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 management responsibilities of FHWA officials and others?
7. What is the process for issuing new and revised forms?
8. What about the stocking of forms?
9. Is there an FHWA forms catalog?

1. What is the purpose of this directive? This directive issues guidance on 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. This directive cancels FHWA Order 1322.3B, Forms Management, dated December 2, 2003.

3. What authorities govern this directive? This directive is consistent with the General Services Administration (GSA) regulation, 41 CFR Part 102-194, Standard and Optional Forms Management Program.

4. What are the forms management definitions?

   1. Department of Transportation (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 - forms created using the Agency's baseline or other computer software to replace or supplement existing paper forms. The date of creation or last revision is 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 primarily by FHWA staff 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 Washington Headquarters, Resource Center, Federal Lands Highway Division, or Division Office. Local forms are not subject to the requirements in this directive and are not a part of the FHWA forms inventory.

   7. Optional Forms (OF) - 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 10 or more non-Federal respondents in the public sector. The Paperwork Reduction Act of 1995, as amended, 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 (SF) - 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.

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

   1. In Washington Headquarters, the Chief, Information Technology Division (HAIM-40), Office of Information and Management Services, serves as the FHWA Forms Officer and is responsible for the overall FHWA Forms Management Program. HAIM-40 approves all new and revised FHWA forms; ensures the postings of new and revised forms on the FHWA StaffNet; provides agencywide advice, assistance, and troubleshooting on forms management; reviews Washington Headquarters and field office forms management programs; ensures the compatibility of the Agency's hardware, software and systems configurations, and testing; and addresses pertinent systems and infrastructure issues as well as a variety of other Agency forms matters.

   2. Also in Washington Headquarters, the Associate Administrators and the Chief Counsel are responsible for ensuring that the forms management programs in their respective organizations are carried out consistent with this directive.

   3. The Resource Center Director, Division Administrators, and the Federal Lands Highway Division Engineers are responsible for ensuring that the forms management programs in the Resource Center locations, Division Offices, and the Federal Lands Highway Division Offices respectively, are carried out consistent with this directive.

   4. 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-40.

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

   1. Washington Headquarters

      1. (1) The office creating the form should coordinate with HAIM-40 by submitting written documentation. For a new form, this documentation 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-40 with the changes marked on the current version of the form.

      2. (2) All electronic forms created by Washington Headquarters offices (including Standard, Optional, and DOT forms) must be submitted to HAIM-40 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-40 will review the newly created electronic forms for format as well as ease of use.

      3. (3) The originating office should coordinate with HAIM-40 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, as amended) is necessary.

      4. (4) HAIM-40 will do the following:

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

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

         2. (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,

         3. (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.

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

         5. (e) Maintain the FHWA forms inventory,

         6. (f) Coordinate with the Management Programs and Analysis Division (HAIM-10) on the necessity for OMB clearances in accordance with the Paperwork Reduction Act of 1995, and

         7. (g) Insure that new and revised electronic forms are posted on the FHWA StaffNet.

      5. (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-40. Following notification, HAIM-40 will delete the form from the FHWA forms inventory.

   2. Field Offices

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

      2. (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), it must be forwarded to HAIM-10 for review and subsequent clearance by OMB. This is a requirement of the Paperwork Reduction Act of 1995, as amended.

8. What about the stocking of forms?

   1. FHWA-wide and DOT Forms

      1. (1) FHWA (FHWA and PR) and DOT forms that are stocked in the DOT warehouse (M-32.3) can be ordered by submitting a written request via fax. The fax telephone number is 301-386-5394.

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

      3. (3) M-32.3 will notify HAIM-40 when forms stocked at the DOT warehouse reach the established minimum stock level. HAIM-40 will review the notification and forward it to the originating office. The originating office will complete and return the notification to HAIM-40 for appropriate action.

      4. (4) For forms stocked in locations other than the DOT warehouse, the originating offices will be responsible for notifying HAIM-40 when minimum stock levels are reached.

      5. (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. SF and OF Forms. Copies of SF and OF forms are generally available from the GSA supply centers. If specific forms are not available from local supply centers, HAIM-40 will provide information on how to obtain copies. Electronic forms that are not available on the StaffNet may be available on the web pages of the sponsoring government Agency. A good source for access to other Agencies' forms is Forms.gov. If there are other forms that cannot be found on the FHWA StaffNet page, or are only available in paper, users should contact HAIM-40.

9. Is there an FHWA Forms Catalog? Yes. The inventory of current FHWA, PR, 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-40 will conduct periodic reviews of the forms inventory to add new forms and to identify those forms that are obsolete and no longer needed. The Resource Center Director, Division Administrators, and the Federal Lands Highway Division Engineers should maintain similar inventories of the forms controlled by their respective offices.

Related Sites:

41 CFR Part 102-194
FHWA Forms Catalog