process, etc. are encouraged to seize the initiative and offer waivers "top down."
4. The Executive Director is the designated champion for this process and is the only one who can disapprove a waiver request. The decision of the Executive Director is final.

• PROCEDURES:

1. Once a staff member identifies a process for potential waiver, the staff member will consult with the NHTSA official (also known as the approving official or process owner) having authority to change or waive a rule, regulation, policy, procedure, process, etc. This step begins the partnership between the approving official and the requester in examining the waiver objectively. Such consultation should be conducted prior to the formal submission of the request. However, if the approving official does not respond within 30 days to a request for consultation, the requester may submit the waiver request. Although consultation adds a step to the process, experience has shown it to be beneficial in saving time and improving quality. It is during this period that labor-relations and other technical or legal issues should be considered.
2. Prepare a Waiver Request, DOT Form 1001, for each submission (see Attachment 1).
3. Submit all waiver requests to the approving official with a simultaneous copy to the Executive Director. The Executive Director is not involved any further in the process if the approving official approves the waiver request.
4. Submitter must coordinate with other Operating Administrations (OA)/OST when the rule, policy, procedure, process, etc., being waived was jointly developed among OAs or with OST after consultation with NHTSA official responsible for the agency portion of the process. However, the decision making process for the waiver does not change. Requests to waive processes whose scope is not limited to NHTSA will be forwarded to the appropriate OST official responsible for the process within the department.
5. If the process to be waived involves a labor union-related practice, before approving the waiver labor-management relations obligations must be fulfilled at the level of exclusive recognition (i.e., the organizational level at which the union represents the employees).
6. A waiver request must be approved or disapproved within 30 calendar days from the submission date on the request form. (This 30-day time period does not include consultation time but does include the time for any Executive Director review, if necessary.) In rare instances, the Executive Director may extend the 30-day period. However, if notification of a decision on the request (or an extension) is not made within 30 days, waivers will automatically be considered approved and use of the waiver(s) can begin.
7. The clear preference of the Administrator is to have waivers approved. A waiver request must be disapproved in limited circumstances including: violations of a law, treaty, executive order, or negotiated labor agreement; civil rights protections, impacts to national consistency, i.e., operational consistency to treat people, including the public, equitably; degradation of agency mission, and lack of authority such as when a Department wide or Government wide regulation or policy cannot be waived by a NHTSA or DOT official respectively.
8. Should an approving official not wish to approve, the waiver request will be forwarded to the Executive Director not later than 20 days after the submittal date on the request form. The Executive Director will make a decision on the waiver request within 30 days after the submittal date on the request form (subject to provisions of paragraph f. above). Before making a decision on the request, the Executive Director may direct internal or external technical and legal experts to perform a review.
9. The waiver partners (requester and approving official) will develop a strategy for assessing the operational effectiveness of the waiver to determine whether it should be expanded, extended, discontinued, or permanently implemented through a change after it has been in operation. The use of performance measures may be appropriate to determine how much managerial flexibility resulted in terms of hours worked, dollars expended, etc.
10. The Office of the Secretary (OST) maintains a DOT website at: http://waiver.dot.gov on which all DOT Waiver Requests, whether approved or disapproved, are posted for the purposes of sharing information and fostering the use of the same or similar waiver(s) in other Operating Administrations. Employees considering waiver requests will consult this website. Link to the website through the NHTSA Homepage by clicking on "What's NHTSA doing?" or go directly to the DOT website at the above address.
11. The Executive Director will send approved and disapproved waivers (DOT 1001) to OST for posting on the DOT Waiver Request Website.
12. Attachment 2 is a question and answer discussion of a waiver process.
13. This framework is limited to internal NHTSA rules, regulations, policies, procedures, processes, etc. However, employees are encouraged to propose changes to statutes, Governmentwide or departmentwide regulations, etc., that they believe inhibit an efficient and effective operational environment. Such requests for waiver should be handled in an appropriate manner with the party responsible for the statute, regulation, etc. or in accordance with other NHTSA policy for doing so.

SIGNED
Ricardo Martinez, M.D.
Administrator

NHTSA Order 100-7
October 27, 1998
Attachment 1

WAIVER REQUEST

TITLE (state applicable functional area and short description-6 key words or less-of waiver):

.

1. What internal rule, regulation, policy, procedure, process, etc. are you requesting to be waived:

2. What organizational benefit do you expect to accomplish through this waiver?

3. How long do you want this waiver to be in effect?

4. By submission of this form, consultation has been completed with ("x" where applicable):

           Approving official,           Labor union,          Legal,           Other.

5. Name of Initiator:_______________OA:________Telephone No.:__________

has submitted this waiver request on                                                 .

- - - - - - - - - - - - - - - - - - - -

This waiver request has been:

_____ Approved by __________________________ on _______.

_____ Recommended for disapproval by on because:

_____ Disapproved by _________________ on __________because:

DOT 1001 (AUG98)

QUESTIONS AND ANSWERS ON THE WAIVER PROCESS

I have an idea that would be great for this waiver process, but are you really serious about allowing me to try something different?

Yes, and the responsibilities which the Administrator has assigned in this Order reflect this idea. Waivers are to be used to foster positive change and your waiver requests are to be approved whenever possible. You must be willing to look at your organization and the way you do business to come up with these ideas. But, most importantly, your idea can never be tested unless you move forward and submit a waiver request.

Who can submit a waiver request?

All agency employees can submit a waiver request.

What is a waiver?

A waiver is a delegation of authority from an individual having authority to change or waive an internal agency rule, regulation, policy, procedure, process, etc. Waivers are often sought by front-line employees or by those having the authority to change the rules, policies, procedures, processes, etc., to improve their operations.

Is there an exception to this waiver process?

Yes, the one exception where this waiver process does not apply is for discretionary management decisions (e.g., operations of an office such as workload distribution, work hours, Telecommuting). In this instance, the request may be returned to you unprocessed. It is important to remember, however, that this process only applies to internal agency rules, regulations, policies, procedures, processes, etc.

Where do I get ideas for waivers?

• Check the DOT website for waivers that have been approved. You may be able to use an existing waiver.
• Through your daily operational use of the internal rules, regulations, policies, procedures, processes, etc., you can identify those that appear ripe for employing the waiver process.
• The Internet has many best/successful practices used by agencies that may be applicable to your own operations.

If I have an idea for a waiver, what do I do?

• Contact the NHTSA official having authority to change the rule, regulation, policy, procedure, process, etc. This individual is known as both the process owner and the approving official. When the approving official is within the agency, follow the procedures in this Order. When the approving official is within the Office of the Secretary of Transportation (OST), first discuss your idea with the OST counterpart in the agency.
• Based on consultations with the approving official and any other technical experts (e.g., legal, labor unions, etc), determine if you want to proceed with your idea and, if so, complete the DOT Waiver Request form, DOT 1001 (Attachment 1), and submit it to the approving official with a copy to the Executive Director.
• If the approving official has not responded to your request for consultation within 30 days, you may proceed with submission of your waiver request.

The purpose of the consultation is to ensure that the waiver is "doable" and does not: (1) violate law, treaty, executive order, negotiated labor agreement, or civil rights protections; (2) impact national consistency, i.e., operational consistency to treat people, including the public and DOT and agency personnel, equitably; (3) degrade agency mission, or (4) deviate from a Department wide or Government wide regulation which NHTSA or DOT officials respectively do not have authority to waive.

The consultation period creates a partnership between you and the approving official and gives each of you an opportunity to discuss the impact of the proposed waiver on organizational operations and labor-relations. Nothing in this consultation process is to preclude you from submitting the proposed waiver. It is meant solely to assist you in clarifying objectives and to ensure your proposed action meets those objectives.

On the DOT form DOT 1001, Waiver Request, there is a space for the Title of the waiver, what should I insert here?

The Title consists of two elements: the functional area that would be affected by the waiver and a short description (key words) of what the waiver is about. For example, the Title for a waiver to the procurement requirement to use the Weighted Guidelines Method for profit or fee determinations as prescribed in the Transportation Acquisition manual, could read: "Procurement-Weighted Guidelines Method."

Do I need to go through my management chain before consulting?

While going through your management chain is not required, as a courtesy, it is generally good practice to discuss your idea with your supervisor or manager.

If after consultation, I still want to submit a waiver request, what do I do?

• Complete the simplified DOT Waiver Request form, DOT 1001 (Attachment 1). It asks what specific requirement(s) you want waived, what organizational benefits you hope to see, and how long you need the waiver. If the waiver(s) is successful, then a permanent change should be considered. No other documentation is required.
• Submit the original DOT Waiver Request to the approving official and a simultaneous copy to the Executive Director.

What happens to my waiver request after I submit it to the approving official (i.e., process owner)?

• Your submittal date on the waiver request starts a 30 calendar-day time frame where the following actions happen:

1. The approving official approves the request and forwards it to the requester and the Executive Director (for posting on the DOT website); or
2. The approving official recommends disapproval (within 15-20 days to allow time for the Executive Director's review) and forwards the recommendation with sufficient justification to the Executive Director; and
3. The Executive Director performs an objective review and then acts on the approving official's recommendation by approving or disapproving the request, notifies the requester and the approving official of the decision; and posts the request with the decision on the DOT website; or
4. The Executive Director grants an extension to the 30-day period when required to complete analysis on the impact of the waiver request and notifies the requester and approving official of this decision.

• If the waiver request has not been extended, approved or disapproved within 30 days of submittal, it is automatically approved and posted on the DOT website by the Executive Director.

Is the time taken for consultation included in the 30-day waiver process time?

No, the consultation time frame is separate and apart from the 30-day waiver process time frame. The 30-day waiver process time begins on the submittal date recorded by the requester on the Waiver Request form. The transmission of the request should be done on the submittal date by the most expeditious method (e.g., electronic, fax, handcarried) available.

What do I do when my idea includes a waiver to departmental requirements and the approving official is in OST?

• Consult with the OST counterpart (for the requirement) in NHTSA;
• If you want to proceed further, in partnership with the OST counterpart in NHTSA, consult with the OST approving official;
• If the OST approving official has not responded to your request for consultation within 30 days, you may proceed with submission of your waiver request.
• If you want to proceed with your idea, complete the DOT Waiver Request form, DOT 1001 (Attachment 1), and submit it to the OST approving official.
• Any coordination of your request across the Department will be done by the OST approving official.

Why might my waiver be disapproved?

The Executive Director may disapprove a waiver if it: violates a law, treaty, executive order or negotiated labor agreement, civil rights protections; impacts national consistency, i.e., operational consistency to treat people, including the public, equitably; degrades agency mission, or deviates from a departmentwide or Governmentwide regulation or policy that NHTSA or DOT respectively does not have the authority to waive, etc.

What happens when my waiver request is approved?

• You can begin to use your delegated authority; and
• The Executive Director's office will promptly post the request on the DOT website.

Will I be required to report on the results of my waiver?

You and the approving official/process owner, in partnership, are to determine the results of the waiver. The approving official must then decide if the waiver should be expanded, extended, discontinued, or a permanent change made. You may be asked to share results so that others can learn from your efforts.

Where is the DOT website where all waiver requests can be found.

The website is at: http://waiver.dot.gov and is linked to NHTSA through our Homepage under "What's NHTSA doing?"

Can I submit a waiver request on behalf of a grant program or other outside government program recipient?

Grant program recipients are specifically excluded from this waiver process (see Presidential memorandum of April 21, 1998). However, if you have a suggestion that could enhance grant processes, procedures, etc., by all means, propose it. The Executive Director has broad discretion in disapproving this type of waiver. As to other outside government program recipients, similar guidelines apply if the agency's program manager so chooses.

If I control an internal NHTSA rule or process, do I have to wait for someone to request a waiver?

No. Approving officials should examine existing processes for opportunities to offer employees blanket/class waivers or to test changes to internal rules, policies, processes, etc. by granting waivers to a smaller group on a pilot basis. Then they should complete the DOT Waiver Request form and submit it to the Executive Director for posting on the DOT website.

If I have authority to waive an internal agency rule, regulation, policy, procedure, process, etc., that is common to other Operating Administrations (OAs), do I have to coordinate the request with the other OAs before I make a decision?

While coordination is not required, it is good practice to alert or solicit the viewpoint of other OAs before making a decision on the request. However, if the rule, policy, process, etc., was jointly developed with other OAs, coordination is required, but the OA approving official still has the final say. In general, anytime a rule, policy, process, etc., is in use among several OAs, operational consistency across the Department should be a consideration (but not necessarily a determinant) when deciding whether to approve the waiver.

What if there is an existing waiver process in place which is applicable to the rule, regulation, procedure, etc. that I want to waive, do I have to use the existing waiver process or can I use this process?

This process is available for any waiver request and you may elect to use whichever process is more advantageous to you.