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FHWA Order H 1321.1B

Order
Subject
FHWA Directives Management Program Handbook: Chapter 5
Classification Code Date Office of Primary Interest
H 1321.1B April 10, 2000 HAIM-10

Developing and Processing a Directive

  1. What is the purpose of this chapter? This chapter gives you the procedures for developing and processing a directive.

  2. How do I develop and process a directive? The following procedures are to be followed by the originating office in developing and processing directives, other than FAPG directives that contain regulatory material. See paragraph 3 for developing and processing procedures for FAPG directives.

    1. Initial planning and development? Use the following table to plan and develop a directive.

      Step Action
      1

      Determine the absolute need for a directive. Would a policy memorandum or another type of issuance serve the same purpose?

      2

      If a directive is absolutely necessary, determine the category of directive, i.e., Order, Notice, or Technical Advisory. You can consult with the DCP if there is a question as to the category of directive.

      3

      Prepare the draft directive according to the format and writing standards in this Handbook. You can use this Handbook as your blueprint for your new or revised directive.

      4

      Begin clearing proposed forms and recordkeeping requirements with the Management Programs and Analysis Division (HAIM-10).

      5

      Coordinate the initial draft directive with the DCP. The DCP reviews the directive for:

      (a) clear and concise presentation of the subject matter,

      (b) compliance with the plain language standards,

      (c) duplication or conflict with other directives,

      (d) consistency with other directives, such as the delegations of authority in the FHWA Delegations and Organization Manual, FHWA Order M 1100.1A,

      (e) proper clearance of forms and recordkeeping requirements,

      (f) correct format, punctuation, grammar, syntax, and style,

      (g) currency and completeness of cited references,

      (h) misuse of gender-specific language, and

      (i) appropriate management concurrence.



    2. Final draft processing

      (1) Coordinate the draft directive with the appropriate Washington Headquarters elements and field offices, if necessary, and evaluate and retain the comments under the "Background" tab of the package. Coordination at this stage should also include the DCP. Note: Using e-mail at the draft stage and keeping the DCP informed of any changes will speed the review.

      (2) Coordinate the draft directive with external organizations, if necessary, and evaluate and retain the comments under the "Background" tab of the clearance package. It may be necessary to complete the FHWA and external coordinations concurrently.

    3. Final directive

      (1) Using the agency's baseline word processing software, prepare the final directive. Be sure that you use Spell Check, and double-check your directive against the Writing Guidelines.

      (2) Assemble the final directive package.

      (3) Prepare a Summary Sheet for directives requiring signature by the Administrator, Deputy Administrator, Executive Director, or Director of Administration. The Summary Sheet is prepared on plain white paper and no copies are made. It is placed on the inside-left side of the package, over the yellow concurrence tab.

      (4) Obtain final concurrences, and signature if at a level other than HOA.

      (5) Submit the entire final package in paper format and in electronic format (e-mail) to the DCP for final review and processing and forwarding to the signing official. Because of the possibility of a virus on a diskette, only e-mail will be accepted. The DCP final review ensures that the package is complete and that all coordination, format, and other requirements of this Handbook have been met. The directive will not be returned to the OPI after final package submission unless additional preparation is required.

      Notes: The DCP determines the classification code of a directive only after approval.

      Final versions of directives should not be submitted to the Web Team directly from the OPI; they will not be accepted. Only the DCP forwards approved directives to the Web Team for hyper-text markup language (HTML) conversion and posting.

  3. How do I develop and process an FAPG directive? The following guidelines are to be followed by the originating office in developing and processing an FAPG directive.

    1. Contents of an FAPG issuance

      (1) The draft FAPG issuance will consist of any nonregulatory material, either supplemental to the regulation or nonsupplemental. This nonregulatory guidance is prepared completely separate from the regulatory issuance, by the originating office.

      (2) The final FAPG issuance will consist of a transmittal and one or more of the following:

        (a) a new or revised regulation that has been approved by the OMB and reformatted into the FAPG format;

        (b) a nonregulatory supplement to the regulation; or

        (c) a nonregulatory issuance that does not supplement a 23 CFR or 49 CFR regulation.

    2. Initial planning and development

      (1) Determine the absolute need for the FAPG directive.

      (2) Contact the DCP to discuss plans for developing and processing the FAPG directive.

      (3) Consult with the FHWA Regulations Officer if the proposed FAPG directive will impose new program requirements.

      (4) Begin clearing proposed forms and information collection requirements with the Management Programs and Analysis Division (HAIM-10).

    3. Preparing a draft FAPG directive

      (1) The originating office prepares a draft FAPG directive according to the format and writing standards in this Handbook.

      (2) The originating office coordinates the draft FAPG directive with the DCP throughout the process.

      (3) The originating office coordinates the draft FAPG directive with appropriate Washington Headquarters elements and field offices, if necessary, and evaluates and retains any comments under the "Background" tab of the package.

    4. Final preparation

      (1) Prepare the final FAPG directive. Be sure that you use Spell Check.

      (2) Assemble the FAPG directive for the approving or signing official. Include all related background material, including comments from the draft coordination stage, where applicable.

      (3) Circulate the final FAPG directive within the originating organization for final clearance. The agency's baseline word processing software, and also via e-mail, for final review. Because of the possibility of a computer virus, the DCP does not accept diskettes. The DCP final review ensures that the proposed FAPG directive is correct and meets all guidelines in this Handbook.

    5. Final preparation by the DCP. Following signature by the Office of the Administrator, and issuing the regulatory material as a Final Rule in the Federal Register, this material is reformatted by the DCP and incorporated with any nonregulatory material into an update for issuance in the FAPG.

  4. Who can sign an FAPG transmittal? The Director of Administration will issue FAPG directives by signing the guide's update transmittals. This signature is subject to the requirements that:
    1. the Office of the Administrator and the OMB have approved any regulatory materials contained in the issuance, and

    2. any nonregulatory provisions have been approved at the Washington Headquarters office director level or above.


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