June 30, 1970; Amdt. 1-44, 36 F.R. 430, Jan. 13, 1971]

§ 1.4 General responsibilities.

(a) Office of the Secretary. Provides for

(1) Leadership in formulating and executing well-balanced national and international transportation objectives, policies, and programs;

(2) Stimulating and promoting `research and development in all modes and types of transportation, with special emphasis on transportation safety;

(3) Coordinating the various transportation programs of the Federal Government;

(4) Encouraging maximum private development of transportation services; (5) Responsive, timely, and effective liaison with Congress, and public and private organizations on transportation matters;

(6) Innovative aproaches to urban transportation and environmental enhancement programs; and

(7) Effective management of the Department as a whole.

(b) U.S. Coast Guard. Is responsible for

(1) Upon the high seas and waters subject to the jurisdiction of the United States

(i) Enforcing or assistance in enforcing applicable Federal laws;

(ii) Administering laws and promulgating and enforcing regulations for promoting safety of life and property, covering all matters not specifically delegated by law to some other executive department or reserved to the States;

(iii) Developing, establishing, maintaining, and operating, with due regard to the requirements of national defense, aids to navigation, icebreaking facilities, and rescue facilities for promoting safety; and

(2) Maintaining a state of readiness to function as a specialized service in the Navy, in time of war or when the President shall direct, as provided in section 3 of title 14, United States Code.

(c) The Federal Aviation Administration. Is responsible for

(1) Promulgating and enforcing regulations on all safety matters relating to the manufacture, operation, and maintenance of aircraft;

(2) Registering aircraft and recording rights in aircraft;

(3) Developing, modifying, testing, and evaluating systems, procedures, fa

cilities, and devices needed for the safe and efficient navigation and traffic control of aircraft;

(4) Providing leadership and direction for the design and development of a commercial supersonic transport aircraft;

(5) Locating, constructing or installing, maintaining, and operating Federal aids to air navigation, wherever necessary;

(6) Developing air traffic regulations, and administering air traffic control of civil and military air operations within U.S. airspace;

(7) Providing grants-in-aid for developing public airports; and

(8) Promoting and encouraging civil aviation abroad through technical aviation assistance to other governments.

(d) The Federal Highway Administration. Is responsible for—

(1) Planning, in cooperation with the States, the national highway system;

(2) Providing for improving, in cooperation with the States, roads on the Federal-aid primary, secondary, and interstate highway systems and urban extensions thereof;

(3) Highway beautification and scenic enhancement of the Federal-aid highway systems;

(4) Surveying and constructing forest highway system roads, defense highways and access roads, and parkways and roads in national parks and other federally administered areas;

(5) Inspecting records of motor carriers operating in interstate commerce, inspecting motor carrier vehicles, and investigating accidents and reporting violations of motor carrier safety regulations; and

(6) Developing and administering uniform State standards for highway safety programs with respect to identification and surveillance of accident locations; highway design, construction, and maintenance, including highway related aspects of pedestrian safety; and traffic control devices.

(e) The Federal Railroad Administration. Is responsible for—

(1) Operating and managing the Alaska Railroad;

(2) Conducting research and development activity in support of improved rail transportation;

(3) Regulating safety functions pertaining to railroads, express companies, and water carriers operating in connection with railroads under a common con

trol, management, or arrangement for continuous carriage or shipment;

(4) Regulating safety functions pertaining to pipelines, except water and natural gas; and

(5) Investigating and issuing reports concerning collisions, derailments, and other railroad accidents resulting in serious injury to persons or to the property of a railroad.

(f) The Urban Mass Transportation Administration. Is responsible for―

(1) Exercising the authority vested in the Secretary for developing comprehensive and coordinated mass transportation systems to serve metropolitan and other urban areas;

(2) Administering urban mass transportation programs and functions; and (3) Assuring appropriate liaison and coordination with other governmental organizations, with respect to the foregoing.

(g) The St. Lawrence Seaway Development Corporation. Is responsible for maintaining and operating in U.S. territory deepwater navigation works in the 46-mile International Rapids section of the St. Lawrence River, lying between Ogdensburg and St. Regis, N.Y., and in the 68-mile Thousand Island section lying between Ogdensburg and Lake Ontario.

(h) The National Highway Traffic Safety Administration. Is responsible for

(1) Promulgating uniform standards for developing State highway safety programs, except for those standards the development and administration of which are delegated to the Federal Highway Administration.

(2) Establishing, prescribing, and enforcing National standards for improving safety in the operation and performance of motor vehicles and equipment.

(i) The National Transportation Safety Board. The Board is an entity within the Department, but has its own statutory responsibilities and executive authority. It is responsible for

(1) Investigating accidents involving civil aircraft occurring in the United States and its territories, determining the probable cause of those accidents, making public reports on accidents and their causes, making safety recommendations intended to prevent similar occurrences, and ascertaining what will best tend to reduce or eliminate the possibility of aircraft accidents;

(2) Investigating, on its own motion (except marine accidents) or participating in and reviewing investigations conducted by Administrators within the Department, accidents involving rail, highway, marine, and pipelines and making recommendations to the Secretary or Administrators that will tend to prevent transportation accidents and promote transportation safety; and

(3) Conducting formal proceedings for review on appeal of the suspension, amendment, modification, revocation, or denial of any certificate or license issued by the Secretary or an Administrator.

[Amdt. 1-31, 35 F.R. 4955, Mar. 21, 1970, as amended by Amdt. 1-44, 36 F.R. 430, Jan. 13, 1971]

Subpart B-Office of the Secretary § 1.21 Purpose.

This subpart establishes the basic organizational structure, spheres of primary responsibility, and lines of authority in the Office of the Secretary. It also describes the relationships between the Office of the Secretary and the operating administrations, and provides for succession to the position of Secretary in case of need.

The structure of the Office of the Secretary through the level of functional offices is as follows;

(a) Secretary. The Secretary and Under Secretary are assisted by the Deputy Under Secretary, the Executive Secretariat, the Contract Appeals Board, the Departmental Office of Civil Rights, the Office of Congressional Relations, and the Office of Public Affairs, all of which report directly to the Secretary. The National Transportation Safety Board performs its functions in the Department of Transportation independently of the Secretary. The Assistant Secretaries, the General Counsel, and the Special Assistant to the Secretary for Development of TRANSPO 72 report directly to the Secretary.

(b) Deputy Under Secretary. The Office of Planning and Program Review and the Office of Budget report to the Deputy Under Secretary.

(c) Office of the Assistant Secretary for Policy and International Affairs. This Office is composed of the Offices of Systems Requirements, Plans and Information; Policy Review and Coordination; Economic Studies and Projects; International Transportation Policy and Programs; International Cooperation; and Facilitation, and the Auto Insurance and Compensation Study Group.

(d) Office of the Assistant Secretary for Environment and Urban Systems. This office is composed of the Offices for Program Coordination; Environmental and Urban Research; Special Projects; and Community Relations.

(e) Office of the Assistant Secretary for Systems Development and Technology. This office is composed of the Offices of Research and Development Policy, Plans and Resources; Systems Engineering; Noise Abatement; and Telecommunications.

(f) Office of the Assistant Secretary for Safety and Consumer Affairs. This office is composed of the Offices of Safety Program Coordination; Hazardous Materials; Pipeline Safety; and Consumer Affairs.

(g) Office of the General Counsel. This office is composed of the Offices of Operations and Legal Counsel; Regulation; Litigation; and Legislation.

(h) Office of Assistant Secretary for Administration. This office is composed of the Offices of Personnel and Training; Management Systems; Administrative Operations; Investigations and Security; Logistics and Procurement Management; Audit; and Emergency Transportation.

[Amdt. 1-31, 35 F.R. 4955, Mar. 21, 1970, as amended by Amdt. 1-35, 35 F.R. 12763, Aug. 12, 1970; Amdt. 1-52, 36 F.R. 20162, Oct. 16, 1971]

§ 1.24 Spheres of primary responsibility.

(a) Secretary and Under Secretary with the assistance of Deputy Under Secretary. Overall planning, direction, and control of Departmental affairs, including specifically civil rights, Congressional relations, public affairs, programing, and budgeting.

(b) Assistant Secretary for Policy and International Affairs. Domestic and international transportation policies, objectives, and systems; transportation facilitation; international technological cooperation; technical assistance to developing countries; comprehensive

transportation data and information system.

(c) Assistant Secretary for Environment and Urban Systems. Environmental and overall urban transportation needs, goals, and policies; innovative approaches to urban transportation and environmental enhancement programs; and catalyst for the translation of these programs into balanced and responsive transportation systems.

(d) Assistant Secretary for Systems Development and Technology. Scientific and technological research and development advancing transportation capability as to its safety, effectiveness, economy, and viability; technological input to development of transportation policy; abatement of noise generated by transportation equipment; telecom

munications.

(e) Assistant Secretary for Safety and Consumer Affairs. Safety program coordination; regulation of the transportation of hazardous materials; regulation of transportation of natural and other toxic gas by pipeline; consumer affairs.

(f) General Counsel. Legal services as the chief legal officer of the Department, legal advisor to the Secretary and the Office of the Secretary, and final authority within the Department on questions of law; professional supervision, including coordination and review, over the legal work of the legal offices of the Department; drafting of legislation and review of legal aspects of legislative matters; exercise of functions, powers, and duties as a Judge Advocate General under the Uniform Code of Military Justice (Chapter 47 of title 10, United States Code) with respect to the U.S. Coast Guard; advice and assistance with respect to uniform time matters; promotion and coordination of efficient use of departmental legal resources; recommendation, in conjunction with the Assistant Secretary for Administration, of legal career development programs within the Department.

(g) Assistant Secretary for Administration. Organization; delegations of authority; management studies; personnel management; training; logistics and procurement policy; accounting and data systems design; paperwork management; management information; investigations and security; audit; administrative support services for the Office of the Secretary and certain other components of the Department; and emergency transportation.

(h) Executive Secretariat. Central facilitative staff for the Immediate Office of the Secretary and the Secretarial Offices.

(1) Contract Appeals Board. Hearings and decisions on appeals from decisions of departmental contracting officers and on claims for extraordinary relief under Public Law 85-804.

(j) Departmental Office of Civil Rights. DOT Director of Equal Employment Opportunity; Contracts Compliance Officer; Title VI (Civil Rights Act of 1964) Coordinator; Department-wide compliance with related laws, Executive orders, regulations, and policies; and formal complaints of discrimination.

(k) Office of Congressional Relations. Congressional relations and departmental relations with other Federal agencies, State and local governments, industry, and labor.

(1) Office of Public Affairs. Public information and Departmental relations with the news media and the general public.

[Amdt. 1-31, 35 F.R. 4955, Mar. 21, 1970, as amended by Amdts. 1-34 and 1-35, 35 F.R. 12763, Aug. 18, 1970; Amdt. 1-42, 35 F.R. 18467, Dec. 4, 1970]

§ 1.25 Authority.

(a) The Under Secretary may exercise the authority of the Secretary, except where specifically limited by law, order, regulation, or instructions of the Secretary.

(b) The Deputy Under Secretary is authorized to act for the Secretary and the Under Secretary in respect to the Immediate Office of the Secretary and to represent the Secretary and the Under Secretary in matters assigned by them.

(c) Acting in his own name and title, each Assistant Secretary or the General Counsel, within his 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.

(d) Except for nondelegable statutory duties, including those which devolve as a result of succession to the Office of the

Secretary, each Deputy Assistant Secretary and the Deputy General Counsel is authorized to act for and perform the duties of his principal in the absence or disability of the principal and as otherwise directed by the principal.

§ 1.26 Relationships.

(a) Normal staff role. Normally, the functions of the Assistant Secretaries are staff and advisory in nature. 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 conflict with the performance of similar activities by the operating administrations and the other Assistant Secretaries pursuant to their Secretarial delegations of authority, 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) Exceptions. 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 his behalf. For example, the Secretary has delegated authority to the Assistant Secretary for Policy and International Affairs to decide on most requests to intervene or appear before administrative agencies, subject to the concurrence of the General Counsel. Also, from time to time, activities of an operational character may be delegated to an Assistant Secretary when the nature of the function or its stage of development makes it untimely to effect assignment to an administration.

§ 1.27 Secretarial succession.

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 case of a vacancy in the office of the Secretary, until a successor is appointed:

This subpart provides for the exercise of the powers and performance of the duties vested in the Secretary of Transportation by law. § 1.42

Exercise of authority.

In exercising powers and performing duties delegated by this subpart 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 Under Secretary, the Deputy Under Secretary, an Assistant Secretary, the General Counsel, 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.

§ 1.43 General limitations and reservations.

(a) All powers and duties that are not delegated by the Secretary in this subpart, or otherwise vested in officials other than the Secretary, are reserved to the Secretary.

(b) Except as provided in § 1.42 and subject to paragraph (a) of this section and § 1.44, the Under Secretary, the Deputy Under Secretary, the Assistant Secretaries, the General Counsel, the Administrators, and the Director of the Transportation Systems Center exercise the powers and perform the duties delegated to them under this subpart.

[Amdt. 1-31, 35 F.R. 4955, Mar. 21, 1970, as amended by Amdt. 1-33, 35 F.R. 10592, June 30, 1970]

66-110-72

The delegations of authority in §§ 1.45 through 1.51 do not extend to the following actions, authority for which is reserved to the Secretary or his delegatee within the Office of the Secretary:

(a) General transportation matters. (1) Transportation leadership authority under section 4(a) of the Department of Transportation Act (49 U.S.C. 1653 (a)).

(2) Authority relating to transportation activities, plans, and programs under section 4 (f) and (g) of the Department of Transportation Act (49 U.S.C. 1653 (f) and (g)), except for regulatory matters implementing section 4(f) for programs administered by the Federal Aviation Administration.

(3) Authority to develop, prepare, coordinate, transmit, and revise transportation investment standards and criteria under section 7 of the Department of Transportation Act (49 U.S.C. 1656).

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

(5) Authority to administer the Natural Gas Pipeline Safety Act of 1968 (82 Stat. 720).

(6) Authority related to national transportation policy under section 3 of the Airport and Airway Development Act of 1970 (84 Stat. 219).

(7) Authority under section 16 (c) (1) (A), (c)(3), (c)(4), (d), (e), and (f) of the Airport and Airway Development Act of 1970 (84 Stat. 219, 226) with respect to projects as to which opposition is stated, whether expressly or by proposed revision, by any Federal, State, or local government agency, or by a substantial number of persons other than one of those agencies.

(b) Legislation and reports. (1) Submission to the President, the Director of the Bureau of the Budget, 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, except with the prior written approval of the Secretary. (c) Budget and finance. (1) Approval and submission to the Bureau of the Budget of original or amended budget estimates or requests for allocations of personnel ceiling (31 U.S.C. 22-24).

(2) Approval of requests for legislation which, if enacted, would authorize