WAIVER REQUEST

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

Operating Administration Organization Structure Approval Levels

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

We are requesting that the internal process of securing Secretarial approval for organization changes at or above the Office level be waived. Under this request, only significant changes at the Associate Administrator (AA) or Staff Office Director (SOD) level and above in the Operating Administrations would be submitted for Secretarial approval. For the purpose of this waiver, a significant change is defined as a change that: (1) provides AA/SOD with a major new responsibility or function that is new to the operating administration with substantial personnel and/or budget implications; (2) has an impact on SES positions or has an adverse impact on current personnel, i.e., grades, pay, major increases in staff, and reductions-in-force; (3) has impact on field structure and/or personnel resources; and/or (4) represents a major departure from the existing character or operating practices of the operating administration. Under this waiver, Administrators would have authority to approve minor functional realignments among AAs/SODs and all changes at Office level or below. At the OST level, Assistant Secretaries would have authority similar to Administrators in the Operating Administrations. However, DOT organizations are expected to provide a copy of changes made through this waiver process to S-10 in the appropriate format so that S-10 can fulfill its responsibility to maintain a record of the most current organization of the Department. This approach waives the policy in paragraph 5.c. of DOT Order 1320.16B, DOT Directives System, that "All changes to organization structure, mission, and functions for each component two levels below the...Head of Operating Administration,...shall be approved by the Secretary." Since these senior managers are responsible for the successful accomplishment of their missions and functions, they should be empowered to shift resources (organize and reorganize) quickly to meet changing needs without all the time, paperwork, and approvals currently involved.

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

This will make everyone's job vastly easier. Associate Administrators will have much greater flexibility in managing their staff to accomplish their missions and Operating Administration and OST administrative staff members' time will be freed for more productive activities. The waiver reiterates our support of the National Partnership for Reinventing Government's goals including employee empowerment and organizational streamlining. It also supports the Secretary's policy direction to develop and maintain an operational environment that works better, costs less, and gets the results Americans care

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

July 2000 to determine effectiveness.

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

Approving official, Labor union, Legal, X Other -OST Executive Secretariat staff.

5. Name of Initiator: Edward A. Graham OA: NHTSA Telephone No.: 202-366-4773

has submitted this waiver request on 7-27-99 .

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This waiver request has been:

xxx Approved by Jamie Shell Willliams, Director, Executive Secretariat (signed) August 27, 1999 .

_____ Recommended for disapproval by on because:

_____ Disapproved by _________________ on __________because:

DOT 1001 (AUG98)

Deputy Secretary concurred with waiver on August 27, 1999, with caveat that the definition of "significant change" be included as written in paragraph 1 of waiver.

h/docs/edwaiver