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FHWA Order M 1322.3A
This Directive was canceled December 2, 2003.

Order
Subject
Forms Management
Classification Code Date Office of Primary Interest
M 1322.3A May 16, 2000 HAIM-10

Par.
  1. What is the purpose of this directive?
  2. Does this directive cancel an existing FHWA directive?
  3. What authorities govern this directive?
  4. What are the forms management definitions?
  5. What is the policy for issuing new and revised forms?
  6. What are the forms responsibilities of FHWA officials and others?
  7. What is the process for issuing new and revised forms?
  8. What about the stocking of FHWA forms?
  9. Is there an FHWA forms catalog?

  1. What is the purpose of this directive? This Order describes the Forms Management Program and its requirements (for electronic and paper forms) within the Federal Highway Administration (FHWA).

  2. Does this directive cancel an existing FHWA directive? Yes. FHWA Order 1322.3, Forms Management, dated July 3, 1989, is canceled.

  3. What authorities govern this directive? This Order is consistent with the General Services Administration regulation, 41 CFR Part 101-11.203, Standard and Optional Forms Management Program, dated July 1, 1999, and DOT Order H 1350.2, Forms Management Policy, Chapter 10-3, dated May 1998. 1

  4. What are the forms management definitions?

    1. DOT Forms - forms that are issued by the Office of the Secretary and used by one or more organizational components within DOT. These forms have the designation "DOT" preceding the form number.

    2. Electronic Forms (EL) - forms created using the agency's baseline or other computer software to replace or supplement existing paper forms. The software name and the date of creation or last revision are shown in parentheses near the form number.

    3. Experimental/Test Forms - forms approved for use on a temporary or trial basis. These forms are identified by the words "TEST FORM" and the date the test form was issued.

    4. FHWA Forms - forms that are used internally within FHWA and are identified by an "FHWA," prefix in the form number.

    5. Form - a paper or electronic document with captioned spaces that is set up for entering specific information, and forwarding for action. Forms may also include narrative without fill-in spaces, such as contract provisions, instruction sheets, notices, tags, labels, and posters. Other types of forms include: post cards, letters, memorandums, and envelopes.

    6. Local Forms - forms that are created, approved, and intended for use only by the originating Headquarters, Resource Center, Federal Lands Highway Division or Division Office. Local forms are not subject to the requirements in this Order and are not a part of the FHWA forms inventory.

    7. Optional Forms - forms developed for use in two or more Federal agencies, approved by the GSA, and identified by an "OF" prefix in the form number.

    8. Public Roads (PR) Forms- forms that were originally issued by the FHWA predecessor organization, the Bureau of Public Roads. These forms are still used as an official FHWA form and are identified by the "PR" prefix in the form number.

    9. Public-Use Forms - forms used to collect identical information from ten or more non-Federal respondents in the public sector. The Paperwork Reduction Act of 1995 requires the Office of Management and Budget (OMB) to approve each public-use form before it is distributed to collect the requested information.

    10. Standard Forms - forms prescribed by a Federal agency and approved by GSA for general use, identified by an "SF" prefix in the form number.

  5. What is the policy for issuing new and revised forms? New and revised agency forms are issued based on the program and organizational needs that are determined by the originating office, and should be kept to a minimum. Electronic forms must be developed and used as much as possible because of their benefits to the agency and external users. These benefits include:(1) the use of electronic signatures to reduce the reliance on paper forms and handwritten signatures, (2) the use of databases to facilitate and expedite data inputting and routing capabilities (where available), and (3) savings in time, paper storage, and forms printing costs. Paper forms may be used when they are not suitable for use in electronic format. You can find additional information on issuing new and revised forms in DOT Order H 1350.2, Forms Management Policy, Chapter 10-3, dated May 1998. 1

  6. What are the forms responsibilities of FHWA officials and others?

    1. In Headquarters, the Chief, Management Programs and Analysis Division(HAIM-10), Office of Information and Management Services, serves as the FHWA Forms Officer and is responsible for the FHWA Forms Management Program. HAIM-10 approves all new and revised FHWA forms, ensures the postings of approved forms on the FHWA StaffNet, provides agencywide advice, assistance, and troubleshooting, establishes a network of forms contacts, reviews Headquarters and field office forms management programs, and addresses a variety of other agency forms matters.

    2. Also in Headquarters, the Core Business Unit Program Managers and Service Business Unit Directors are responsible for ensuring that the forms management programs in their respective organizations are carried out consistent with this Order.
    3. The Resource Center Directors, Division Administrators, and the Federal Lands Highway Division Engineers are responsible for ensuring that the forms management programs in the Resource Centers, Division Offices, and the Federal Lands Highway Division Offices respectively are carried out consistent with this Order.

    4. The Information Technology Division (HAIM-40) is responsible for providing technical support to the FHWA Forms Management Program, including the postings of new and revised forms on the StaffNet, ensuring the compatibility of the agency's hardware, software and systems configurations, testing, and by addressing the pertinent systems and infrastructural issues.

    5. The Local Area Network Administrators and forms contacts are responsible for providing support to the FHWA Forms Management Program in their respective organizations, by making software installations on file servers and at workstations, testing, troubleshooting, and carrying out related forms management activities, in cooperation with HAIM-10.

  7. What is the process for issuing new and revised forms?

    1. Headquarters

        (1) The office creating the form should coordinate with HAIM-10. Coordination with HAIM-10 is accomplished by submitting written documentation. For a new form, this should include a brief explanation for creating the form along with a sample copy. The proposed revisions to existing forms should be submitted to HAIM-10 with the changes marked on the current version of the form.

        (2) All electronic forms created by Headquarters offices (including Standard, Optional, and DOT forms) must be submitted to HAIM-10 for review and approval. Electronic forms that are to replace paper forms will be reviewed for content and likeness to the paper version, if applicable. HAIM-10 will review the newly created electronic forms for format as well as ease of use.

        (3) The originating office should coordinate with HAIM-10 and other interested offices to determine, among other things, whether forms requesting similar information exist and can be merged, and whether an OMB clearance of an information collection or recordkeeping requirement (as required by the Paperwork Reduction Act of 1995) is necessary.

        (4) HAIM-10 will:

          (a) review and approve the forms submitted and assign a number and issue date. For example:

          New Revised
          Form FHWA-#
          (mo. - yr.)
          Form FHWA-#
          (Rev. mo. - yr.)

          (b) design the electronic draft using the agency's baseline computer software, or submit the paper draft to the Management Services Division (HAIM-20) for artwork,

          (c) arrange for internal distribution based on the distribution instructions provided by the originating office,

          Note: See paragraph 8 for instructions concerning the stocking of forms.

          (d) provide assistance to the originating offices to create and/or revise electronic forms,

          (e) maintain the FHWA forms inventory,

          (f) forward new and revised electronic forms to HAIM-40 for posting on the FHWA StaffNet.

        (5) When a form is no longer required, the originating office should consult with other offices that may be affected by its discontinuance; if they concur, the originating office should notify HAIM-10. Following notification, HAIM-10 will delete the form from the FHWA forms inventory.

        (6) New or revised paper or electronic forms that will be used for data collection for automated systems should be reviewed by the Information Technology Division, HAIM-40, before being submitted to HAIM-10.

    2. Field Offices

        (1) Resource Center Directors, Division Administrators, and the Federal Lands Highway Division Engineers should implement procedures for processing new and revised forms within their organizations to assure compliance with paragraph 5.

        (2) If a proposed field office form contains information collection or recordkeeping requirements that will be imposed on 10 or more respondents in the public sector (including State highway agencies), you must forward the form to HAIM-10 for review and clearance by OMB. This is a requirement of the Paperwork Reduction Act of 1995.

  8. What about the stocking of paper forms?

    1. FHWAwide and DOT Forms

        (1) FHWA (FHWA and Public Roads (PR)) and DOT forms that are stocked in the departmental warehouse (SVC-121.23) can be ordered by submitting a written request or FAX. The FAX telephone number is 301-386-5394.

        (2) If a form is to be stocked in a location other than the departmental warehouse, the directive or instructions that transmit the form should specify where copies of the form can be obtained.

        (3) SVC-121.23 will notify HAIM-10 when forms stocked at the departmental warehouse reach the established minimum stock level. HAIM-10 will review the notification and forward it to the originating office. The originating office will complete and return the notification to HAIM-10 for appropriate action.

        (4) For forms stocked in locations other than the departmental warehouse, the originating offices will be responsible for notifying HAIM-10 when minimum stock levels are reached.

        (5) Newly created and revised electronic forms are posted upon approval on the FHWA StaffNet under "Computers/Software," "Electronic Forms" for agencywide downloading and use.

    2. Resource Center, Division, and Federal Lands Highway Local Forms. These forms should be stocked by the Resource Center, Division Office, and Federal Lands Highway Division Offices and made available to users upon request.

    3. Standard (SF) and Optional (OF) Forms. Copies of Standard and Optional forms are generally available from the GSA supply centers. If specific forms are not available from local supply centers, HAIM-10 will provide information on how to obtain copies.

  9. Is there an FHWA Forms Catalog? Yes. The inventory of current FHWA, PR, EL, DOT, and other forms used within FHWA is listed in the FHWA Forms Catalog. The catalog is posted on the FHWA StaffNet under "Computers/Software," "Electronic Forms," catalog of all forms. The catalog can be viewed on StaffNet or can be downloaded. HAIM-10 will conduct periodic reviews of the forms inventory to identify those forms that are obsolete and no longer needed. Resource Center Directors, Division Administrators, and the Federal Lands Highway Division Engineers should maintain similar inventories of forms controlled by their respective offices.

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Michael Vecchietti Signature

Michael J. Vecchietti
Director of Administration

Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000