Clearance Requirements

1. What is the purpose of the clearance process? The purpose of the clearance process is to coordinate viewpoints and identify and resolve differences, procedural conflicts, or duplications before a directive is submitted for final concurrence and approval. Substantive guidance relative to the FHWA clearance process for proposed directives, regulations, and other issuances is provided in FHWA Order 1300.5, FHWA Coordination Guidelines.
   
   
2. Should directives get priority treatment? Yes. Since delays in clearance can delay action and create unnecessary workloads, the coordinating office provides a deadline for completing the review on the Record of Coordination and Approval, Form DOT F 1321.1. The amount of time provided for review varies with each directive, but normally allows a minimum of 7 calendar days and does not exceed 30 calendar days for field clearances and 15 calendar days for Washington Headquarters clearances.
   
   
3. What about internal clearances?
   1. Determining necessary clearances. Initiating offices should forward a proposed directive to FHWA offices that are:

      (1) responsible for standards, criteria, or procedures included or referenced in the proposed issuance,

      (2) affected by the proposed issuance, and those required to take action or modify activities as a result of the proposed issuance,

      (3) responsible for programs or activities that would be materially affected, or

      (4) administratively or legally responsible for making a review of the proposed issuance.

   2. Clearing directives

      (1) The Record of Coordination and Approval form is sometimes used to coordinate draft directives within FHWA. Concurrences in the final directive are shown on the official copy.

      (2) All proposed directives are reviewed by the DCP before signature or approval. To minimize the review time, directives in the draft stage should be e-mailed to the DCP for review.

4. What about external clearances?
   1. General

      (1) The external clearance process provides organizations such as OST, other DOT administrations, and other Federal agencies, the opportunity to comment, concur, or both, on an FHWA directive.

      (2) Normally, a directive is circulated within the FHWA to obtain a coordinated FHWA position before external coordination. Originating offices must not make commitments during clearance discussions with external organizations before the establishment of a coordinated FHWA position.

   2. Clearance with the Office of the Secretary. Proposed FHWA directives are cleared with OST before issuance when (1) required by departmental directives or regulations, (2) an issue of special interest to an OST office is involved, or (3) requested by OST.
      
      
   3. Clearance with DOT modal administrations. Directives issued jointly with or that involve another modal administration are cleared with that administration before issuance.

      (1) NHTSA and FTA. All directives requiring NHTSA or FTA clearance are submitted by the FHWA Executive Secretariat to the NHTSA/FTA Executive Secretariat, and returned via the FHWA Secretariat. As a general rule, every effort should be made to obtain NHTSA/FTA clearance of joint directives developed by FHWA staff, before submission to the Administrator for signature.

      (2) Other administrations. The appropriate clearance with other DOT administrations is based on the subject matter in the proposed issuance.

5. What about information collection requirements?
   1. Some directives may require FHWA to collect information from the public. The Paperwork Reduction Act of 1995 requires OMB approval when a Federal agency imposes information collection requirements (i.e., reporting and recordkeeping) on 10 or more non-Federal respondents, including State and local governments.
      
      
   2. Agencies cannot begin to collect information until OMB approves the collection, generally for 3 years, and assigns a collection number.
      
      
   3. The originating office should contact the Management Programs and Analysis Division (HAIM-10) early in the directive development process for advice and assistance in determining the need for OMB clearance, and preparing the required clearance documents. Sufficient lead time should be allowed for the OMB clearance process, which takes approximately 5 months.

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