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FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 2

This schedule covers records maintained by the Office of Administration (HAD) and administrative records maintained in the Washington Headquarters offices of the Federal Highway Administration and reflects disposition authorities granted under Standard Form 115 job numbers N1-406-06-2, N1-406-09-3, and the General Records Schedules (GRS). This schedule is media neutral, i.e., the disposition instructions apply to the described records in all media (including electronic information), unless the schedule identifies a specific medium for a specific series. For administrative records not covered below, HAD and Washington Headquarters offices will follow the General Records Schedules (GRS).

ADMI 1 Accident Report Files (Personnel Injury Files). See GRS 1, item 31.

ADMI 2 RESERVED.

ADMI 3 Administrative Files. Contain correspondence; personnel material; training material; budget material; daily, weekly, monthly and bi-weekly reports; communications with other agencies; meeting materials; and other related documents pertaining to the daily operation of the office. (N1-406-09-3/1)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy 3 years after cutoff.

ADMI 4 Administrative Security Files. See GRS 18, item 1.

ADMI 5 RESERVED.

ADMI 6 RESERVED.

ADMI 7 Adverse Action Files and Performance-Based Actions. See GRS 1, item 30b.

ADMI 8 Advisory Committee Files. See ADMI 27.

ADMI 9 RESERVED.

ADMI 10 RESERVED.

ADMI 11 Awards Files. See GRS 1, item 12.

ADMI 12 RESERVED.

ADMI 13 RESERVED.

ADMI 14 RESERVED.

ADMI 15 Associate Administrator (AA) for Administration Files. Consist of general correspondence and emails with background notes, working papers, speeches and presentations, preliminary files related to the development of policy and guidance, and other related documentation assisting the AA to carry out his or her mission on administrative matters. (N1-406-09-3/2)

DISPOSITION: Temporary. Destroy/delete when 3 years old.

ADMI 16 RESERVED.

ADMI 17 Biographical Sketches. Contain, along with picture, summary of work experience, education, awards as well as title of present position occupied by key executives in FHWA. Sketches are used for public affairs purposes and conferences. Sketches are distributed to the Office of the Administrator, Associate Administrators, Staff Office Directors, Division Administrators and Federal Lands Highway Division Engineers.

  1. Record copy. (N1-406-09-3/3)

    DISPOSITION: PERMANENT. Place in inactive file upon separation from FHWA. Cut off inactive file every 10 years and transfer to NARA upon breaking.


  2. All other copies. (N1-406-09-3/4)

    DISPOSITION: Temporary. Destroy 1 year after separation.

ADMI 18 RESERVED.

ADMI 19 RESERVED.

ADMI 20 RESERVED.

ADMI 21 RESERVED.

ADMI 22 RESERVED.

ADMI 23 Building Service Files (Space and Maintenance General Correspondence Files). See GRS 11, item 1.

ADMI 24 RESERVED.

ADMI 25 Position Classification Appeal Case Files. See GRS 1, item 7d.

ADMI 26 RESERVED.

ADMI 27 Committee and Conference Files. Records created and maintained by temporary commissions, boards, councils and committees (including continuing entities governed by renewable charters such as agency advisory committees). See GRS 26.

ADMI 28 Communications Records. The principal records documenting communication functions include messenger service data; telecommunications service control and operational records; long distance telephone reports; postal records, consisting of post office forms and supporting papers; mail control records and supporting and related papers; agency copies of penalty mail reports; and records relating to private delivery service (such as United Parcel Service). See GRS 12.

ADMI 29 RESERVED.

ADMI 30 Conference Files. See ADMI 27.

ADMI 31 RESERVED.

ADMI 32 Contract Files (Routine Procurement Files). Consist of pre- and post-award contracts, grants, cooperative agreements, inter- and intra-agency agreements, requisitions (including funds obligation authority), purchase orders, purchase card transactions, lease (not including real property), and bond and surety records, including correspondence, copies of proposals, and related working papers pertaining to award, administration, receipt, inspection and payment (other than real property and tax exemption files). Files may contain sensitive corporate business information. Also, these records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (GRS 1.1, items 010 and 011)

  1. Official record held in the office of record. (GRS 1.1, item 010)

    DISPOSITION: Temporary. Destroy 6 years after final payment or cancellation.

  2. All other copies. (GRS 1.1, item 011)

    DISPOSITION: Temporary. Destroy when business use ceases.


  3. Data Submitted to the Federal Procurement Data System (FPDS) (GRS 1.1, item 010)

    DISPOSITION: Temporary. Destroy 6 years after final payment or cancellation.

ADMI 33 RESERVED.

ADMI 34 Coordination Files. Logs, registers, and other records used to control or document the status of correspondence, reports, or other records that are authorized for destruction by the GRS or a NARA-approved SF 115. (GRS 23, item 8)

DISPOSITION: Temporary. Destroy or delete when 2 years old, or 2 years after the date of the latest entry, whichever is applicable.

ADMI 35 Credit Card Files (Purchase Card Files). See ADMI 32.

ADMI 36 RESERVED.

ADMI 37 Database System Program Files (Information Technology Operations and Management Records).. See GRS 3.1.

ADMI 38 Delegation of Authority Files. Include documentation and supporting papers pertaining to delegations of authority from the Secretary of Transportation to the Federal Highway Administrator, and subsequent delegations from the Administrator to headquarters and field officials of the Agency. These files also include records of internal delegations of authority that are made within FHWA headquarters and field organizations. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-3/5)

DISPOSITION: Temporary. Place in inactive file when delegation is invalid. Cut off inactive file at end of fiscal year. Destroy 6 years after cutoff.

ADMI 39 Directives Files. Consist of official file copies, directives, background materials, and other papers related to the development of FHWA directives, including changes that are authorized issuances and used as a primary means of issuing policy instructions and procedures. Record copies are maintained in the Office of Financial and Management Programs (HCFB-30).

  1. Notices. Official Agency issuances containing internal policy, instructions, or procedures that generally has a short-term duration; typically, not extending beyond a 1 year period.

    1. (1) Record copy. (N1-406-09-3/6)

      DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

    2. (2) All other copies. (N1-406-09-3/7)

      DISPOSITION: Temporary. Destroy in agency when no longer needed.

  2. Orders. Official Agency issuances containing internal policy, instructions, or procedures expected to remain in effect for more than 1 year.

    1. (1) Record copy. (N1-406-09-3/8)

      DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

    2. (2) All other copies. (N1-406-09-3/9)

      DISPOSITION: Temporary. Destroy in agency when no longer needed.

  3. Joint Interagency Orders and Notices. Official issuances of policy, instructions, or procedures that are administered jointly by FHWA and other DOT Operating Administrations (OAs).

    1. (1) Record copy. (N1-406-09-3/10)

      DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

    2. (2) All other copies. (N1-406-09-3/11)

      DISPOSITION: Temporary. Destroy in agency when no longer needed.

  4. Federal-Aid Policy Guide (FAPG), formerly the Federal-Aid Highway Program Manual (FHPM). The FAPG, terminated as a category of directive by issuance of FHWA Order 1321.1C, contained the Federal-Aid Highway Program (FAHP) regulations published in Titles 23 and 49 of the Code of Federal Regulations (CFR), as well as the non-regulatory supplements and non-CFR related guidance material. It was designed to provide guidance for the FAHP when the FHPM was cancelled in 1991. The FAPG and its supplements contained the current policies, regulations, and non-regulatory procedural guidance related to the FAHP and FHW's Federal Lands Highway Program. Most of these are maintained in HCFB-30.

    1. (1) Record copy. (N1-406-09-3/12)

      DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

    2. (2) All other copies. (N1-406-09-3/13)

      DISPOSITION: Temporary. Destroy in agency when no longer needed.

  5. Background and supporting documents. (N1-406-09-3/14)

    DISPOSITION: Temporary. Destroy 5 years after directive is canceled, superseded, or obsolete.

ADMI 40 Directory Files. Contain changes made periodically to U.S. Government Manuals, the Congressional Directory, the Federal Register and others. Files also contain requests for the changes by related organizations and agencies affiliated with FHWA and DOT. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-3/15)

DISPOSITION: Temporary. Destroy when 3 years old.

ADMI 41 RESERVED.

ADMI 42 Document Security Files. See GRS 3.2, items 010 and 020, and GRS 18.

ADMI 43 RESERVED.

ADMI 44 Employee Master Record Files. Consist of Form FHWA-21, Authorization for Paid Overtime and Holiday Work and for Compensatory Overtime, used for the appropriate officials to approve overtime and other documentation used to develop predetermined control totals to assure accuracy of salary payments and deductions. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-3/16)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy 3 years after cutoff.

ADMI 45 Employment Correspondence Files. Contain copies of letters inquiring about employment, requesting literature of special interest on training and career opportunities in FHWA and other information pertaining to FHWA personnel training and employee development programs. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-3/17)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy 2 years after cutoff.

ADMI 46 RESERVED.

ADMI 47 RESERVED.

ADMI 48 RESERVED.

ADMI 49 RESERVED.

ADMI 50 RESERVED.

ADMI 51 Foreign Country Files. Consist of correspondence, financial data, reimbursable agreements, and other papers related to FHWA involvement in work done with foreign countries. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-3/18)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.

ADMI 52 RESERVED.

ADMI 53 Forms Files.

  1. One record copy of each form created by an agency with related instructions and documentation showing inception, scope, and purpose of the form. (GRS 16, item 3a)

    DISPOSITION: Temporary. Destroy 5 years after related form is discontinued, superseded, or canceled.

  2. Background materials, requisitions, specifications, processing data, and control records. (GRS 16, item 3b)

    DISPOSITION: Temporary. Destroy when related form is discontinued, superseded, or canceled.

ADMI 54 RESERVED.

ADMI 55 Freedom of Information Act (FOIA Files). See GRS 14, items 11 through 15.

ADMI 56 RESERVED.

ADMI 57 RESERVED.

ADMI 58 RESERVED.

ADMI 59 RESERVED.

ADMI 60 Grant Case Files (Non-Acquisition). Contain fellowship grants, scholarship grants, grant agreements, modifications and supporting correspondence. (N1-406-09-3/21)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy when 5 years old.

ADMI 61 Health Benefits Files. See ADMI 80.

ADMI 62 RESERVED.

ADMI 63 Identification Credential Files. See GRS 11, item 4.

ADMI 64 Incentive Awards Files. See ADMI 11.

ADMI 65 Individual Employee Pay Records. See GRS 2, item 1.

ADMI 66 Retirement Files. See GRS 2, item 28.

ADMI 67 RESERVED.

ADMI 68 Mail Management Files. GRS 12, item 6.

ADMI 69 Management Project Study Files. Includes files and supporting papers pertaining to studies, surveys, and special management reviews for which the office has exercised lead or primary responsibility. Files may include copies of final reports, correspondence, notes, drafts, background materials, questionnaires, statistical data, process flow charts, and other papers related to the planning and completion of these efforts. (N1-406-09-3/22)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 10 years after cutoff.

ADMI 70 Merit Promotion Case Files. See GRS 1, item 32.

ADMI 71 RESERVED.

ADMI 72 RESERVED.

ADMI 73 Personnel Operations Statistical Reports. See GRS 1, item 16.

ADMI 74 RESERVED.

ADMI 75 Monthly Transaction Reports. Files contain purchase orders, invoices, backup material, disposition reports and related data listed on non-expendable property accounts and transactions. (N1-406-09-3/23)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC when 2 years old. Destroy 6 years and 3 months after final payment.

ADMI 76 Motion Pictures, Sound and Video recordings, and related records. Motion Picture films, sound recordings, video recordings, whether analog or digital, and related records created or produced or acquired from outside sources by the FHWA. For each type of audiovisual record designated as permanent, the specific record components required by 36 CFR 1235, Subpart C are listed below.

Motion Pictures. FHWA-sponsored films for distribution (informational films): The original negative or color original plus separate optical sound track; an intermediate master positive or duplicative negative plus optical sound track; and a sound projection print. Films made for internal use (program films): The original negative or color original plus sound, and a projection print. Acquired films: Two projection prints. Unedited footage, out takes and trims, showing unrehearsed historical events or historically significant phenomena: The original negative or color original and a work print, properly arranged, labeled, and described.

Sound Recordings.

  1. Analog sound recordings. The original tape, tape master, or earliest generation of the recording and a subsequent copy for reference if one exists.

  2. Digital sound recordings. The original digital recording (regardless of form, such as digital computer audio file at highest resolution, preferably as uncompressed audio, or CD quality audio files) and two CD copies. If computer digital audio files, transfer on a portable Hard Drive is acceptable.

Video Recordings.

  1. Analog video records. Videotape: The original or earliest generation videotape and a reference copy. Industrial-quality or professional videotapes shall be used as originals (e.g., BetaCam). Reference copies can be on VHS.

  2. Digital video recordings. The original digital recording (regardless of form, in the highest resolution as digital source files or as recorded on a professional digital tape in an edited master and as unedited material), and a DVD copy for reference use.

Official record set. The original master sound or video recording, or the original film negative and one print of motion picture film that document FHWA's mission, program, and activities. Includes FHWA-sponsored productions intended for public distribution; FHWA-sponsored training productions that explain Agency functions and activities; recordings of public meetings and speeches, FHWA-sponsored conferences, guest speakers, testimony of Agency officials before Congress and at other hearings, and interviews with FHWA officials and staff; and other productions created to disseminate information to the public regarding FHWA operations and programs. (N1-406-09-3/24)

DISPOSITION: PERMANENT. Cut off at end of calendar year. Transfer copies to NARA two years after cutoff.

ADMI 77 Motor Vehicle Operation Files. See GRS 10, item 7.

ADMI 78 National Cooperative Highway Research Program. Consists of correspondence, funding procedures, State agreements, copies of vouchers, reimbursable agreements, and financial data related to the program of research for highway systems which involve R&D studies. (N1-406-09-3/25)

DISPOSITION: Temporary. Place in inactive file after completion of program. Cut off inactive file at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 5 years after cutoff.

ADMI 79 Notification of Personnel Action Files. See GRS 1, item 10.

ADMI 80 Official Personnel Files. See GRS 1, item 1.

ADMI 81 RESERVED.

ADMI 82 RESERVED.

ADMI 83 RESERVED.

ADMI 84 RESERVED.

ADMI 85 RESERVED.

ADMI 87 Personnel Correspondence Files. See GRS 1, item 3.

ADMI 88 Human Resources Accountability Review Files. Contain general correspondence, background material, classification actions, external agency evaluation reports, and internal evaluation studies of management programs. Files also contain questionnaires that have been sent to FHWA employees on their working conditions in the office, desk audits, and position description reviews for Washington Headquarters, Resource Centers, and Divisions. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-3/26)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy in agency when 5 years old.

ADMI 89 Personnel Payroll Files. See GRS 2.

ADMI 90 Personnel Security Clearance Files. See GRS 18, items 22 and 23.

ADMI 91 Security Clearance Administrative Subject Files. See GRS 18, item 21.

ADMI 92 Travel and Transportation Files. See GRS 9.

ADMI 93 Still Photography Files. For each type of photographic print, negative, and slide designated as permanent, the specific record components required by 36 CFR 1235, Subpart C are listed below.

Black-and-white photographs. An original negative and a captioned print, or the caption information can be maintained in another file such as a database if the photo file number is clearly correlated. If the original negative is nitrate, unstable acetate, or glass-based, a duplicate negative on a polyester base is also needed.

Color photography. The original color negative, color transparency, or color slide; a captioned print of the original color negative and/or captioning information as described above or an original color transparency of slide; and a duplicate negative, slide, or transparency if one exists.

Slide sets. The original and a reference set and related audio recordings and script.

Filmstrips. The original and a reference set.

Digital photographs. Born digital or scanned images that meet the current NARA transfer standard, "Expanding Acceptable Transfer Requirements: Transfer Instructions for Permanent Electronic Records - Digital Photographic Records, issued November 12, 2003.

Photographs depicting significant events, personalities, and other subjects relating to the mission and activities of FHWA. Included are photographs of dedication ceremonies and official events, visits from officials and significant citizens, and major program activities.

  1. Photographs (black and white photographs, color photographs, slide sets, and filmstrips). (N1-406-09-3/27)

    DISPOSITION: PERMANENT. Cut off annually. Transfer to NARA in 5-year blocks when the oldest records in the block are 10 years old.

  2. Digital photographs (born digital or scanned). (N1-406-09-3/28)

    DISPOSITION: PERMANENT. Cut off images after 2 years and transfer digital images in the 2-year block immediately to NARA.

  3. Official portraits of the FHWA Administrator and other senior FHWA officials.

    1. (1) Photographs (black and white photographs, color photographs). (N1-406-09-3/29)

      DISPOSITION: PERMANENT. Cut off at the end of each Administrator's tenure and transfer to NARA 3 years after cutoff.

    2. (2) Digital photographs (born digital or scanned). (N1-406-09-3/30)

      DISPOSITION: PERMANENT. Cut off images after 2 years and transfer digital images in the 2-year block immediately to NARA.

  4. Duplicate photographs and negatives. (N1-406-09-3/31)

    DISPOSITION: Temporary. Destroy when no longer needed.

ADMI 94 RESERVED.

ADMI 95 Position Classification Files. See GRS 1, item 7.

ADMI 96 RESERVED.

ADMI 97 RESERVED.

ADMI 98 RESERVED.

ADMI 99 Printing Requisition Files. Contain DOT Form 1700.8, Duplication Request, DOT Form 1700.3, Printing, Binding, Distribution and Editorial Service Requests, Standard Form -1, and GPO Form 2511 Print Order, related memoranda, and documents used in requesting printing and distribution services for FHWA. DOT Form 1700.8 is used in the initial request for ordering all printing and duplicating services and provides information as to the quantity, kind, color and size of the material to be printed. DOT Form 1700.3 is submitted to OST to provide printing and distribution instructions, the requisition number, delivery instructions, appropriation number for billing purposes and is approved by the Publication and Visual Communications Team. SF-1 Form is submitted to GPO to request printing/binding/distribution services. GPO Form 2511 is submitted to contract printers to request printing/binding/distribution services thru GPO. (N1-406-09-3/32)

DISPOSITION: Temporary. Destroy 4 years after completion of job.

ADMI 100 Privacy Act Files. See GRS 14, items 21 through 26.

ADMI 101 Privacy Act Reports Files. See GRS 14, item 25.

ADMI 102 RESERVED.

ADMI 103 Program Improvement Files. Include records and supporting papers pertaining to Agencywide program initiatives and special project assignments for which the office has exercised lead or primary responsibility. Examples include documents implementing Presidential or OMB directed program initiatives, as well as correspondence, papers, and background information concerning strategic planning, organizational assessments, quality and productivity improvement, and budget development.(N1-406-09-3/33)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 10 years after cutoff.

ADMI 104 RESERVED.

ADMI 105 RESERVED.

ADMI 106 RESERVED.

ADMI 107 RESERVED.

ADMI 108 RESERVED.

ADMI 109 RESERVED.

ADMI 110 Property and Services Program Files. Consist of general correspondence, records of coordination and approval, material on nationwide FHWA programs for space and communications management, real property and personal property management and coordination of plans, acquisition, construction, utilization and maintenance of all FHWA property which include motor vehicles, facilities, property, equipment and records against theft, damage and civil disturbance, accountability for official identification cards and credentials and the establishment of orderly evacuation in the event of disaster or attack. (N1-406-09-3/34)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy 3 years after cutoff.

ADMI 111 Property and Supplies Files. Consist of correspondence, copies of invoices and requisitions, personal property loss, inventories and identification, damaged property, standards for purchasing, equipment control studies and other related information pertaining to property and supplies that have been coordinated with the Office of Acquisition Management. (N1-406-09-3/35)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy 3 years after cutoff.

ADMI 112 RESERVED.

ADMI 113 Purchase Order Files. See ADMI 32.

ADMI 114 Real Property Files. See GRS 3, item 1.

ADMI 115 Reference Files. Files contain copies of information used as ready reference on subjects of current or ongoing interest. These files may contain copies of publications, directives, pictures, correspondence and the like. Official file copies are not to be placed in these files nor are the files to be considered pending files where official file copies are kept on a tentative basis. (N1-406-09-3/36)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

ADMI 116 RESERVED.

ADMI 117 Relocation Files. See GRS 1.1, item 010.

ADMI 118 RESERVED.

ADMI 119 RESERVED.

ADMI 120 RESERVED.

ADMI 121 RESERVED.

ADMI 122 Requisitions Files (Inventory). Requisitions for supplies and equipment for current inventory. See GRS 3, item 8.

ADMI 123 Retirement Files. GRS 2, item 28.

ADMI 124 Safety Program Files. Consist of correspondence, official file copies, reference materials, working papers, and other related documents pertaining to the accident prevention program and FHWA Occupational Health and Safety Program. (N1-406-09-3/37)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy 3 years after cutoff.

ADMI 125 Security Clearance Status Files. See GRS 18, item 23.

ADMI 126 Service Contract and Procurement Files. See ADMI 32.

ADMI 127 Sound Recording Files. See ADMI 76.

ADMI 128 Space and Maintenance General Correspondence Files. See GRS 11, item 1.

ADMI 129 RESERVED.

ADMI 130 RESERVED.

ADMI 131 RESERVED.

ADMI 132 RESERVED.

ADMI 133 RESERVED.

ADMI 134 RESERVED.

ADMI 135 RESERVED.

ADMI 136 RESERVED.

ADMI 137 RESERVED.

ADMI 138 RESERVED.

ADMI 139 Time and Attendance Files. See GRS 2, items 6 through 9.

ADMI 140 RESERVED.

ADMI 141 Training Files. See GRS 1, item 29.

ADMI 142 RESERVED.

ADMI 143 Transportation Files. See GRS 1.1, item 010.

ADMI 144 Travel Order Files. See GRS 1.1, items 010 and 011.

ADMI 145 RESERVED.

ADMI 146 Vacancy Announcement Files. See GRS 1, item 32.

ADMI 147 Vehicle Files. See GRS 10.

ADMI 148 Verification in Hours Status Files. Files contain documents received from management verifying hours of FHWA employees and used for audit purposes. (N1-406-09-3/38)

DISPOSITION: Temporary. Destroy when 6 months old.

ADMI 149 Video Recording Files. See ADMI 76.

ADMI 150 Vital Records/Emergency Planning Records. See GRS 18, items 26 through 29.

ADMI 151 W-2 Forms. See GRS 2, item 13b.

ADMI 152 RESERVED.

ADMI 153 Information Collection Budget Files. See GRS 16, item 12.

ADMI 154 Fiscal Management Information System (FMIS). See CFO 33.

ADMI 155 Contracting Officer's Technical Representative (COTR) Records. The primary duty of the COTR is to monitor the contractor's performance to ensure that all of the technical requirements under the contract are met by the delivery date or within the period of performance, and at the price or within the estimated cost stipulated in the contract. The COTR will establish and maintain an organized contract administration file to records all contractor and Government actions pertaining to the contract. The COTR's file is of particular importance, for the documentation of interaction with the contractor may be used in the event of litigation. In addition, an organized file facilitates an easy transition from one COTR to another if reassignment becomes necessary. The file(s) should contain but are not limited to the following types of documentation:

These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-06-2/1)

DISPOSITION: Temporary. Cut off files at the close of the contract. Destroy 6 years and 3 months after cutoff.

ADMI 156 Century Date Conversion (Y2K) Project Records. Records related to the initiative undertaken to ensure that automated systems would continue to function reliably when the date changed to the year 2000. (N1-406-06-2/2)

DISPOSITION: Temporary. Close files at the end of year 2000. Destroy 7 years after files are closed.

ADMI 157 Office of Inspector General Hotline Complaint/Investigative Files. Case files developed during investigations of known or alleged fraud and abuse and irregularities or violations of laws and regulations, excluding those that result in national media attention, Congressional investigation, or substantive changes in Agency policy or procedure. Cases relate to Agency personnel and programs and operations administered or financed by the Agency, including contractors and others having a relationship with the Agency. This includes investigative files relating to employee and hotline complaints, and other miscellaneous complaint files. Files contain the original complaint, resolution, any correspondence relating to the complaint and investigative reports and related documents, such as correspondence, notes, attachments, and working papers. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-06-2/3)

  1. Files containing information or allegations which are of an investigative nature but do not relate to a specific investigation. They include anonymous or vague allegations not warranting an investigation, matters referred to FHWA offices for handling, and support files providing general information that may prove useful to Inspector general investigations. (N1-406-06-2/3A)

    DISPOSITION: Temporary. Place in inactive files when case is closed. Cut off inactive files at the end of the fiscal year. Destroy 8 years after cutoff.

  2. All other investigative case files, except those that are unusually significant for documenting major violations of criminal law or ethical standards by Agency officials or others. (N1-406-06-2/3B)

    DISPOSITION: Temporary. Place in inactive files when case is closed. Cut off inactive files at the end of the fiscal year. Destroy 10 years after cutoff.

[NOTE: Significant cases, i.e., those that result in national media attention, Congressional investigations and/or substantive changes in Agency policy or procedures are not covered by this item. The disposition of significant investigative files will be determined by NARA. Such files must be scheduled by submitting an SF 115.]

ADMI 158 Audit Case Files.

  1. Case files maintained by the Office of Financial and Management Programs of internal and external audits of Agency programs, operations, procedures, and audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-09-3/47)

    DISPOSITION: Temporary. Cut off case file at the end of the fiscal year in which the case is closed. Destroy 8 years after cutoff.

  2. Case files maintained by other FHWA offices of internal and external audits of Agency programs, operations, procedures, audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-09-3/48)

    DISPOSITION: Temporary. Cut off case file at the end of the fiscal year in which the case is closed. Destroy 6 years after cutoff.

ADMI 159 Posters. Posters created by FHWA for distribution Government wide or to the public. (N1-406-09-3/39)

DISPOSITION: PERMANENT. Transfer 2 copies to NARA upon publication.

ADMI 160 FHWA Publications. Records accumulated in editing, printing, and publishing FHWA publications, guides, handbooks, booklets, brochures, and newsletters. These publications may be in hard copy or electronic format.

  1. Record copy of each publication. (N1-406-09-3/40)

    DISPOSITION: PERMANENT. Transfer 2 copies of each publication to NARA immediately upon publication. Consult with FHWA Records Officer for specific transfer procedures. Electronic publications will be transferred in a format and on a medium acceptable to NARA at the time of the transfer.

  2. Photographs, negatives, and prints used in publications, EXCLUDING original photography under ADMI 93. (N1-406-09-3/41)

    DISPOSITION: Temporary. Destroy when no longer needed for business needs.

ADMI 161 Freelance Editorial Vendors Files. Documents relating to freelance editorial vendor services, including indexing.

  1. Invoices, log of current budgetary balance, mailing lists, and related records. (N1-406-09-3/42)

    DISPOSITION: Temporary. Cut off annually. Destroy when 3 years old.

  2. Resumes, examples of work, and evaluations. (N1-406-09-3/43)

    DISPOSITION: Temporary. Destroy when superseded or obsolete.

ADMI 162 Technical Advisories (TAs). TAs contain detailed techniques or technical materials, advisory in nature, and are directed toward State Highway Agencies, Governor's Highway Safety Representatives, or local government jurisdictions, as well as FHWA offices. TAs are guidance and not used to impose requirements or issue policy. TAs were recently terminated as a category of Agency directive but will likely continue to be issued as guidance. Legacy TAs are currently maintained by HCFB-30, but TAs will be owned by the FAHP program offices in FHWA Headquarters which provide national leadership, set policy, and provide guidance in specific program areas. Although these documents are listed in the web based Federal-Aid Highway Program Policy and Guidance Center (PGC), the program offices are the content owners of the documents and are responsible for maintaining the originals.

  1. Record copy. (N1-406-09-3/44)

    DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

  2. All other copies. (N1-406-09-3/45)

    DISPOSITION: Temporary. Destroy in agency when no longer needed.

     

  3. Background and supporting documents. (N1-406-09-3/46)

    DISPOSITION: Temporary. Destroy 5 years after directive is canceled, superseded, or obsolete.
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