This Directive was canceled August 23, 1999.
U.S. Department of Transportation
Federal Highway Administration
November 20, 1981
1. PURPOSE. To transmit the revised Federal Highway Administration (FHWA) Distribution System Handbook.
2. CANCELLATION. FHWA Order h 1300.1, Distribution System Handbook, dated February 3, 1977, is canceled.
3. COMMENTS. The Distribution System Handbook has been revised primarily to improve its usefulness as a reference for personnel who are responsible for matters involving distribution of FHWA material. Major changes include the following:
a. Conversion to distribution symbols designed by the Office of the Secretary of Transportation is covered. Specifically, FHWA will begin using the symbols W, X and E, representing Washington Headquarters, regional offices and division offices, respectively. These symbols replace the symbols W, D, and M. Specific information regarding the symbols is contained in Chapter 7 of theHandbook.
b. Distribution forms have been revised to reflect organizational changes and the new distribution symbols.
c. Procedures for the annual canvassing of distribution requirements are provided.
for R. a. Barnhart
Federal Highway Administrator
1. PURPOSE. To transmit revisions to the Federal Highway Administration's (FHWA) Distribution System Handbook.
2. EXPLANATION OF CHANGES. This revision primarily reflects changes to the organizational/functional method of distribution to simplify the Distribution System and provide more flexibility in updating requirements. other minor changes have been made. The significant changes are:
a. Chapter 4
(1) Specific formats and procedures for submitting mailing lists actions are replaced with general instructions.
(2) A test form has been incorporated to facilitate updating of distribution requirements.
b. Chapter 7.This chapter has been revised to reflect changes in the organizational/functional distribution method. The changes are:
(1) Levels are reduced from 10 to 3. Items previously distributed under the special or standard distribution method.
(2) The coding structure now used organization level (i.e. , Headquarters, Regions, Division) instead of the former W, X and E, and organization codes (derived from correspondence routing symbols) .
c. Appendix. The Appendix contains revised forms resulting from the above changes. [SEE PRINTED COPY OF ORDER FOR A COPY OF THE APPENDIX]
|Table of Contents
|Table of Contents|
|1 through 5 of Ch. 4
|1 through 5 of Ch. 4|
|1 through 3 of Ch. 5
|1 through 3 of Ch. 5|
|1 through 2 of Ch. 6
|1 through 2 of Ch. 6|
|Figures 1 through 7 of
Appendix, dated 11/20/81
|Figures 1 through 8 of Appendix|
[SEE COPY OF ORDER FOR A COPY OF FIGURES 1 THROUGH 8 of Appendix]
CHAPTER 1. INTRODUCTION
CHAPTER 2. RESPONSIBILITIES
CHAPTER 3. INTERNAL AND EXTERNAL DISTRIBUTION
CHAPTER 4. DISTRIBUTION METHODS
CHAPTER 5. PROCESSING PROCEDURES
CHAPTER 6. STOCK AND STOCK REQUEST PROCEDURES
CHAPTER 7. DISTRIBUTION CODES
APPENDIX [SEE COPY OF ORDER FOR A COPY OF FIGURES 1 THROUGH 8]
1. PURPOSE. To prescribe policy, procedures, and responsibilities for implementing the Federal Highway Administration (FHWA) Distribution System.
2. SCOPE. The provisions of this Handbook cover all FHWA material requiring distribution and apply to all organizational elements of the Washington Headquarters, regional offices and division offices.
3. POLICY. All FHWA material to be distributed will be distributed on an efficient, responsive, and economical manner to assure that all organizations receive only that material necessary to their operation.
4. DEFINITIONS. As used in this Handbook, the following definitions apply:
a. Issuance or Material - any item distributed by FHWA; includes directives, publications, pamphlets, brochures, newsletters, magazines, books, reports, etc.
b. Mailing List - a list established for distribution to external recipients. It contains names of recipients interested in a particular subject as opposed to a specific issuance.
c. Material - see "Issuance or Material".
d. Organizational/Functional Distribution - the basic distribution method established by the Office of the Secretary of Transportation (OST) . In FHWA, it is used to distribute material to any FHWA organizational element at various levels, and certain external elements, i.e. , State highway agencies.
e. Special Distribution - a method used to distribute individual issuances when other methods are inappropriate. It is applied on a case-by-case basis.
f. Standard Distribution List - a list established for use with a frequently recurring issuance and containing specific recipients and exact copy requirements of each. This list, also called a ZTH list (see Chapter 4 for discussion), is used only to distribute the issuance for which it was established.
g. Strapped Distribution - simultaneous distribution of two or more related issuances, such as a research report and the FHWA Bulletin used to transmit the report.
h. ZTH List - see "Standard Distribution List".
1. ASSOCIATE ADMINISTRATORS AND STAFF OFFICE DIRECTORS. Each Associate Administrator and staff office Director is responsible for:
a. designating a Distribution Representative for hois or her organization and for submitting the name of that person to the Distribution Control Point (DCP), and
b. through the Distribution Representative, approving copy requirements for issuances received in their organization(s) .
2. REGIONAL ADMINISTRATORS. Regional Administrator are responsible for:
a. designating a Distribution Representative for the regional office, ensuring that a Distribution Representative is designated for each division within the region, and submitting the names of those personms to the DCP, and
b. through the Regional Distribution Representative, approving copy requirements for issuances received in the regional office and division offices.
3. DISTRIBUTION CONTROL POINT. The DCP, which is in the Organization and Management Programs Division, Office of Management Systems, is responsible for administering the Distribution System and specifically:
a. serving as FHWA liaison with the Office of the Secretary of Transportation (OST) regarding all distributionmatters,
b. serving as FHWA liaison with the Department of Transportation (DOT) Warehouse regarding matters related to the stocking of FHWA directives,
c. reviewing the proposed distribution of directives and other issuances prior to submission to OST for printing and distribution.
d. assisting Distribution Representatives in determining the number of copies required by their respective offices of each issuances being distributed,
e. monitoring the establishment, use, and maintenance of mailing lists,
f. providing training to FHWA employees in the Distribution System, and
g. evaluating the Distribution System and recommending changes as appropriate.
4. FHWA DOT WAREHOUSE LISISON OFFICER. The Liaison Officer, who is the Chief, Publications and Visual Aids Branch, Operations and Services Division, Office of Management Systems, is responsible for liaison with the DOT Warehouse regarding all matters except the stocking of FHWA directives.
5. DISTRIBUTION REPRESENTATIVES. Distribution Representatives are responsible for:
a. coordinating all distribution activities within their organizations,
b. assisting originators in determining distribution requirements for proposed issuances,
c. maintaining liaison with the DCP, and
d. submitting copy requirements for their organizational elements and any changes in those requirements to the DCP. The Distribution Representative for the division office will submit copy requirements and any changes to those requirements through the Distribution Representative for the regional office.
6. ORIGINATING OFFICES. The office originating material to be distributed is responsible for:
a. determining who needs to receive the issuance,
b. selecting the appropriate distribution method,
c. determining the number of copies to be stocked and the stock reorder point for all material, except directives which have predetermined stock requirements, and
d. establishing, maintaining and canvassing mailing lists, when such lists are needed.
7. RECIPIENTS. Recipients are responsible for notifying their Distribution Representative of:
a. copy requirements and any changes in those requirements,
b. any changes in address ir routing symbols, and
c. any distribution problems.
1. GENERAL. This chapter defines distribution of material within FHWA and distribution of material to external elements, e. g., State highway agencies, metropolitan planning organizations, etc. The actual distribution of materials is performed by the OST Distribution Operations Unit (m-482.31) based on instructions provided by the DCP. The Distribution Operations Unit packages the materials by addressee or routing symbol and forwards them to the OST mailroom for mailing.
2. INTERNAL DISTRIBUTION. Internal distribution is that distribution made to elements within FHWa.
a. Washington Headquarters. material is distributed directly to the organizational elements in the Washington Headquarters.
b. Regional and Division Office. Material is distributed in bulk to regional and division offices for dissemination to their organizational elements.
3. EXTERNAL DISTRIBUTION. External distribution is that which is made to recipients outside of FHWa.
a. The major categories of external recipients are:
(1) Other DOT elements and Government agencies.
(2) State highway agencies (SHA), metropolitan planning organizations (MPO), Governor's highway safety representatives (GHSR), and local governments.
(3) State and local government associations and nongovernment organizations. FHWA distributes material to these organizations when they:
(a) have a major interest in the highway program, e. g., the National League of Cities, the National Governor's Conference, the National Association of Counties, etc.,
(b) are subject to FHWA requirements imposed on a State, or
(c) participate in, or are represented on, FHWA of SHA committees.
(4) The public.
b. The following criteria apply to issuance distributed to external elements.
(1) All External Elements Except the Public
(a) Directives. Directives which contain policy, requirements, and procedures may be distributed to all external elements, except the public, as appropriate. Copies of directives will not be provided in quantity; instead, recipients are expected to reproduce additional copies, if needed.
(b) Other Issuances. When it is in the best interest of FHWA, certain issuances, such as informative-type publications, technical or scientific reports, tc. , may be distributed in sufficient quantity to meet the purpose of the issuance.
(2) Public Distribution. Mateiral is generally provided to the public on a specific request basis. Exceptions are considered on an individual basis; for example, copies of directives dealing with scholarships can be provided in quantity to selected public elements.
1. GENERAL. This chapter discusses the methods used to distribute FHWA material, and provides information on establishing copy requirements. In addition, procedures are provided for maintaining these requirenments on a current basis.
2. ORGANIZATIONAL/FUNCTIONAL METHOD
a. Description. Organizational/functional distribution, which is the most frequently used distribution method, is designed for issuances to be distributed to designated organizational levels, at quantities determined by the recipient. This method permits the originating office to designate as recipients organizational elements or functions at the Washington Headquarters, regional offices, and/or division office levels. Distributiuon is simplified because the levels selected (e. g., division level in the Washingotn Headquarters, office level in the regional offices, etc. ) are uniform nationwide, thereby facilitating packaging and mailing. Actual delivery to individual employees is performed by the receiving organizational eloements. Chapter 7 contains an explanation of the distribution codes.
b. Establishing Copy Requirements of the Recipients
(1) For issuances distributed using the organizational/functional method, copy requiremnets and changes to those requirements are determined by the Distribution Representatives for each level of interest within their organizationa. These requirements and changes are submitted to the DCP on Form FHWA-1489,Distribution Requirements. This form and instructions for completing it are shown on Figure 1 of the Appendix. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] The Appendix also contains examples illustrating completed forms for a Washington Headquarters office (Figure 2) . [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] A regional office (Figure 3) and a division office (Figure 4) . [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE]
(2) Division offices also include requirements for SHA's, GHSR's, and MPO's in their copy requirements.
c. Implementing Method. The organizational/functional method of distribution is achieved through completion, by the originator of sponsor of the issuance, of Corm FHWA-1490, Guide forDetermining Distribution (Figure 5 of the Appendix) . [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] Chapter 5 discusses processing procedures.
3. STANDARD DISTRIBUTION LIST
a. Description. The standard distribution list method is used with frequently recurring issuances for which the organizational/functional method would result in the distribution of inappropriate numbers of copies to recipients and for which specific copy requirements have been identified. An example of an issuance that would be distributed by the use of a standard distribution list is the FHWA Files Management and Records Disposition Manual. Since only a limited number of personnel will use the Manual, and since it will have revisions, a specific list had been established indicating recipients and quantities. When revisions are made, they will be distributed to exactly the same recipients as received the Manual.
b. Structure. Standard distribution lists are identifiedusing an OST coding structure based on a group of three letters, indicating the agency (for FHWA, the letters are ZTH), followed by a number indicating the specific list (e. g., ZTH-1, ZTH-2, etc. ) . The list itself contatins identification of recipients by routing symbol and specific copy requirements. A minimum of 11 separtate routing symbols is required to establish a list.
c. Establishing Lists. The originating office, with the assistance of the DCP, determines that a recurring issuance requires distribution which cannot ne satisfactorily accomplished using other methods. A completed Form FHWA-1090, Distribution Guide (Figure 6 of the Appendix), [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] is submitted to the DCP to establish a standard distribution list.
d. Using Lists. The originating office notes the code assigned to the list, e. g., ZTH-70A, on its duplicating request of distribution instructions. Chapter 5 discusses processing procedures.
4. SPECIAL DISTRIBUTION
a. Description. The special distribution method distributes individual issuances and is determined on a one-time basis. It is used only when neither the orgazational/functional method nor the standard distribution list method will provide the necessary distribution, for example, when an unusally large or small number of copies must be distributed to certain recipients. Copies of FHWA research reports are often distributed using this method since they have fairly specialized audiences. The special distribution method can be used in combination with the organzational/functional and/or standard distribution list methods.
b. Structure and Use. Special distribution is used on an individual, one-time basis. The originator specifies the recipients and the number of copies the recipients will recieve on Form FHWA-1090, Distribution Guide.
5. MAILING LISTS
a. Description. A mailing list is used for distribution to certain external recipients. It contains names and addresses of recipients identified to receive specific issuances. Once established, OST assigns it a designation consisting of the agency identification and number or number/letter combination, e. g., FHWA-30, FHWA-60G.
b. Establishing and Maintaining Lists. If an originating office determines, in cooperation with its Distribution Representative, that no mailing list exists which can meet its distribution requirements, a new mailing list may be established. A minimum of 50 addressees is required to establish a mailing list, and it must be used at least quarterly. Distribution Representatives will coordinate with the DCP on development and maintenance of a list.
c. Using the Lists. The originating office notes the number assigned to the mailing list on its duplicating request or distribution instructions. See Chapter 5 for further processing procedures.
d. Privacy Act Considerations. FHWA Order H 1300.1, Public Availability of Information Handbook, stipulates that an individual's name or address, or other personal information, shall not be sold, rented or otherwise disclosed unless such action is specifically authorized by law. Questions concerning uses of mailing lists for purposes other than distribution of FHWA material should be directed to the Organization and Management Programs Division, Office of Ma nangement Systems.
6. CANVASSING. Canvassing is conducted to ensure that distribution is carried out in an efficient and economical manner. The DCP will schedule a periodic review of each distribution method and will notify the appropriate offices of the action necessary to ensure that each method is maintained on a current basis. Form FHWA/Test, Distribution Canvass, will be used to initiate canvasses (see Figure 7 of the Appendix) . [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] The following describes the canvass method used for each type of distribution:
a. Organizational/Functional Distribution Lists.
The Distribution Representative review their current Forms FHWA-1489, Distribution Requirements, to determine whether the indicated quantities reflect the current needs of their organizations. This review considers only the quantity requirements of the receiving organizations. Revised forms are submitted, if needed.
b. Standard Distribution Lists. The Distribution Representatives review the lists established and maintained by their organizations or survey the recipients, and submit revised forms, if needed.
c. Mailing Lists
(1) Canvassing of mailing lists is done by direct mail survey using self-mailer letters, canvass cards or other appropriate forms supplied by the OST Distribution Requirements Section.
(2) The canvass returns are forwarded, no later than ten (10) work days following the scheduled cut-off date of the canvassm to the DCP for submission to the OST Distribution Requirements Section. The cut-off date is determined by adding to the mailing date the number of days allowed for the addressees to treturn cards. Mailing lists must remain inactive during the canvass period, and no additions, changes or deletions will be processed until the list has been updated.
(3) The OST Distribution Requirements Section updates mailing lists from the canvass returns.
1. DETERMINING DISTRIBUTION
a. The originating office decides who should receive an issuance and which method is appropriate. The distribution should include any organizational element which are:
(1) responsible for standards, criteria, or procedures established or affected by the issuance,
(2) responsible for implementing the issuance,
(3) affected by the issuance,
(4) referenced in the issuance, or
(5) recipients of the original issuance, in the case of a change or revision.
b. The Distribution Representative should be consulted during the development stage of the proposed issuance, and will assist in preparing the apporpriate distribution form(s) .
c. The DCP is also available for assisting in determining the distribution and the appropriate method.
2. DISTRIBUTION FORMS. Once the distribution requirements have been determined and the method selected, the originating office completes one of the following forms, unless only a standard distribution list or a mailing list will be used. In such a case, the list identification is included under "Special Instructions" on the Duplicating Request (see paragraph 3) .
a. Form FHWA-1490, Guide for Determining Distribution. This form (Figure 5 of the Appendix) implements the organizational/functional method of distribution. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] It is used when the originating office determines the recipients, but the quantity received by each. One copy of the form is required with the issuance. Complete the form as follows:
(1) Enter in the block entitled "OPI" the routing symbol of the originating office, e. g., HNG-12, HPP-22.
(2) Enter in the block entitled "Subject:" the title of the material, including volume and chapter numbers when appropriate.
(3) Under the column headed "X," place an "x" oppositethe elements to receive the material.
(4) Under the column headed "Distribution Level" indicate the desired level by placing an"x" in the appropriate columns.
b. Form FHWA-1090, Distribution Guide. This form (Figure 6 of the Appendix) indicates special copy requirements, and may be used in combination with the organizational/functional method and standard distribution lists. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] Three copies of this form must be submitted to the DCP with the issuance. Complete the form as follows:
(1) Enter the title of the issuance in Block 1.
(2) In the "AMT" column, enter the number of copies to be distributed to each recipient. The number of copies for SHA's is included in the amount for the appropriate division office.
(3) Enter the total number of copies required in Block 2.
(4) For external distribution, preaddressed mailing labels, Form FHWA-146, must be provided. Preaddressed 9" x 12" enevelopes are acceptable for items distributed in limited quantities.
3. DUPLICATING REQUEST. Form DOT F 1700.8, Duplicating Request (Figure 8 of the Appendix), indicates the printing specifications. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS FIGURE] The originating office supplies the following information on the Duplicating Request:
a. agency name, name of contact, routing symbol of originating office, building, room number, and telephone number;
b. special instructions, such as the standard distribution list number or the mailing list number, overtime justification, extra copies needed for the originating office, and any other pertinent information; and
c. the signature of the approving officer.
4. DISTRIBUTION OF MULTIPLE-PART ISSUANCES
a. multiple-part issuances can be distributed simultaneously by using strapped distribution. Distribution of such items is made from one set of distribution instructions with equal numbers of each item going to each recipient. The items will be mailed out at the same time and, if possible, in the same envelope or package. Multiple-part issuances are items such as two or more volumes of a report, a report and its transmittal Bulletin, etc.
b. Prior to distribution, indicidual parts of a multiple-part issuance may be at more than one location. This most commonly occurs when a report is being distributed with a Bulletin. In such cases, distribution instructions will clearly indicate the location of the items being distributed, i.e. , on hold in OST distribution section, stored in originating office, etc. When the items, or a part of the issuance, are stored in an originating office, the Publications and Visual Aids Branch (HMS-24) will arrange for delivery to the OST distribution section.
5. FINAL PROCESSING
a. After distribution is determined and the appropriate forms are completed, the originating office submits the items to be distributed, along with the distribution and printing forms, to the DCP. Directives require clearance in accordance with FHWA Order 1321.1A, Directives System Handbook.
b. The DCP completes the appropriate paperwork and forwards the issuance to HMS-24 for transmittal to OST for printing and distribution.
1. STOCK PROCEDURES
a. Directives. A limited number of copies of current directives are maintained on the DOT Warehouse (M-494.3) in Washington, d. c. The number stocked and the stock level reorder point are determined by the DCP. The following is a guide to the stock and reorder levels.
|Directives||Initial Stock||Reorder Level|
|Orders (Excluding Manuals)||100||25|
|Manuals||Determined on Individual Basis|
|Federal-Aid Highway Program Manual||400||100|
b. Other Material. Reports, forms, and other FHWA items are also stocked in the DOT warehouse. The number stocked and reorder level are determined by the originating office and the FHWA DOT Warehouse Liaison Officer (HMS-24) .
2. STOCK REQUEST PROCEDURES
a. A written request for stocked material shall be submitted in duplicate to the DOT Warehouse (Form DOT F 1320.9, Route Slip, is adequate for this purpose) . Separate request are submitted for forms, directives, publications and other items stored in the DOT Warehouse.
(1) Requests for FHPM directives must include the transmittals number. Request for FHWA Orders, Technical Advisories, and Notices must include the complete subject classification code and change number, if appropriate.
(2) Offices may request less than 50 copies of a directive directly from the DOT Warehouse. A request for 50 copies of more of a directive must include ajustification and must go through the DCP.
(3) Routine mailing time can be up to 14 working days from receipt of a request at the DOT Warehouse. When justified, arrangements to obtain copies of directives may be made with the DCP and arrangements to obtain copies of other printed items may be made through the FHWA DOT Warehouse Liaison Officer (HMS-24) .
b. Small quantities of copies of directives (less than 25) can be picked up from the DOT Warehouse facility in the P-2 level of the Nassif Building.
1. GENERAL. All distribution codes are translated from the distribution forms submitted by the originating office. For directives, the codes are entered ny the DCP following the word "Distribution" which appears at the bottom left of the masthead. The following discussion of codes is included for information purposes, since originating offices do not assign these codes. To determine distribution, see Chapter 4, Distribution methods, and Chapter 5, Processing Procedures.
2. SPECIAL DISTRIBUTION. The Form FHWA-1090, Distribution Guide, implements this method of distribution. For directives, the distribution code for special distribution appears in the following manner, or variation of it, as appropriate:
3. STANDARD DISTRIBUTION. The standard distribution lists are indicated by the code letters, ZTH, followed by a number of a number/letter combination, for example, ZTH-2 or ZTH-70a. The digits indicate a specific list. For directives, the distribution code appears in the following manner, or a variation of it, as appropriate:
4. ORGANIZATIONAL/FUNCTIONAL DISTRIBUTION. The Form FHWA-1490, Guide for Determining Distribution, implements this method.
a. Coding Structure. The coding structure is based on the following:
(1) Standard Codes. These codes indicate distribution to the principle organization levels in FHWA, i.e. , Headquarters, Regions, and Divisions.
(2) Organizational Codes. These codes indicate distribution to specific offices within a given organizational level; for example, the symbol for the Office of Management Systems in Washington Headquarters is MS, derived from HMS, which is the correspondence routing symbol.
(3) External Codes. Three external codes - SH, GR, and MP - indicate State highway agencies, Governor's highway safety representatives, and netropolitan planning organizations, respectively. Distribution to these elements is made through the division offices.
(4) Distribution Level Code. The distribution level is the extent within the recipient elements to which distribution is made. The distribution levels are shown below:
(a) Level 1. Administrator, Deputy Administrator, Executive Director, Associate Administrators, Staff Office Directors, Office Directors inAssociate Administrators Offices, Direct Federal Program Administrator, and Regional and Division Administrators.
(b) Level 2. Division and Branch Chiefs in Office Director and Staff Office Director Offices, Regional Office Directors, Division Office Staff heads, Direct Federal Division Engineers; and above.
(c) Level 3. State Highway Agencies, Governor's Highway Safety Representatives, and Metropolitan Planning Organizations; and above.
b. Examples of Organizational/Functional Codes. The following examples are tiven to illustrate the versatility of this distribution method and the arrangement and inerpretation of the codes. The quantities have been determined by the recipient at each level with this method of distribution.
(1) General Distribution. For an issuance which will be distributed to all FHWA organizational elements to Level 2, the following code is used:
Level 2: Headquarters, Regions, Divisions
(2) Distribution Codes at Different Levels. The following illustrates distribution oif an issuance to different levels:
Level 2: Headquarters
Level 1: Regions, Divisions
(3) Limited Distribution. For an issuance to be distributed to a specific organizational/functional element, the code(s) for the specific element is enclosed in parentheses and plced after the organization code.
|Level 2:||Headquarters (FS, MS)|
(4) External Elements. If distribution is being made to Level 2 in FHWA, and copies are required for external elements, i.e. , SHAs, which are indicated at Level 3, the following distribution code is used. Distribution to the SHAs is made by the division offices.
Level 2: Headquarters, Regions, Divisions
Level 3: SHAs (through Divisions)