This Directive was canceled April 10, 2000.

Order
Subject
FHWA DIRECTIVES SYSTEM HANDBOOK
Classification Code	Date
H 1321.1A	December 5, 1980

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Par.

 

1. Purpose
2. Cancellations
3. Comments
4. Action

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1. PURPOSE. To transmit the revised Federal Highway Administration (FHWA) Directives System Handbook.
2. CANCELLATIONS. The following issuances are canceled:
   1. FHWA Order H 1321.1, FHWA Directives System, dated October 1,
   2. FHWA Notice N 1321.5, Control of External Directives, dated April 30, 1975.
   3. FHWA Notice N 1321.28, FHWA Policy on Minimization of Red Tape, dated October 20, 1977.
3. COMMENTS. The policies and procedures contained in the Handbook have been revised primarily to incorporate provisions implementing Executive Order 12044, Improving Government Regulations, dated March 23, 1978, and Department of Transportation (DOT) Order 2100.5, Policies and Procedures for Simplification, Analysis, and Review of Regulations, dated May 22, 1980, and to improve the usefulness of the Handbook as reference for personnel who are responsible for preparing directives and regulations. Major changes include the following:
   1. The chapters dealing with regulations have been greatly expanded to provide the necessary instructions to conform to the Department's regulatory policies and procedures. These chapters provide detailed information on the development and processing of regulations from the initial development and processing of regulations from the initial planning stage through the final regulation stage. The previous rules of inclusion and exclusion for codified material have been replaced by guidelines for determining material that (1) should be published in the Federal Register and codified, (2) should be published in the Federal Register but not codified, and (3) should not be published inthe Federal Register. The guidelines reflect the current practice of publishing certain nonregulatory material, either in the Federal Register alone or in the Federal Register and the Code of Federal Regulations, as appropriate. This guidance is designed to facilitate compliance with the publication requirements of the Administrative Procedure Act and relevant court decisions with a minimum of redtape. Further information on the implementation of these guidelines will be provided by the Office of the Chief Counsel in the near future.
   2. The chapter on directives writing standards and formats has been revised to reflect technical details relating to the preparation of directives such as copy requirements, availability of typing guides, paper size, etc.
   3. The chapter on directives development and processing has been expanded to provide step-by-step instructions. Information on assembling the final directive and developing a briefing memorandum has been added.
   4. A complete chapter has been devoted to clearance requirements.
   5. A chapter has been added to provide information regarding the semiannual regulations agenda and regulations review list, and to set forth instructions for submitting these items.
4. ACTION. Part I, Chapter 3, Authorities and Responsibilities, requires the designation of Directives Management Officer (DMO) by each Associate Administrator and Staff Office Director. This is an existing requirement. To update the listing of DMO's, it is requested that each Associate Administrator and Staff Office Director submit the name of the DMO to the Office of Management Systems (HMS-10) by January 30, 1981

John S. Hassell, Jr.
Federal Highway Administrator

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TABLE OF CONTENTS

INTRODUCTION

PART 1 - GENERAL

CHAPTER 1. MINIMIZATION OF REDTAPE AND SIMPLIFICATION OF DIRECTIVES AND REGULATIONS

1. National Policy on Minimization of Redtape
2. FHWA Policy on Minimization of Redtape
3. Criteria

CHAPTER 2. AUTHORIZED ISSUANCES

1. General
2. Issuances

CHAPTER 3. AUTHORITIES AND RESPONSIBILITIES

1. Approval Authorities
2. Responsibilities

CHAPTER 4. CLEARANCE REQUIREMENTS

1. General
2. Priority Review
3. Internal Clearances
4. External Clearances
5. Clearance of Information Collection Requests
6. Disposition of Comments

CHAPTER 5. EXTERNAL DIRECTIVES

1. General
2. Definitions
3. Procedures

PART II - REGULATIONS

CHAPTER 1. DEVELOPMENT AND PROCESSING

1. General
2. Content of FHWA Regulations
3. Guidelines to Determine What to Codify and/or Publish in the Federal Register
4. Categorization of Regulations
5. Rulemaking Actions
6. Preparation of Rulemaking Actions
7. Separations of Regulatory and Nonregulatory Material
8. Effective Date
9. Processing Regulations
10. Federal Register General Notices

Appendix A -Drafting Guide for Federal Register Documents

Appendix B -Required Preamble Statements

Appendix C -Format - ANPRM, NPRM or Final Regulation

Appendix D -Format - General Notice

Appendix E -Sample SF-83, Request for OMB Review

CHAPTER 2. WORK PLAN

1. Purpose
2. Preparation

Appendix - Format and Work Plan

CHAPTER 3. REGULATORY ANALYSIS AND EVALUATION

1. Purpose
2. Preparation
3. Criteria
4. Format
5. Availability

APPENDIX - Format for Regulatory Analysis

CHAPTER 4.SEMIANNUAL REGULATIONS AGENDA AND REGULATIONS REVIEW LIST

1. Regulations Agenda
2. Regulations Review List

Appendix A -Format for Agenda - Significant (Major/Other) Regulations

Appendix B - Format for Agenda - Nonsignificant Regulations

Appendix C - Format for Agenda - Routine and Frequent Nonsignificant Regulations

Appendix D - Format for Review List

PART III - DIRECTIVES

CHAPTER 1. DEVELOPMENT AND PROCESSING

1. General
2. Development and Processing
3. Regularity FHPM Directive Development and Processing
4. Printing and Distribution

Appendix A - Directives Analysis Guide

Appendix B - Instructions for Assembling a Final Directive Package

Appendix C - Format for Briefing Memorandum

Appendix D - Directive/Regulation Development Planning Phase

CHAPTER 2. WRITING STANDARDS AND FORMAT

1. Writing Standards
2. Paragraph Structure
3. Dates
4. Margins
5. Appendices and Attachments
6. Figures
7. Page Numbers
8. References
9. Editorial Considerations
10. Copy Requirements
11. Formats
12. Format for Directives Covers and Binders

APPENDIX - Writing Guidelines

CHAPTER 3. CLASSIFICATION

1. Subject Classification System
2. Classification of FHPM Directives

Appendix A - FHWA Directives Subject Classification System

Appendix B - FHPM Outline

PART IV - MANAGEMENT OF EXISTING DIRECTIVES/REGULATIONS

CHAPTER 1. REVIEW, REVISION, AND CANCELLATION

1. Reviewing Directives/Regulations
2. Changing and Revising Directives/Regulations
3. Canceling Directives and Regulations
4. Cancellation/Change Approval Authority
5. Processing Changes, Revisions and Cancellations

CHAPTER 2. INDEX AND CHECKLIST

1. Index
2. Checklist

INTRODUCTION

1. PURPOSE. To prescribe policies and procedures for implementation of the Federal Highway Administration (FHWA) Directives System. This Handbook covers such areas as responsibilities, authorities, authorized issuance, subject classification system, and clearance requirements relating to FHWA directives and regulations.
2. APPLICABILITY. The provisions of this Handbook are applicable to all Washington Headquarters elements which originate, supplement, or use FHWA directives/regulations.
3. POLICY. The Directives System is the primary means of issuing policy, instructions, procedures, and requirements.
   1. Materials Covered. All written communications and issuances shall be issued as directives and/or regulations when the material prescribes or established policy, organization, methods, procedures, requirements, guidelines, or delegations of authority or gives information essential to the administration or operation of the FHWA.
   2. Materials Excluded. The following are examples of written communications and issuances excluded from the Directives System:

      (1) Technical publications and informational publications issued primarily to and for the use of the public.

      (2) Interagency agreements and technical reports except that an interagency agreement may be incorporated into a directive/regulation by reference or as an attachment.
4. OBJECTIVES. The objectives of the Directives System are to:
   1. provide FHWA personnel, State highway officials, metropolitan planning organizations, Governor's Highway Safety Representatives and collaborating organizations with authoritative instructions that are needed, current, complete, easily understood, readily accessible, and consistent with the FHWA policy on the minimization or redtape,
   2. ensure adequate public participation in the development of policies and procedures,
   3. ensure that appropriate directives/regulations are published in the Federal Register and codified, as necessary, in the Code of Federal Regulations (CFR),
   4. clarify and improve organizational relationships by coordinating instructions, thereby eliminating conflicts and duplications,
   5. ensure that only essential guidance is issued and that there is no unnecessary delay in the drafting, coordination, approval, printing, and distribution of directives/regulations,
   6. provide guidelines and standards for referencing, writing, maintaining, and reproducing, and distributing directives/regulations, and
   7. ensure that all existing directives/regulations are current.
5. DISTRIBUTION OF DIRECTIVES. Directives are distributed in accordance with the policies and procedures set forth in FHWA Order 1300.1A, FHWA Distribution System Handbook.
6. USER AID. For convenience in using this Handbook, a list of the acronyms used throughout is contained in the Appendix to the Introduction.

ACRONYMS USED IN THE DIRECTIVES SYSTEM HANDBOOK

ANPRM - Advance Notice of Proposed Rulemaking

BMCS - Bureau of Motor Carrier Safety

CFR - Code of Federal Regulations

DCP - Directives Control Point (located in HMS-10)

DMO - Directives Management Officer

DOT - Department of Transportation

E.O. - Executive Order

FHWA - Federal Highway Administration

FHPM - Federal-Aid Highway Program Manual

GSA - General Services Administration

NHTSA - National Highway Traffic Safety Administration

NPRM - Notice of Proposed Ruelmaking

OMB - Office of Management and Budget

OPI - Office of Primary Interest

OST - Office of the Secretary of Transportation

TA - Technical Advisory

UMTA - Urban Mass Transportation Administration

U.S.C. - United States Code

TABLE OF CONTENTS

PART I - GENERAL

CHAPTER 1. MINIMIZATION OF RETAPE AND SIMPLIFICATION OF DIRECTIVES AND REGULATIONS

1. National Policy on Minimization of Redtape
2. FHWA Policy on Minimization of Redtape
3. Criteria

CHAPTER 2. AUTHORIZED ISSUANCES

1. General
2. Issuances

CHAPTER 3. AUTHORITIES AND RESPONSIBILITIES

1. Approval Authorities
2. Responsibilities

CHAPTER 4. CLEARANCE REQUIREMENTS

1. General
2. Priority Review
3. Internal Clearances
4. External Clearances
5. Clearance of Information Collection Requests
6. Disposition of Comments

CHAPTER 5. EXTERNAL DIRECTIVES

1. General
2. Definitions
3. Procedures

PART I - GENERAL

CHAPTER 1. MINIMIZATION OF REDTAPE AND SIMPLIFICATION OF DIRECTIVES AND REGULATIONS

1. NATIONAL POLICY ON MINIMIZATION OF REDTAPE. Section 101(e) of title 23, United States Code (U.S.C.), states: "It is the national policy that to the maximum extent possible the procedures to be utilized by the Secretary and all other affected heads for Federal departments, agencies, and instrumentalities for carrying out this title and any other provision of law relating to the Federal highway programs shall encourage the substantial minimization of paperwork and interagency decision procedures and the best use of available manpower and funds so as to prevent needless duplication and unnecessary delays at all levels of government."
2. FHWA POLICY ON MINIMIZATION OF REDTAPE. It is the policy of the FHWA that:
   1. requirements or restrictions that expand on the law should not be imposed,
   2. responsibility and authority should be delegated to the Division Administrator wherever possible or feasible,
   3. the Division Administrator should be given broad discretion to preform within a framework of clearly stated policy,
   4. detailed procedures should be minimized, and
   5. each review, reporting or other requirement imposing a time, paperwork, or staffing burden on State or field office staffs should be thoroughly studied to assess the effect if not implemented.
3. CRITERIA. Every effort should be made to implement the above policy through utilization of the following criteria when developing requirements:
   1. Minimize imposing additional requirements not contained or envisioned in the law.
   2. Undertake regulatory action only when the regulation's potential benefits to society outweigh its potential costs to society.
   3. Set forth policy and procedures clearly and succinctly.
   4. Curtail lengthy and excessively detailed instructions.
   5. Decentralize program responsibilities and related delegations of authority to ensure that review and approval authority is at the lowest qualified level.
   6. Eliminate redundancy within a directive/regulation or within the Directives System.
   7. Provide for maximum flexibility and discretion on the part of the FHWA regional and division offices and the States.
   8. Include only those requirements that are clearly necessary for effective implementation of the program and can reasonably be accomplished.
   9. Eliminate excessive reporting, submittal and program review requirements.
   10. Emphasize the skills possessed by or available to States andlocal Federal highway aid recipients.
   11. Assume that State and local officials, through close interaction with the public, are best able to judge local values and needs.
   12. Assure that supplemental technical advisory information is clearly advisory and not used as a regulatory substitute.

PART I - GENERAL

CHAPTER 2. AUTHORIZED ISSUANCES

1. GENERAL. This chapter lists the categories of directives and discusses when to use each and, as appropriate, organization. Figure 1 provides summary information regarding the types of directives and their audience, duration and purpose.
2. ISSUANCES
   1. Notices. Notices are temporary issuances, transmitting one-time or short-term instructions or information, that are expected to remain in effect for a predetermined period of time not to exceed one year. A predetermined expiration date appears on Notices except when the Directives Control Point (DCP) and the originating office mutually agree that it is not practicable. Each may receive internal distribution only, or may bedistributed to States, metropolitan planning organizations, and Governor's Highway Safety Representatives and to the public via publication in the Federal Register. Permanent, nonregulatroy material may be issued by a Notice, but only under extraordinary circumstances, and must be converted to a permanent issuance as soon as possible.
   2. Orders. Orders are internal directives that contain permanent or long-lasting policy, instructions and procedures. Each is identified by a subject classification code. When such policy, instructions and procedures are detailed, the Order will be issued as a Manual or Handbook. Manual/Handbooks are published in book form because of their detailed content, number of pages, and use. They are organized by volume or part, chapter, section, subsection, and paragraph, as appropriate. They contain tables of contents and may contain indexes.
   3. Technical Advisories. Technical Advisories (TA) contain permanent or long-] detailed techniques or technical material that is advisory in nature and is directed to State highway agencies, Governors's Highway Safety Representatives or local government jurisdictions, as well as FHWA organizations. The principal purpose of TA's is to provide an organized system for identifying and disseminating technical advisory material. Technical Advisories will not be used to impose requirements, issue policy, or modify existing directives other than other TA's. A Technical Advisory is identified by a subject classification code.
   4. Bulletins. Bulletins are informational issuances used for one-time announcements, such as telephone and room number changes and appointment of individuals, and for distribution of technical or research information reports or publications. They are not identified by a subject classification code, expire in 30 days, and they are destroyed after they have served their purpose. Material transmitted by a Bulletin is not canceled with the Bulletin unless so indicated in the Bulletin.
   5. Joint interagency Orders and Notices. Joint directives issue policies and procedures pertaining to programs that are administered jointly by FHWA and other administrations. Presently, the use of these directives is limited to the FHWA and the National Highway Traffic Safety Administration (NHTSA) in issuing joint policies, procedures, and information pertaining to the joint administration of the highway safety program. Guidelines for preparing, clearing, approving, and distribution these directives are set for the in Part III, Chapter 2, Figure 9.
   6. Federal-Aid Highway Program Manual

      (1) The Federal-Aid Highway Program Manual (FHPM) is the primary means of issuing material that establishes or modifies policies, requirements, standards, procedures, or guidelines relating to the Federal-aid programs. It consolidates for ease of reference the program directives used by State highway agencies, local government jurisdiction, metropolitan planning organizations, Governor's Highway Safety Representatives, and the FHWA.

      (2) The FHPM is basically organized along program or functional lines and closely parallels the organization of title 23, CFR.

   7. Regulations. Regulations are issued by the Administrator or delegate, as necessary, to implement and carry out the provisions of (a) title 23, U.S.C., relating to the administration of the Federal-aid highway program, the direct Federal construction program, and the State and community highway safety program; (b) title 49, U.S.C relating to motor carrier safety, noise emission standards, and bridge tolls; and (c) other applicable laws and programs under the jurisdiction of the Administrator. When appropriate, regulations are issued jointly with other DOT Administrations. Regulations are categorized as emergency, significant (major or other), or nonsignificant (see Part II). Regulations are published in the Federal Register and codified in the Code of Federal Regulations.
   8. General Notices. General notices are published in the Federal Register for public information in the public interest, i.e., to announce hearings, meetings, issuance of a directive, etc.

Please consult the paper version of this directive to view the illustration.