# Presentation: 410953

## FHWA Waiver Process

- A Tool for Employees

## Background

- Presidential Initiative
- Best Practice from NPR Reinvention Labs
- FHWA Waiver Program started Dec 1, 98

**Notes:**
Speaker Notes:
The White House Office of the Press Secretary issued a “Memorandum for the Heads of Executive Departments and Agencies” on April 21, 1998, Subject: Streamlining the Granting of Waivers.  Full text available at - www.fhwa.dot.gov/waiver/presmemo.htm.
Reinvention Laboratories are innovative organizations or activities that are established to test or prototype new "reinventing government" initiatives. The reinvention laboratories are empowered to begin experimenting with radical new ways of doing business, and share their ideas, successes and lessons across government.

Waiver requests in the reinvention labs generally came from front-line employees. Who would know best if a procedure is working effectively?

The Administrator's memo and additional information is available at the FHWA Waiver Website at - www.fhwa.dot.gov/waiver

## What is a waiver?		

- A way for employees to request relief from internal rules & regulations to better serve their customers
- A tool for employees
- A bureaucracy tamer

**Notes:**
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.
Waivers are a clear indication of Leadership’s support for the innovative spirit and capability of the Agency’s front-line workers. 
It empowers employees to address internal requirements that hinder them in delivering the best possible service to their internal and external customers

The waiver process empowers employees to discuss their ideas directly with the process owner at whatever level he or she sits.  We recommend that employees discuss the waiver with their team leader/supervisor/etc., but the FHWA Waiver Process allows employees to talk directly with the decision maker.  

## What is waiverable?

- Any rule internal to FHWA
- Any internal regulation
- Any local rule

**Notes:**
Secretary Slater said, "DOT should actively use waivers as a tool to create managerial and operational flexibility to meet the challenges of the transportation system of the 21st Century. Therefore, I am directing all DOT officials who can waive internal rules, regulations, policies, procedures, and processes to approve waiver requests from DOT employees, whenever feasible, and not to disapprove any request unless there is a compelling reason to do so."

The rules that may be waived under this process include any internal rule, regulation, policy, procedure or process which a DOT official has the authority to waive. This process does not apply to discretionary management decisions (e.g., operations of an office such as workload distribution, work hours, telecommuting). When this exception applies, the request can be returned unprocessed;

## What is not waiverable?

- A law
- A treaty
- An Executive Order
- A negotiated labor agreement
- Civil Rights protections

**Notes:**
The clear preference of the Secretary is to have waivers approved. A waiver request may be disapproved in limited circumstances including: violations of a law, treaty, executive order, or negotiated labor agreement; civil rights protections, impacts to consistency (i.e.,           operational consistency to treat people, including the public and DOT employees, equitably); degradation of agency mission, and lack of authority such as when a Government-wide regulation or policy cannot be waived by a DOT official. 

## Rules to Make Sure it Works

- Any employee may request a waiver of an internal rule or regulation
- Any process owner may approve a waiver.  Only Tony Kane may disapprove a waiver - no one else!
- Waivers have to be approved or disapproved within 30 days.
- Can be extended to 60 days for legal consultation.  You will be kept notified.

**Notes:**
Only employees may submit waivers.  We cannot process waiver requests from our customers.  

Determining the process owner can be difficult.  Employees should talk with their fellow team members, team leaders, supervisors, etc to figure out who is the process owner.  

Only one person in the entire FHWA can officially disapprove a waiver request.  This should indicate how seriously Leadership takes this process & how they want to make it work.

Your submittal date on the waiver request starts a 30 calendar-day timeframe.  It is hard to get a car loan approved in 30-days.  FHWA’s Leadership commitment to employee says 30-days with a possible one-time extension to 60-days.  

These rules ensure that the Leadership chain will see all employee’s waiver requests.   

## Where do I get ideas for waivers?

- Check the DOT and other websites for approved waivers.  You may be able to use an existing waiver.
- Through your use of the internal rules, regulations, policies, procedures, processes, etc., identify those that appear ripe for the waiver process.
- The Internet has many best/successful practices used by agencies that may be applicable to your job

**Notes:**
DOT Waiver Website:  www.dot.gov/ost/waiver
NPR Website with links to a lot of waiver and reinvention sites:  www.npr.gov
All DOT modes have their own waiver process in place - look at what they have approved.  OST may also issue blanket waivers to the modes to allow them to use an innovative idea recommended by one of the modes.  All the mode’s Waiver Websites are accessible from the DOT Waiver Website.  

## Employee/Requester Responsibilities

- Identify improved or new and better ways to conduct business
- Determine which rule(s) is to be waived and the applicable process owner
- Consult with the process owner
- Submit the waiver request

**Notes:**
To utilize this waiver process, the employee(s) must:
a. Identify improved or new and better ways to conduct business;
b. Determine which rule(s) is to be waived and identify the applicable process owner (also known as the approving official)
c. Consult with the process owner. This step begins the partnership between the process owner and the requester in examining the waiver with objective and open eyes. Such consultation should be conducted prior to the formal submission of the 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. (If the approving official does not respond within 30 calendar days to your request for consultation, you may submit your waiver request without a consultation. 
d. Submit the waiver request by completing Waiver Request (DOT 1001) and forward the request SIMULTANEOUSLY and electronically to the process owner & to the HQ waiver person at waiver.fhwa.dot.gov.