
[Code of Federal Regulations]
[Title 49, Volume 1]
[Revised as of October 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR1]

[Page 10-14]
 
                        TITLE 49--TRANSPORTATION
 
          Subtitle A--Office of the Secretary of Transportation
 
PART 1--ORGANIZATION AND DELEGATION OF POWERS AND DUTIES--Table of Contents
 
Subpart B--Office of the Secretary

Sec. 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.

Sec. 1.22  Structure.

    (a) Secretary and Deputy Secretary. The Secretary and Deputy 
Secretary are assisted by the following, all of which report directly to 
the Secretary: The Associate Deputy Secretary and Director, Office of 
Intermodalism; the Executive Secretariat; the Board of Contract Appeals; 
the Departmental Office of Civil Rights; the Office of Small and 
Disadvantaged Business Utilization; the Office of Intelligence and 
Security; the Office of Public Affairs; and the Office of the Chief 
Information Officer. The Assistant Secretaries, the General Counsel, and 
the Inspector General also report directly to the Secretary.
    (b) Office of the Assistant Secretary for Transportation Policy. 
This Office is composed of the Offices of Environment, Energy and 
Safety; and Economics.
    (c) Office of the Assistant Secretary for Aviation and International 
Affairs. This Office is composed of the Offices of Aviation 
International Economics; International Transportation and Trade; 
International Aviation; and Aviation Analysis.
    (d) Office of the General Counsel. This Office is composed of the 
Offices of Environmental, Civil Rights, and General Law; International 
Law; Litigation; Legislation; Regulation and Enforcement; the Board for 
Correction of Military Records; and Aviation Enforcement and 
Proceedings.
    (e) Office of the Assistant Secretary for Budget and Programs. This 
Office is composed of the Offices of Programs and Evaluation; and 
Budget.
    (f) Office of the Assistant Secretary for Governmental Affairs. This 
office is composed of the Offices of Congressional Affairs and 
Intergovernmental Affairs.
    (g) Office of the Assistant Secretary for Administration. This 
Office is composed of the Offices of Personnel; Management Planning; 
Information Resource Management; Administrative Services and Property 
Management; Hearings; Acquisition and Grant Management; Security; 
Financial Management; and Administrative Systems Development.
    (h) Office of the Inspector General. The duties and responsibilities 
of the Office of Inspector General are carried out by the Assistant 
Inspector General for Auditing; the Assistant Inspector General for 
Investigations; the Assistant Inspector General for Policy, Planning, 
and Resources; and the Assistant Inspector General for Inspections and 
Evaluations.

[Amdt. 1-261, 59 FR 10061, Mar. 3, 1994, as amended by Amdt.1-268, 60 FR 
14226, Mar. 16, 1995; Amdt. 1-269, 60 FR 15877, Mar. 28, 1995; Amdt. 1-
274, 60 FR 62762, Dec. 7, 1995; Amdt. 1-290, 62 FR 51804, Oct. 3, 1997]

Sec. 1.23  Spheres of primary responsibility.

    (a) Secretary and Deputy Secretary. Overall planning, direction, and 
control of departmental affairs including civil rights, contract 
appeals, small and disadvantaged business participation in departmental 
programs, transportation research and technology, commercial space 
transportation, intelligence and security, and public affairs.
    (b) Associate Deputy Secretary and Director, Office of 
Intermodalism. Assists the Secretary and Deputy Secretary in carrying 
out a variety of executive and

[[Page 11]]

managerial policies, programs and initiatives. 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.
    (c) General Counsel. Legal services as the chief legal officer of 
the Department, legal advisor to the Secretary and the Office of the 
Secretary; 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; point of 
coordination for the Office of the Secretary and Department Regulations 
Council; advice on questions of international law; exercise of 
functions, powers, and duties as Judge Advocate General under the 
Uniform Code of Military Justice (Chapter 47 of Title 10, U.S.C.) with 
respect to the United States Coast Guard; advice and assistance with 
respect to uniform time matters; ensures uniform departmental 
implementation of the Freedom of Information Act (5 U.S.C. 552); 
responds to requests for records of the Office of the Secretary 
including the Office of the Inspector General, under that statute; 
review and final action on applications for reconsideration of initial 
decisions not to disclose unclassified records of the Office of the 
Secretary requested under 5 U.S.C. 552(a)(3); 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; review and final 
action on application for correction of military records of the United 
States Coast Guard.
    (d) Assistant Secretary for Transportation Policy. Principal policy 
advisor to the Secretary and the Deputy Secretary. Public policy 
development, coordination, and evaluation for all aspects of 
transportation, 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.
    (e) Assistant Secretary for Aviation and International Affairs. 
Public policy assessment and review; 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; 
technical assistance and science and technology cooperation; 
international visitors' programs; economic regulation of the airline 
industry; and essential air service program.
    (f) Assistant Secretary for Budget and Programs. Preparation, review 
and presentation of Department budget estimates; liaison with OMB and 
Congressional Budget and Appropriations Committees; departmental 
financial plans, apportionments, reapportionments, reprogrammings, and 
allotments; program and systems evaluation and analysis; program 
evaluation criteria; program resource plans; analysis and review of 
legislative proposals and one-time reports and studies required by the 
Congress; budgetary and selected administrative matters relating to the 
Immediate Office of the Secretary.
    (g) Assistant Secretary for Governmental Affairs. Coordination of 
legislative and non-legislative relationships; congressional affairs; 
communications and coordination with Federal, State and local 
governments, industry and labor, and with citizens and organizations 
representing consumers.
    (h) Assistant Secretary for Administration. Organization; 
delegations of authority; personnel ceiling control; management studies; 
personnel management; acquisition and grant management (except for the 
responsibility listed for the Office of Small and Disadvantaged Business 
Utilization in this

[[Page 12]]

section); information resource management; financial management; 
development and implementation of a Departmental Accounting and 
Financial Information System (DAFIS); property management information; 
security; computer support; telecommunications; and administrative 
support services for the Office of the Secretary and certain other 
components of the Department.
    (i) Inspector General. Conduct, supervise, and coordinate audits and 
investigations, review existing and proposed legislation and make 
recommendations to the Secretary and Congress (Semiannual reports) 
concerning their impact on the economy and efficiency of program 
administration, or the prevention and detection of fraud and abuse; 
recommend policies for and conduct, supervise, or coordinate other 
activities of the Department for the purpose of promoting economy and 
efficiency in program administration, or preventing and detecting fraud 
and abuse.
    (j) Executive Secretary. Central facilitative staff for the 
Immediate Office of the Secretary and the Secretarial Officers.
    (k) Board of Contract Appeals. Conducts trials and issues final 
decisions, which are appealable to the United States Court of Appeals 
for the Federal Circuit, on appeals from contracting officer decisions 
under contracts awarded by the Department and its constituent 
administrations in accordance with the Contract Disputes Act of l978, 41 
U.S.C. 601 et seq.; sits as the Contract Adjustment Board with plenary 
authority to grant extraordinary contractual relief in accordance with 
50 U.S.C. 1431-1435 and Executive Order 10789 (3 CFR, 1954-1958 comp., 
p. 426), as amended; hears and decides all contractor and subcontractor 
debarment, suspension, or ineligibility cases pursuant to the Federal 
Acquisition Regulation, 48 CFR 9.402; judges serve as ``neutrals'' under 
the Administrative Dispute Resolution Act, 5 U.S.C. 581 et seq., in 
contract-related matters; and performs such other adjudicatory functions 
assigned by the Secretary as are consistent with the duties and 
responsibilities of the Board as set forth in 41 U.S.C. 601 et seq.
    (l) Departmental Office of Civil Rights. The Director of 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, and the Equal Pay Act of 1963. The Office of Civil Rights 
also provides policy guidance to the operating administrations and 
Secretarial officers on these matters. Also, the Office periodically 
reviews and evaluates the civil rights programs of the operating 
administrations to ensure that recipients of DOT funds meet applicable 
Federal civil rights requirements.
    (m) Office of Small and Disadvantaged Business Utilization. 
Responsible for the Department's implementation and execution of the 
functions and duties under sections 8 and 15 of the Small Business Act, 
as amended, (15 U.S.C. 637 and 644), and for other departmental small 
and disadvantaged business policy direction.
    (n) [Reserved]
    (o) Office of Intelligence and Security. Focal point within the 
Department of Transportation for intelligence and security matters which 
affect the safety of the traveling public.
    (p) Office of Public Affairs. Focal point for public information and 
departmental relations with the news media, the general public, and 
selected special publics.
    (q) Office of the Chief Information Officer. Serves as principal 
advisor to the Secretary on matters involving information resources and 
information systems management.

[Amdt. 1-261, 59 FR 10062, Mar. 3, 1994, as amended by Amdt. 265, 60 FR 
2891, Jan. 12, 1995; Amdt. 1-274, 60 FR 62762, Dec. 7, 1995; Amdt. 1-
290, 62 FR 51804, Oct. 3, 1997]

[[Page 13]]

Sec. 1.24  Authority.

    (a) The Deputy Secretary may exercise the authority of the 
Secretary, except where specifically limited by law, order, regulation, 
or instructions of the Secretary.
    (b) Acting in his or her own name and title, each Assistant 
Secretary, the Inspector General, or the General Counsel, 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.
    (c) Except for nondelegable statutory duties, including those which 
devolve as a result of succession to act as Secretary of Transportation, 
each Deputy Assistant Secretary, the Deputy Inspector General, and the 
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.
    (d) Inspector General. The Inspector General shall report to and be 
under the general supervision of the Secretary and Deputy Secretary. 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.

[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-157, 45 
FR 83404, Dec. 18, 1980]

Sec. 1.25  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 in 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 the Secretary's behalf. For example, the 
Secretary has delegated authority to the Assistant Secretary for 
Transportation Policy and the Assistant Secretary for Aviation and 
International Affairs, as appropriate, 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 operating administration.

[Amdt. 1-113, 40 FR 43901, Sept. 24, 1975, as amended by Amdt. 1-157, 45 
FR 83405, Dec. 18, 1980; Amdt. 1-261, 59 FR 10063, Mar. 3, 1994]

[[Page 14]]

Sec. 1.26  Secretarial succession.

    (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 case of a 
vacancy, until a successor is appointed:
    (1) Deputy Secretary.
    (2) General Counsel.
    (3) Assistant Secretary for Transportation Policy.
    (4) Assistant Secretary for Aviation and International Affairs.
    (5) Assistant Secretary for Governmental Affairs.
    (6) Assistant Secretary for Budget and Programs.
    (7) Associate Deputy Secretary.
    (8) Federal Aviation Administrator.
    (9) Assistant Secretary for Administration.
    (b) Without regard to the foregoing, a person directed to perform 
the duties of the Secretary pursuant to 5 U.S.C. 3347 shall act as 
Secretary of Transportation.

[Amdt. 1-157, 45 FR 83405, Dec. 18, 1980, as amended by Amdt. 1-184, 48 
FR 44079, Sept. 27, 1983; Amdt. 1-261, 59 FR 10063, Mar. 3, 1994; Amdt. 
1-291, 62 FR 55357, Oct. 24, 1997]
