CHAPTER 5. PREPARATION OF MEMORANDUMS

Word Version - A viewer is available from Microsoft® for Word files.

PDF Version - To view PDF files, you need the Acrobat® Reader®.

Par.

1. What is a memorandum form?
2. How do I prepare a memorandum form?

1. What is a memorandum form? A memorandum form is used for informal correspondence throughout the FHWA and with all other organizational elements of the DOT. The electronic template can be accessed from http://intra.fhwa.dot.gov/informs/tn0002.htm

2. How do I prepare a memorandum form?

   1. Assembling a memorandum for signature. When assembling a memorandum for signature, keep together all items belonging with the original of the memorandum, all items belonging with the official file copy, and all items belonging with the information copies.

   2. Stapling and mailing an original memorandum. The original memorandum and any attachments are not stapled until signed. Attachments are clipped under the original in sequential order. If the memorandum is mailed through the U.S. Postal Service (USPS), a proper sized addressed envelope should be prepared.

   3. Voiding official file copies. Any official file copies voided by revision or retyping should be attached following all pages of the final official file copy. Voided official file copies should be differentiated from the final official copy with a red diagonal line drawn through them and "previous concurrences valid" typed or neatly written above the concurrence grid.

   4. Filing memorandums. All memorandums regardless of subject matter or signature level should be in the appropriate correspondence folder.

   5. What unit of measurement should be used in FHWA reports and correspondence? To the maximum extent practical, only the metric system of measurement should be used in all FHWA reports and correspondence. The use of dual units of measurement should be avoided unless it is determined in specific instances that such usage would be beneficial. Please review the guidance provided on June 1, 2001, from the Deputy Executive Director on Metric Use Requirements at http://www.fhwa.dot.gov/programadmin/contracts/0601metr.cfm.

   6. Figures 5.1 through 5.19 provide samples of memorandum forms with further instructions.

Figure 5.1

Memorandum

Memorandums are used for informal correspondence throughout the FHWA and with all other organizational elements of the DOT. Use the memorandum form or a computer-generated copy. See Chapter 7 on how to access Microsoft Word templates from StaffNet.

1. The margins for a memorandum are:

   1. Left margin: Begin typing two spaces after the colon in the subject line.

   2. Right margin: Approximately 1 inch to prevent typing into the concurrence grid on the official file copy.

   3. Bottom margin: Approximately 1 ½ inches.

   4. Right justifications are not acceptable.

2. When a memorandum is signed, the date is preferably typed or stamped by the office in which the memorandum is signed two spaces after the Date: caption. If typed, spell out the month and show the date and year in numerals. Do not use st, th, or rd with the numerals.

   Example:

   Date: June 30, 2003

3. Reply to Attn. of: Type the routing symbol of the action office two spaces to the right of the Reply to Attn. of: caption shown on the right of the memorandum form (correspondence routing symbols used by the FHWA are listed on StaffNet at http://staffnet.fhwa.dot.gov/sysroute.htm)

Figure 5.2

Memorandum

The SUBJECT line is typed two spaces after the SUBJECT: caption. Keep the subject short. If more than one line is needed, type succeeding lines flush with the first line. Capitalize the first letters of all words except articles, prepositions, and conjunctions. The SUBJECT line must indicate one of the following captions: ACTION: (action is required of the addressee), INFORMATION: (information is provided and no action is required of the addressee), or BRIEFING. Example:

INFORMATION: FHWA Correspondence Manual

1. Response to Incoming Memorandums

   1. Reference the incoming memorandum. When responding to an incoming memorandum, reference it in the SUBJECT line in as few words as possible. Example:

      INFORMATION: Welfare and Recreation Board
      (Your memorandum, 9/15/03, copy attached)

   2. Attach a copy of incoming memorandum from the OST. When responding to a memorandum from the OST, always attach a copy of the incoming memorandum or request (do not include attachments) to the original of the reply and note this in the SUBJECT line. Example:

      INFORMATION: Welfare and Recreation Board
      (Your memorandum, 9/15/03, copy attached)

   3. Reference previous outgoing memorandums. When writing to the same person before a reply has been received, reference the previous memorandum in the SUBJECT line and attach a copy. Example:

      INFORMATION: Welfare and Recreation Board
      (Our memorandum, 9/15/03, copy attached)

2. Include required due dates. Memorandums requiring an answer or other action shall contain the due date as part of the SUBJECT line. Example:

   ACTION: Improved Staffpower Management Report
   (Reply Due: 9/15/03)

Figure 5.3

Memorandum

Memorandums from and to FHWA/OST officials and officials of other OAs will be signed according to comparable organizational level.

1. Title. The name and title of the signing official will be shown on the FROM line. The name and title will be shown on the FROM line when memorandums are addressed to the Secretary and Deputy Secretary of Transportation.

2. Memorandums for signature by two or more FHWA officials, or two or more DOT Administrators. Type the correspondence originator's title first with the other officials following.

3. When an individual is detailed to a vacant position on a temporary basis, use the term "Acting" before the title on the FROM line. Example:

   FROM: Acting Chief, Management Programs and Analysis Division

4. When an individual is signing for an official who is temporarily out of the office (official travel or leave, for instance), the FROM line will reflect the title of the incumbent, and the authorized person will sign for the absent incumbent.

Figure 5.4

Memorandum

Memorandums to and from FHWA/OST officials and officials of other OAs will be prepared according to comparable level. Type the name and title of the addressee two spaces to the right of the TO line, followed on the second line by the office title and organization code. Show the addressee's office routing symbol in parenthesis one space after the title.

When initiating a memorandum, show the routing symbol of the addressee's office. When replying to an incoming memorandum, use the routing symbol shown on the incoming.

1. ATTENTION Line. Avoid an ATTENTION line whenever possible by being specific in the address. If an ATTENTION line must be used, follow the example below:

   TO: Mr. John Doe
   Chief, Bridge Division (HXX-XX)
   ATTENTION: Mr. Paul Smith
   (Title) (HXX-XX)

2. THROUGH Line. Occasionally a memorandum will be routed through an office for clearance or approval. Use of the THROUGH line requires a signature before transmittal to the addressee. When the THROUGH line is used, type as shown:

   TO: Mr. Joe Toole
   Associate Administrator for
   Program Development (HXX-XX)
   THROUGH: Mr. John Doe
   Director, Office of Engineering (HXX-XX)

(Note: When using a THROUGH line, be sure a copy is included in the package for the THROUGH addressee(s).)

Figure 5.5

Memorandum

For multiple-addressed memorandums, prepare one original (unless specifically instructed otherwise by HOAES) to be reproduced after signature. Prepare one set of copies for file and distribution.

1. When the TO line requires the notation "See Addressees," type "Addressees:" at the left margin two lines below the last line of type. On the next line, list the name and titles and/or routing symbols of the addressees. If the list requires more than one page, type the individual addressee's title and routing symbol on a separate sheet of paper and attach it to the front of the memorandum.

2. When the TO line designates a multiple-addressed memorandum to all Associate Administrators, Directors of Field Services, Resource Center Managers, and Division Administrators, write or type the title and/or routing symbol of each addressee in the upper right-hand corner of his/her copy.

Addressees:
Name, Associate Administrator for Research
  and Development (HRD-1)
Name, Associate Administrator for Infrastructure (HIF-1)
Name, Associate Administrator for Civil Rights (HCR-1)

Figure 5.6

Memorandum

Begin the body of a memorandum three lines below the last line of the TO line. Begin each main paragraph flush with the left margin. Single space the body of the memorandum, and double space between paragraphs. Double space one-paragraph memorandums consisting of ten lines or less.

1. When a paragraph is subdivided, it must have at least two subdivisions. Each succeeding subdivision of a paragraph is indented.

2. Subparagraphs may be numbered and lettered for clarity. Place periods after letters or figures in an outline. Omit the periods when the letters or figures are enclosed in parentheses or are underscored. Each indention is four spaces, and typing should begin on the fifth space. A Microsoft Word Outline is acceptable. An outline that begins with numbers and alternates with alpha is preferable. Double space between each subparagraph. Example:

   1. 1. XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX

      1. a. XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX

         1. (1) XXXXXXXXXXXXXXXXXXXXXXXXXXX

            1. (a) XXXXXXXXXXXXXXXXXXXXXXXXXXX

               1. 1 XXXXXXXXXXXXXXXXXXXXXX

                  1. a XXXXXXXXXXXXXXXXXXXX

3. Bullets, dashes, etc., may also be used to separate talking points in briefings, items in a list, or ideas to add clarity.

4. Cited Paragraphs. When a paragraph is cited in correspondence, the reference numbers and letters are typed without periods or spaces.

5. Carry-over Paragraphs. A paragraph is split at the end of the page only if three or more lines of the paragraph can be carried over to the next page. There must be at least three lines of the paragraph at the bottom of a page before it can be split.

6. Succeeding Pages. Use plain copier paper. Type the page number seven lines from the top, flush with the right margin or, in Word using 1-inch margins, type the page number on the first line flush with the right margin. Continue the body of the memorandum two lines below the page number.

Figure 5.7

Memorandum

Use the word "attached" in a memorandum to indicate that material is being forwarded with the memorandum, and use the word "Attachment(s)" at the end of the memorandum.

1. Captioning or tabbing of attachments

   1. Attachments should be suitably captioned at the top or at the bottom of the first page.

   2. Tabs should be used if there are more than two attachments, or if they are not readily distinguishable.

2. Format if attachments are identified. When an attachment is identified in the text or SUBJECT line, type the word "Attachment" flush with the left margin, two lines below the signature, or seven lines below the body of the memorandum. If there is more than one attachment, type the number preceding the word and use the plural form of the word.

   Example:

   2 Attachments

3. Format if attachments are not identified. When the attachments are not identified in the text or subject line, type the notation (as set forth in paragraph 2 above) by adding a colon. List each attachment by title (using initial capital letters) on a separate line, and note any multiple copies. If more than one line is needed to identify an attachment, indent each succeeding line two spaces from the left margin.

   Example:

   2 Attachments
   List of Specific Revisions (2)
   Current Highway Programs
   Issues Book (2)

4. Format if some attachments are identified and some are not. Follow the procedures listed in paragraph 3 above and list all the attachments.

5. Separate cover. If document(s) or other materials are to be sent separately, type "Separate Cover" (using a colon) flush with the left margin, two lines below the signature, or seven lines below the body of the memorandum. List each item as set forth in paragraph 3 above.

   Example:

   Separate Cover:
   Updated Data Disk
   List of Specific Revisions (2)
   Current Highway Program Issues Book (2)

6. Format if attachment(s) and separate cover used. When an attachment is sent and additional material is to be sent separately, follow the directions as set forth in paragraphs 2 and 3 then type the separate cover notation two lines under the attachment notation.

   Example:

   2 Attachments

   Separate Cover:
   Updated Data Disk
   List of Specific Revisions (2)
   Instruction Manual (2)

Figure 5.8

Memorandum

A response block is provided when a decision is required. The possible responses and a date line are typed in capital letters flush with the left margin, beginning two lines below the signature block or attachment notation, if any. Follow each response with a typed line ending all lines with the same spacing for neatness. Examples:

2 Attachments

Approved: ________________________________

Disapproved: ______________________________

Date: _____________________________________

Will Attend: _______________________________

Will Not Attend: ____________________________

Date: _____________________________________

Do not type any notations parallel with the response block on the right-hand side of the page. Leave this space blank for any comments by the addressee.

Forward all copies of the memorandum with the original so that action taken by the addressee will be indicated on the official file and information copies.

Figure 5.9

Memorandum

Courtesy copy distribution notations are shown on the original of the memorandum only if the addressee has a need to know who received a copy of the memorandum.

"Courtesy copy" is indicated by typing "cc:" flush with the left margin and two lines below the final line, attachment notation, or separate cover notation followed by the titles and/or routing symbols of the recipients. Example:

cc: HSA-1 HCM-1 HPA-1

or

cc: HSA-1   HCM-1   HPA-1

Courtesy copy notations may be listed across the page to avoid starting a new page. Example:

cc: HSA-1, HCM-1, HPA-1

When attachments are not furnished to recipients of courtesy copies, indicate as follows:

cc:
HSA-1
HCM-1 w/o attachments
HPA-1

Figure 5.10

Memorandum

Distribution of file and information copies is indicated on all copies of the memorandum except for the field office copies. The writer's identification line is shown on all internal courtesy copies of the memorandum. Type the FHWA identification, routing symbol of originating office, writer's initials and last name of writer, typist's initials, writer's telephone number, and the date. The writer's identification line and distribution (a.k.a. legend block) should always include the location (i.e., filename) of the official paper file for that letter or memo and the location (i.e., fileserver name, path, and filename) of the electronic file for that letter or memo. This information is typed two lines below the signature block. Example:

FHWA:HFL-1:AEHamilton:ap:69494:10/2/03
Control No. 030927-001-2004 (show control number(s) as indicated on control sheet.)
Location:F:/HFl-1/pasys.doc
cc: (List all information copies, reading file, etc.)

If the memorandum is rewritten or retyped, this should be indicated directly below the first identification line. Example:

FHWA:HFL-1:AEHamilton:ap:69494:10/2/03
Rewritten:HFL-1:RFWeingroff:ss:64856:10/3/03

Draw a diagonal red line through the original official file copy and staple it to the back of the new concurrence grid copy.

Figure 5.11

{Date}

ACTION MEMORANDUM TO THE SECRETARY

ACTION REQUIRED

State the action or decision you are asking the Secretary to Transportation to take. (In effect, tell him/her why he/she is reading your memo.)

SUMMARY

Give a brief description of the subject matter of the memo. Please include a brief listing of the consultations you have made in arriving at your recommended action. This should include the clearances obtained within the DOT and the FHWA and, where applicable, the stakeholders who have been consulted.

BACKGROUND

Describe the background for the decision. Be sure to describe any objections you have received during the consultations you referenced in the summary section, and your responses to them.

RECOMMENDATION

Clearly state the action you are recommending the Secretary of Transportation to take. Close with the following signature/clearance block:

The Secretary

APPROVED: ___________________

DISAPPROVED: ___________________

COMMENTS: ___________________

DATE: ___________________

Figure 5.12

FORMAT FOR BRIEFINGS FOR THE SECRETARY

{Date}

MEMORANDUM TO THE SECRETARY

EVENT (or MEETING) OVERVIEW

Starting with the Secretary of Transportation's role, give a brief description of the meeting or event. Include the time and location for events and meetings outside the Secretary's office. Include a list of attendees for meetings. For public events, give an estimated total attendance and list public officials, key persons, and DOT officials who will be attending.

OBJECTIVE

For meetings, describe the goal and/or any decisions that should be reached. For events, mention the key messages that should be delivered and any individuals with whom you would like the Secretary to make contact at the event.

BACKGROUND

Give a general description of the event and any issues or controversies that are likely to arise. Additional material on issues, formal remarks and/or talking points should be provided as attachments.

ORDER OF EVENTS

For a public event, this would be the program or order of speakers with any actions by the Secretary highlighted in bold.

For meetings, this section should contain your recommendation (if applicable) for the organization of the meeting (i.e., whether the Secretary should open the meeting with welcoming remarks, whether he/she is presenting or receiving a gift, whether there is any particular order of speakers, etc.).

PRESS PLAN (where applicable)

Public Affairs Staff: {Name}

Where press will be present, describe the interaction the Secretary will have with them (i.e., whether he/she will be taking questions or not, whether it is particularly likely he/she will be asked questions while entering or leaving the event location). If there are individual reporters whom the Secretary should know are present, list them.

Give the name(s) of the OST Public Affairs staff who will be attending.

ATTACHMENTS

List any documents you are including along with the memorandum.

Figure 5.13

Memorandum

When a memorandum is addressed to the Deputy Administrator, use one of the following terms as the first word in the SUBJECT line: ACTION or INFORMATION.

Prepare one copy for the Executive Director and one copy for the HOAES, with attachments. indicate on the original: cc: HOA-3. Do not provide the Federal Highway Administrator with a copy unless the action office determines that he/she should be informed of the subject. If the Federal Highway Administrator is to receive a copy, indicate it on the original. Also indicate on the original when information copies are sent to other program offices if the addressee needs to know.

In ACTION memorandums addressed to the Deputy Administrator, provide a response block to indicate approval or disapproval or to indicate any other required action. Type the possible responses in capital letters flush with the left margin, beginning two lines below the signature block or attachment notation, if any. Follow each response with a typed line having all lines end with the same spacing for neatness.

Do not type any notations parallel with the response block on the right-hand side of the page. Leave this space blank for comments by the Deputy Administrator.

Forward the original memorandum and official file copy to the HOAES. Copies will be made from the original memorandum after action has been taken by the Deputy Administrator.

cc:

HOA-3
HCC-1

APPROVED: __________________________

DISAPPROVED: __________________________

DATE: __________________________

Figure 5.14

Memorandum

When a memorandum is addressed to the Executive Director, use one of the following terms as the first word in the SUBJECT line: ACTION or INFORMATION.

Do not prepare a copy for the Federal Highway Administrator or the Deputy Administrator unless the action official determines that the Federal Highway Administrator or Deputy Administrator should be informed of the subject. Provide a copy for the HOAES, with attachments. If the Federal Highway Administrator and/or Deputy Administrator is to receive a copy, indicate it on the original. Also indicate on the original when information copies are sent to other program offices if the addressee needs to know.

In ACTION memorandums addressed to the Executive Director, provide a response block to indicate approval or disapproval or responses in capital letters flush with the left margin, beginning two lines below the signature block or attachment notation, if any. Follow each response with a typed line having all lines end with the same spacing for neatness.

Do not type any notations parallel with the response block on the right-hand side of the page. Leave this space blank for comments by the Executive Director.

Forward the original memorandum and the official file copy to the HOAES. Copies will be made from the original memorandum after action has been taken by the Executive Director.

cc:

HOA-1
HOA-2
HCC-1

APPROVED: ____________________________

DISAPPROVED: ____________________________

DATE: ____________________________

Figure 5.15

Memorandum

Follow the instructions for preparing a memorandum addressed to the Federal Highway Administrator.

It is especially important to keep all the copies of the memorandum together in case the Executive Director or Deputy Administrator determines that it should be returned to the originating office for changes before it is forwarded to the Federal Highway Administrator.

Be sure you include copies for HOA-2 and HOA-3, in the package. This allows the THROUGH persons to pull a copy after the sign-off on the original.

2 Attachments

cc:
HOA-2
HOA-3

APPROVED: ___________________________

DISAPPROVED: ___________________________

DATE: ___________________________

Figure 5.16

Memorandum

For multiple-addressed memorandums, prepare only one original (unless specifically instructed otherwise by HOAES) to be reproduced after signature. Prepare one official copy.

Memorandums requiring a reply or other action should contain the word ACTION (capitalized and underlined) in the SUBJECT line. The requested due date should also be included in the SUBJECT line.

Memorandums requiring no action should contain the word INFORMATION (capitalized and underlined) in the SUBJECT line.

2 Attachments (if any)

cc: HOA-1
HOA-2
HOA-3

If a memorandum is being signed by an FHWA Official other than the Federal Highway Administrator, Deputy Administrator, or Executive Director, then HOA-1, HOA-2, HOA-3 and HOAES should receive a copy. Indicate on the original as shown above. Show HOAES on the distribution block.

Figure 5.17

Memorandum

When the TO line requires the notation "Addressees" type "Addressees:" at the left margin two lines below any attachment notation, or seven lines below the last line of the text. On the next line, begin listing the titles, names, and/or routing symbols of the addressees.

Memorandums requiring a reply or other action should contain the word "ACTION" (capitalized and underlined) in the SUBJECT line. The requested due date should also be included in the SUBJECT line. Memorandums requiring no action should contain the word "INFORMATION" (capitalized and underlined) in the SUBJECT line.

Attachment (if any)

Addressees:
Associate Administrator for Policy (HPL-1)
Associate Administrator for Safety (HSA-1)
Associate Administrator for Administration (HAD-1)
Associate Administrator for Operations (HOP-1)

Figure 5.18

Memorandum

Typing of the titles in the FROM line on memorandums prepared specifically for the signatures of two or more Administrators may be accomplished before obtaining their signatures. This will be done by showing the originating Administrator first with the other Administrators following.

Figure 5.19

Memorandum

Memorandums to the FHWA field offices are always addressed to the Division Administrator. However, a memorandum or a formal letter may be written directly to an individual for the purpose of extending a personal invitation, expressing appreciation, or thanks. Provide a copy of this type of correspondence to the Director of Field Services and the Division Administrator as appropriate.

When replying to an incoming memorandum, use the routing symbol shown on the incoming memorandum.

Memorandums requiring a reply or other action should contain the word "ACTION:" (capitalized and underlined) in the SUBJECT line. Memorandums requiring no action should contain the word "INFORMATION:" (capitalized and underlined) in the SUBJECT line.

Complete field distribution as shown on the copies for the Director of Field Services and Division Administrator. Attach a copy of the incoming correspondence to each field copy. Example:

cc: HOA-3-DFS-EA
     HDA-NY (2)

Two copies are sent directly to the Division Administrator with the field distribution information shown on only one copy. The unmarked copy will be sent to the State highway agency by the Division Administrator, if appropriate. The unmarked copy is to be a photocopy showing the FHWA letterhead.

Attachment (if any)