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This schedule covers administrative records maintained in Washington Headquarters offices of the Federal Highway Administration and reflects disposition authorities granted under NC1-406-80-11, N1-406-89-3, N1-406-90-3, N1-406-04-1, N1-406-06-2, and the General Records Schedules (GRS).
ADMI 1 Accident Report Files. Consist of DOT Forms 3902.1, Accident Reports and DOT Forms 3902.2, Injury Reports, which are used to report all job related injuries regardless of severity by the employee's supervisor, within 5 working days following the date of the accident. (GRS 1/31 and NC1-406-80-11)
DISPOSITION: Cut off on termination of compensation or when deadline for filing claim has passed. Destroy 5 years after cutoff.
ADMI 2 Accounts Receivable Files. Contain correspondence and a collection of documents that pertain to cash transfers to the Treasury Department by FHWA. (NC1-406-80-11/2)
DISPOSITION: Transfer to the FRC when 3 years old. Destroy 6 years and 3 months after period covered by account.
ADMI 3 Administrative Files. Contain correspondence, personnel material, training material, budget material, travel, daily, weekly, monthly and bi-weekly reports, communications with other agencies, meetings, official file copies and other related documents pertaining to the daily operation of the office. (NC1-406-80-11/3)
DISPOSITION: Cut off at end of fiscal year. Destroy 3 years after cutoff.
ADMI 4 Administrative Security Files. Contain correspondence, notes, burn material, memorandums from OST, budget and accounting reports, case evaluation guides, Office of Personnel Management personnel security appraisals, waiver requests and investigations of foreign national employees for security clearance. (GRS 18/1 and NC1-406-80-11/4)
DISPOSITION: Cut off at end of fiscal year. Destroy when 2 years old.
ADMI 5 Advance of Funds Files. Consist of correspondence, reports, background material, working documents, requests from States and related documents regarding the advance of right-of-way revolving funds disbursed to States in accordance with 23 U.S.C. 108(C). (Records must be retained for the maximum time the State has before it loses the funds.) (NC1-406-80-11/5)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.
ADMI 6 Advance of Funds Availability Files. Contain copies of Form FHWA-1011 (Advance of Fund Availability) which is used as a record of transfer of funds from other Government agencies to FHWA and which will become available for apportionment within a current fiscal year. (NC1-406-80-11/6)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 10 years after cutoff.
ADMI 7 Adverse Action Files. Contain working papers on adverse action correspondence, background material, copies of court decisions and appeals. (GRS 1/30B and NC1-406-80-11/7)
DISPOSITION: Place in inactive file when case is closed. Cut off inactive file at end of fiscal year. Destroy 4 years after cutoff.
ADMI 8 Advisory Committee Files. Contain annual reviews and reports. (GRS 16/8B1 and NC1-406-80-11/8)
DISPOSITION: Use ADMI 27.
ADMI 9 Agreement and Report Files. Contain working papers, actual billings for which an OF 1114 is used, and collection of funds, including supporting documents, SF 1080, Voucher for Transfer Between Appropriation and/or Funds and SF 1081, Voucher and Schedules for Withdrawals and Credit Agreements which are used with other Government agencies for services to be performed by FHWA. (GRS 6/1A)
DISPOSITION: Destroy 6 years 3 months after period covered by the account.
ADMI 10 Allotment Files. Consist of Forms FHWA-370, Advance of Funds Available for Obligations, used to document all allotments (obligational availability) of funds and correspondence used for supporting documents. The form shows the initial administrative allotments, initial allotment of construction funds by fiscal year quarters, increase of an allotment of construction funds by periods other than quarterly or annually and an increase of an allotment of funds in one amount for the fiscal year. (GRS 7/3)
DISPOSITION: Destroy 6 years and 3 months after the close of the fiscal year involved.
ADMI 11 Annual Awards Files. Consist of still photographs and official entry forms for the Secretary's Annual Awards conducted by FHWA to recognize programs which contribute effectively to the highway program. State, county, local agencies, civil organizations, business and industry which have completed highway projects or highway projects within the categories of rural environment, urban environment, structural features, rest areas or information centers may be nominated for entry. Also included are color still photographs and entry forms of past winners from 1968 to the present. (GRS 21/1)
DISPOSITION: Retain pending reappraisal.
ADMI 12 Apportionment and Reapportionment Schedules. Consist of completed SFs 132 Apportionment and Reapportionment Schedules, and supporting documents used specifically to show funds apportioned and reappropriated for FHWA. (GRS 5/4)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 13 Appropriation Files. Contain records of laws on funds that are appropriated by Congress. There are 4 types of funds, all of which concern appropriations and fund balances, disbursements and collections with particular attention to the current status of the Highway Trust Fund and the effect of withdrawal in relation to interest accruals. (NC1-406-80-11/13)
DISPOSITION: Transfer to FRC when 5 years old. Destroy when 10 years old.
ADMI 14 Assessment of Potential for Secretarial Positions. Contain incoming correspondence and evaluations used in merit promotion selections for secretaries. (NC1-406-80-11/14)
DISPOSITION: Destroy when 6 months old.
ADMI 15 Associate Administrator Files. Contain correspondence from OST and all offices within Office of Administration with outgoing mail from each individual office related to a particular subject. Files contain material on the subject of hiring, limitations, the Spanish Speaking Program, briefing material from OST, biweekly highlight reports, congressional inquiries, etc. The Associate Administrator for Administration serves as the principal advisor to the Administrator on all management and administrative matters as they relate to FHWA missions, programs and objectives, and in this capacity, participates fully in FHWA policy determinations and program formulation, and provides executive direction over the activities of the organization. (NC1-406-80-11/15)
DISPOSITION: Retain pending reappraisal.
ADMI 16 Code Card Files. Contain code cards for expenditures and obligations covering all payments for FHWA. This information is used in the production of computer printouts. (NC1-406-80-11/16)
DISPOSITION: Cut off at end of fiscal year. Destroy 1 year after cutoff.
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, Regional Administrators and Federal Lands Highway Division Engineers. (NC1-406-80-11/17)
Record Copy. (NC1-406-80-11/17A)
DISPOSITION: PERMANENT. Place in inactive file upon separation from FHWA. Cut off inactive file every 10 years and transfer to NARA upon breaking.
All other copies. (NC1-406-80-11-17B)
DISPOSITION: Destroy 1 year after separation.
ADMI 18 Bond Files. Consist of reports, payroll vouchers and related papers pertaining to the purchase of U.S. Savings Bonds by FHWA employees. (GRS 2/14 and NC1-406-80-11/18)
DISPOSITION: Destroy when 3 years old.
ADMI 19 Budget Executive Files. Consist of correspondence related to any request for budget action that concerns Washington Headquarters or field division offices. (NC1-406-80-11/19)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 5 years after the close of the fiscal year covered by the budget.
ADMI 20 Budget Files. Contain actual invoices for communications, machine repairs, equipment rentals, reimbursable services with OST and Coast Guard, bills for rent of offices in the field, annual and quarterly reports, working capital funds and all related materials pertaining to the budget. (NC1-406-80-11/20)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 5 years after the close of the FY covered by the budget.
ADMI 21 Budget Request Files. Contain three types of requests. These are Departmental, Congressional and OMB. Departmental are requests for funds from FHWA for the operation of their programs. Congressional and OMB are requests for special information on budgetary matters pertaining to the budget that FHWA has submitted to Congress. Files also contain requests for budget estimates, budget allowances, and appeals from operating officials within the FHWA pertaining to their budget requests. (NC1-406-80-11/21)
DISPOSITION: Cutoff at end of fiscal year. Destroy in agency 5 years after close of the FY covered by the budget.
ADMI 22 Bridge Commission Files. Consist of correspondence, annual reports and other documents pertaining to the appointment of Bridge Commissioners recommended by local Congressmen and selected with the FHWA Administrator's concurrence to regulate the operation of toll bridges in a State. (NC1-406-80-11/22)
DISPOSITION: Transfer to the FRC when the State highway department accepts bridge for maintenance. Destroy 10 years later.
ADMI 23 Building Service Files. Contain general correspondence, records of coordination and approval, information on the Federal building fund, construction, maintenance, repairs and renovations, designs, plans, etc. (GRS 11/1 and NC1-406-80-11/23)
DISPOSITION: Cutoff at end of fiscal year. Destroy 2 years after cutoff.
ADMI 24 Certifying Officer Record Files. Contain SFs 1166, Voucher and Schedule of Payment, that support payments to lenders, SF-1081, Vouchers and Schedule of Withdrawals and Credits, which also include any supporting documents and the transfer of funds between government agencies without checks and form GSA-789, Statement Voucher and Schedule of Withdrawals and Credits, authorizing payments to General Services for supplies, motor pool payments, etc. (GRS 6/1A and NC1-406-80-11/24)
DISPOSITION: Destroy 6 years, 3 months after period covered by account.
ADMI 25 Classification Appeal Case Files. Case files relating to classification appeals and containing correspondence, backup material, approvals and appeals of employees. (GRS 1/7D and NC1-406-80-11/25)
DISPOSITION: Destroy 3 years after case is closed.
ADMI 26 Combined Statement Files. Contain computer printouts from the Treasury Department showing how FHWA segments are printed. (NC1-406-80-11/26)
DISPOSITION: Destroy when 1 year old.
ADMI 27 Committee and Conference Files. (GRS 16/8 and NC1-406-80-11/27)
Records relating to establishment, organization, membership, and policy of internal committees. (GRS 16/8A)
DISPOSITION: Destroy 2 years after termination of committee.
Records created by committees. (GRS 16/8B)
(1) Agenda, minutes, final reports, and related records documenting the accomplishments of official boards and committees, excluding those maintained by the sponsor or Secretariat.
(GRS 16/18B1)
DISPOSITION: Destroy when 3 years old or when no longer needed for reference, whichever is sooner.
[NOTE: Records maintained by the sponsor or Secretariat are potentially permanent and must be scheduled by submission of an SF-115 to NARA.]
(2) All other committee records. (GRS 16/8B2)
DISPOSITION: Destroy when 3 years old or when no longer needed for reference, whichever is sooner.
[NOTE: Records created to comply with the provisions of the Government in the Sunshine Act, including transcriptions and minutes of closed meetings, electronic recordings for which verbatim transcripts do not exist, and annual reports to Congress describing the agency's compliance with the Act, are permanent records and must be scheduled by submission of an SF 115 to NARA.]
Records maintained by agency committee management officers for committees established under the Federal Advisory Committee Act, including copies of charters, membership lists, agendas, policy statements, and material required to be available for public information. (GRS 16/8C)
DISPOSITION: Destroy 5 years after termination of the committee.
ADMI 28 Communications Management Information Services (CMIS) Report Files. Contain GSA Forms 2936 and 2936 A, B, C, and D. These forms are sent to OST for final approval if a new terminal is installed. Files also contain approvals for use of FTS lines, receiver computer printouts on telecopier messages, computer printouts from OST used as an inventory to make comparisons with GSA for changes and updating equipment. A quarterly report is received from FHWA on individual terminal usage of FTS. Intercity Voice Network data transmission which includes number of originated calls, number of originated minutes, manufacturer and model number. (NC1-406-80-11/28)
DISPOSITION: Destroy quarterly.
ADMI 29 Computer Printout Files. Contain statistical data, financial statements on all money obligated for FHWA contracts and the end of the fiscal year computer runs of FHWA dollar obligations used for working documents. (NC1-406-80-11/29)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 2 years after cutoff. Destroy 7 years after cutoff.
ADMI 30 Conference Files. Consist of general correspondence, agenda items, notices, briefing material, reports and other record documents pertaining to the accomplishments of Secretarial and Regional Conferences attended by FHWA Executives. (GRS 16/8)
DISPOSITION: Use ADMI 27.
ADMI 31 Confidential Files. Contain confidential statements and financial interest form DOT 3700.1. This information is required by Executive Order 11222 and the regulations of the Office of Personnel Management (OPM) and may not be disclosed except as OPM or the agency head may determine for good cause shown. The information to be listed does not require a showing of the amount of financial interest, indebtedness, or the value of real property. (NC1-406-80-11/31)
DISPOSITION: Destroy 2 years after separation of the employee or 2 years after employee leaves the position for which the statement is required. EXCEPTION: Documents required in an ongoing investigation need to be retained until no longer needed in the investigation.
ADMI 32 Contract Commodity Files (Routine Procurement Files). Contract, requisition, purchase order, lease, and bond and surety records, including correspondence and related papers pertaining to award, administration, receipt, inspection and payment. (GRS 3/3A, B, C, and D)
Procurement or purchase organization copy, and related papers. (GRS 3/3A)
(1) Transactions dated on or after July 3, 1995 (the effective date of the Federal Acquisition Regulations (FAR) rule defining "simplified acquisition threshold"). (GRS 3/3A1)
(a) Transactions that exceed the simplified acquisition threshold and all construction contracts exceeding $2,000. (GRS 3/3A1A)
DISPOSITION: Destroy 6 years and 3 months after final payment.
(b) Transactions at or below the simplified acquisition threshold and all construction contracts at or below $2,000. (GRS 3/3A1B)
DISPOSITION: Destroy 3 years after final payment.
(2) Transactions dated earlier than July 3, 1995. (GRS 3/3A2)
(a) Transactions that utilize other than small purchase procedures and all construction contracts exceeding $2,000. (GRS 3/3A2A)
DISPOSITION: Destroy 6 years and 3 months after final payment.
(b) Transactions that utilize small purchase procedures and all construction contracts under $2,000. (GRS 3/3A2B)
DISPOSITION: Destroy 3 years after final payment.
[NOTE: Given the complexities of the rules on procurement, agency personnel should involve procurement officials when deciding which of the subitems to apply to a particular series of records.]
Obligation copy. (GRS 3/3B)
DISPOSITION: Destroy when funds are obligated.
Other copies of records described above used by component elements of a procurement office for administrative purposes. (GRS 3/3C)
DISPOSITION: Destroy upon termination or completion.
Data submitted to the Federal Procurement Data System (FPDS). Electronic data file maintained by fiscal year, containing unclassified records of all procurements, other than small purchases, and consisting of information required under 48 CFR 4.601 for transfer to the FPDS. (GRS 3/3D)
DISPOSITION: Destroy or delete when 5 years old.
[NOTE: For unique procurement files not covered here, contact the FHWA records officer for guidance.]
ADMI 33 Contract Files. Contain formal and informal contracts, correspondence, memorandums, notes, agreements, copies of negotiated contracts with modifications and copies of each of the paid contractors invoices and history of payments. (GRS 3/3)
DISPOSITION: See disposition for ADMI 32
ADMI 34 Coordination Files. Contain coordination and approval for proposed revisions of the Federal-Aid Highway Program Manual, legislation, proposed revisions to the FHWA manuals and directives, draft material, coordination responses, background material, and other data pertaining to DOT F-1321.1, Record of Coordination and Approval. This form shall be used for all directive clearances. Directives requiring formal coordination with Secretarial offices or operating administrations will be cleared with the heads of such organizations. (NC1-406-80-11/34)
DISPOSITION: Destroy 1 year after final issuance of documents involved.
ADMI 35 Credit Card Files. Consist of memorandums, U.S. Government cards (gasoline credit cards, GSA store cards and telephone credit cards) and forms FHWA-149 non-expendable property inventory and FHWA-164 Property Receipt and/or receipt for property returned. (NC1-406-80-11/35)
DISPOSITION: Destroy credentials 3 months after return to issuing office.
ADMI 36 Current Year (Budget Report) Files. Files contain current year forms SF-133, Report on Budget Execution. This report is required by OMB Circular A-34. Also included are working papers and supporting documents. (GRS 5/3A and NC1-406-80-11/36)
DISPOSITION: Cut off at end of fiscal year. Destroy when 5 years old.
ADMI 37 Data System Program Files. Consist of incoming mail, notes, requests for ADP services (GSA Form 2068), budget material (Spring Review OMB A-11) requisitions, contract agreements, research material, feasibility studies from the regions, reports, ADP committees and conference material, computer billing information from Government agencies, seminars, meetings and conferences with other agencies, general information from companies and corporations and other data pertaining to the development and evaluation of FHWA data processing policy and programs, integrating field and headquarters for overall requirements with the Departments and Federal Government policies and systems, providing consulting services, conducting special application studies and providing technical direction and assistance. (NC1-406-80-11/37)
DISPOSITION: Cut off at end of fiscal year. Destroy when 3 years old.
ADMI 38 Delegation of Authority Files. Contain material pertaining to official approval of delegating authority to sign travel vouchers, contracts, general delegations, direct Federal delegations, administrative and program responsibilities, incoming requests for changes in the travel authority and requests for dates when delegations of authority are given. (NC1-406-80-11/38)
DISPOSITION: 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 material 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. (NC1-406-80-11/39)
The following are the types of directives issued in FHWA:
Bulletins. Temporary informational issuances used for one-time announcements such as telephone number and room number changes, appointments of individuals, announcement of bond drives, etc. (NC1-406-80-11/39A)
DISPOSITION: Destroy when 6 months old unless specified for longer retention.
Federal-Aid Highway Program Manual (FHPM). Contain all directives material that establishes or modifies these policies, requirements, procedures or guidelines impacting on State highway agencies, Metropolitan Planning Organizations, local government jurisdictions or Governors Highway Safety Representatives. (NC1-406-80-11/39B)
(1) Record Copy. (NC1-406-80-11/39B1)
DISPOSITION: PERMANENT. Place in inactive file when superseded. Transfer to NARA 10 years after superseded.
(2) All other copies. (NC1-406-80-11/39B2)
DISPOSITION: Destroy in agency when no longer needed.
Notices. Issuances transmitting one-time or short-term instructions or information relating to agency policies and procedures. (N1-406-04-1/1)
(1) Record copy (in Management Programs & Analysis Division). (N1-406-04-1/1A)
DISPOSITION: PERMANENT. Place in inactive file upon supersession. Break inactive file every 10 years and transfer to National Archives upon break.
(2) All other copies. (N1-406-04-1/1B)
DISPOSITION: Destroy in agency when no longer needed.
(3) E-mail and word processing documents. (N1-406-04-1/2)
(a) Copies that have no further administrative value after the recordkeeping copy is made. Includes copies maintained by individuals in personal files, personal electronic mail directories, or other personal directories on hard disk or network drives, and copies on shared network drives that are used only to produce the recordkeeping copy. (N1-406-04-1/2A)
DISPOSITION: Delete within 180 days after the recordkeeping copy has been produced.
(b) Copies used for dissemination, revision, or updating that are maintained in addition to the recordkeeping copy. (N1-406-04-1/2B)
DISPOSITION: Delete when dissemination, revision, or updating is complete.
Orders. Internal directives limited in volume and containing permanent or long-lasting policy, instructions and procedures.
(1) Record copy. (NC1-406-80-11/39D1)
DISPOSITION: PERMANENT. Place in inactive file upon supersession. Break inactive file every 10 years and transfer to NARA upon break.
(2) All other copies. (NC1-406-80-11/39D2)
DISPOSITION: Destroy in agency when no longer needed.
Technical Advisories (TA). Contain permanent or long lasting detailed techniques or technical material which is advisory in nature and is directed to State highway agencies, Governors Highway Safety Representatives or local government jurisdictions, as well as FHWA organizations.
(1) Record copy. (NC1-406-80-11/39E1)
DISPOSITION: PERMANENT. Place in inactive file upon supersession. Break inactive file every 10 years and transfer to NARA upon break.
(2) All other copies. (NC1-406-80-11/39E2)
DISPOSITION: Destroy in agency when no longer needed.
Background and Supporting Documents. (NC1-406-80-11/39F)
DISPOSITION: Destroy 10 years after directive is canceled, superseded, or obsolete.
ADMI 40 Directory Files. Contain changes made periodically to Government Manuals, the Congressional Directory, the Federal Register and others. Files also contain requests for the changes by related organizations such as NARUC, ARTBA and other agencies affiliated with FHWA and DOT. (NC1-406-80-11/40)
DISPOSITION: Destroy when 3 years old.
ADMI 41 Disbursement Files. Contain SF 1221, Statement of Transactions According to Appropriations, Funds and Receipt Accounts (Foreign Service Accounts). These forms contain the records of the moneys paid to foreign countries. (GRS 6/1A)
Accounts and supporting documents pertaining to American Indians.
DISPOSITION: Disposition not authorized
All other records.
DISPOSITION: Destroy 6 years and 3 months after period covered by account.
ADMI 42 Document Security. Contain classified material, semi-annual and annual reports prepared for OST, log sheets for safe check records, correspondence and other material pertaining to the plans, development and administration of documents and information security programs in FHWA, including receipt, control, accountability, distribution, filing, reproduction, and disposal of classified documents, information and material. (GRS 18/21 and NC1-406-80-11/42)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 43 Dollar Deposit Liability Files. Contain Department of Commerce (DOC) Forms BE-138 and 139, Dollars Deposit Liabilities to "Foreigners". This is an annual report to the DOC concerning money on hand from foreign countries. (NC1-406-80-11/43)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 44 Employee Master Record Files. Consist of computer printout Forms FHWA 1048, Master Employee Record, which are used by the Payroll Section for posting changes on a biweekly basis, FHWA-21, Authorization for Paid Overtime and Holiday Work and for Compensatory Overtime, used for the appropriate officials to approve overtime and Form FHWA-337, Payroll Master Card Control, used at the close of each pay period by the Payroll Section to develop predetermined control totals to assure accuracy of salary payments and deductions. (NC1-406-80-11/44)
DISPOSITION: 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. (NC1-406-80-11/45)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 46 Execution Report Files. Contain computer printouts of employee levels, working papers, cost estimates, appropriations and related financial statements pertaining to general operating expenses of each organizational element of the agency. (NC1-406-80-11/46)
DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.
ADMI 47 Federal Outlays by Geographic Location Files. Contain Office of Economic Opportunity Form OEO-177, Federal Outlay Data Transmittal Sheet. This report is prepared by Regions 8, 9, 10 and 15 from special computer printouts on an annual basis. (NC1-406-80-11/47)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 48 Financial Management Files. Consist of trip report findings on anything dealing with financial management in the States, working papers on special reports and financial reviews of FHWA region and division offices on how their financial management programs are working. (NC1-406-80-11/48)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 49 Financial Statements. Contain correspondence, program changes for FHWA payroll and withholding instructions from State and local governments for FHWA employee earnings. (NC1-406-80-11/49)
DISPOSITION: Destroy when records are updated.
ADMI 50 Fiscal Services Program Files. Consist of correspondence, associated accounting and budget work papers, allotment control sheets, budget information, fiscal plans, obligations and outlays and other materials pertaining to the office efforts to develop and coordinate the budget execution plan for the FHWA to assure the most effective and economical expenditure of appropriated funds. (NC1-406-80-11/50)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 5 years after close of the fiscal year covered by the budget.
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. (NC1-406-80-11/51)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.
ADMI 52 Forest Highway Funds Expended Files. Contains correspondence and a computer printout summary of forest highway funds expended on an annual basis. Machine-readable data is in OST. This is a reference file. (NC1-406-80-11/52)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.
ADMI 53 Forms Files.
One record copy of each form created by FHWA and a copy of FHWA Form 1124, Requirement for Form or Report, which is submitted by the originating office when a new form is proposed or an existing form requires revision. (GRS 16/3A and Nc1-406-80-11/53)
DISPOSITION: Destroy 5 years after related form is discontinued, superseded, or canceled.
Background materials, requisitions, specifications, processing data, and control records. (GRS 16/3B)
DISPOSITION: Destroy when related form is discontinued, superseded, or canceled.
ADMI 54 FHWA Organization Manual Files. Contains memorandums of official approvals of organizational structure changes. A record must be kept of how an office is organized or reorganized. Also included are working files of headquarters, regions, divisions, foreign programs or missions, correspondence, background material, organizational charts and other related papers. (NC1-406-80-11/54)
Order containing organizational chart and changes. (record copy). (NC1-406-80-11/54A)
DISPOSITION: PERMANENT. Cut off files at end of fiscal year. Transfer to National Archives when 20 years old.
All other material. (NC1-406-80-11/54B)
DISPOSITION: Destroy in agency when no longer needed.
ADMI 55.1 Freedom of Information Act Request Files: Files created in response to requests for information under the Freedom of Information Act consisting of the initial request, a copy of the reply thereto, and all related supporting files which may include official file copy of requested record or copy thereof. (GRS 14/11)
Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein). (GRS 14/11A)
(1) Granting access to all the requested records. (GRS 14/11A1)
DISPOSITION: Destroy 2 years after date of reply.
(2) Responding to request for nonexistent records; to requestors who provide inadequate descriptions; and to those who fail to pay agency reproduction fee. (GRS 14/11A2)
(a) Request not appealed. (GRS 14/11A2A)
DISPOSITION: Destroy 2 years after date of reply
(b) Request appealed. (GRS 14/11A2B)
DISPOSITION: Destroy as authorized under ADMI 55.2.
(3) Denying access to all or part of the records requested. (GRS 14/11A3)
(a) Request not appealed. (GRS 14/11A3A)
DISPOSITION: Destroy 6 years after date of reply.
(b) Request appealed. (GRS 14/11A3B)
DISPOSITION: Destroy as authorized under ADMI 55.2.
Official copy of requested records. (GRS 14/11B)
DISPOSITION: Dispose of in accordance with approved agency disposition instruction for the related records, or with the related FOIA request, whichever is later.
ADMI 55.2 FOIA Appeals Files. Files created in responding to administrative appeals under the FOIA for release of information denied by the agency, consisting of the appellant's letter, a copy of the reply thereto, and related supporting documents, which may include the official file copy of records under appeal or copy thereof. (GRS 14/12)
Correspondence and supporting documents (EXCLUDING the file copy of the records under appeal if filed herein). (GRS 14/12A)
DISPOSITION: Destroy 6 years after final determination by agency or 3 years after final adjudication by courts, or 6 years after the time at which a requester could file suit, whichever is later.
Official file copy of records under appeal. (GRS 14/12B)
DISPOSITION: Dispose of in accordance with approved agency disposition instructions for the related record, or with the related FOIA request, whichever is later.
ADMI 55.3 FOIA Control Files. Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature, and purpose of request and name and address of requester. (GRS 14/13)
Registers or listings. (GRS 14/13A)
DISPOSITION: Destroy 6 years after date of last entry.
Other files.
DISPOSITION: Destroy 6 years after final action by the agency or after final adjudication by courts, whichever is later.
ADMI 55.4 FOIA Reports Files. Recurring reports and one‑time information requirements relating to the agency implementation of the Freedom of Information Act, EXCLUDING annual reports to the Congress at the departmental or agency level. (GRS 14/14)
DISPOSITION: Destroy when 2 years old or sooner if no longer needed for administrative use.
ADMI 56 RESERVED
ADMI 57 RESERVED
ADMI 58 General Ledger Files. Contains general ledgers summarizing the financial status and financial transactions of FHWA, current status of funds available for expenditures and show debit and credit entries of the agency. The financial data posted on the ledger are Standard Forms 1014 and 1014A. (GRS 7/2 and NC1-406-80-11/58)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC when 3 years old. Destroy 10 years after the close of the fiscal year involved.
ADMI 59 General Services Administration Self-Service Stores. Contain GSA Form 3146 Self-Service Store Shopping List/Sales Slip and GSA 3146-A, Continuation Sheet which consists of quantity, unit price, description and total price. (NC1-406-80-11/59)
DISPOSITION: Cutoff at end of fiscal year. Destroy 2 years after cutoff.
ADMI 60 Grant Case Files. Contain fellowship grants, scholarship grants, grant agreements, modifications and supporting correspondence. (NC1-406-80-11/60)
DISPOSITION: Cut off at end of fiscal year. Destroy when 5 years old.
ADMI 61 Health Benefits Reports Files. Contain Health Benefits Registration Forms, SF 2809, used by each employee to enroll in the Federal Employees Health Benefit Program and Notice of Change in Health Benefits Enrollment, SF 2810, used by the employee to cancel, change, or take any action required that may effect their health plan that is reported to the health benefits carrier. (GRS 1/1)
DISPOSITION: Use ADMI 80, Official Personnel Folder.
ADMI 62 Highway Status Files. Contain general correspondence, telegraphic messages, tabulated data on the status of highway funds and systems reported from States and regions of actual funds used each fiscal year. (NC1-406-80-11/62)
DISPOSITION: Cut off at end of fiscal year. Destroy when 5 years old.
ADMI 63 Identification Card/Credential Application Files. Application requests for identification cards for all FHWA employees, temporary overseas employees, regional administrators and contractors. The card is issued for official purposes and for identification only. Files also contain correspondence received for requests for the replacement of identification cards. (GRS 11/4A and NC1-406-80-11/63)
DISPOSITION: Destroy credentials 3 months after return to issuing office.
ADMI 64 Incentive Awards Files. Secretary's, Administrator's Special Honor Award, Quality-Increases, and Special Achievement Cash Awards for entire agency. Files also contain suggestions adopted and rejected by Headquarters. (NC1-406-80-11/64)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 2 years after cutoff.
ADMI 65 Individual Earning Record Files. Computer printout Form FHWA 305 which provides individual records of gross to net wages listed by pay periods for the entire calendar year. (GRS 2/1A)
DISPOSITION: Use ADMI 80, Official Personnel Folder.
ADMI 66 Individual Retirement Record Files. Individual Retirement Records maintained for each employee subject to the Civil Service Retirement Act and FERS. The forms show the amount of current year and cumulative totals from salaries of employees as shown on the cumulative payroll disbursement registers and the amount of retirement deductions in prior years from salaries of employees currently on the rolls. (NC1-406-80-11/66)
DISPOSITION: Transfer to the Office of Personnel and Management no later than 5 days after the date of the final paycheck or upon transfer to another Government agency. (FPM 831-1, Supp. 22-3)
ADMI 67 International Transactions Files. International transactions of the Federal Government, SF 13. The quarterly report which is sent to the Commerce Department reflects FHWA's financial transactions with foreign countries. (NC1-406-80-11/67)
DISPOSITION: Cut off at end of the fiscal year. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.
ADMI 68 Mail Management. Consist of semi-annual mail counts which are a compilation of all mailings made, both in headquarters and the field, annually and used as the basis for computing the annual payment to the U.S. Postal Service. (GRS 12/6D)
DISPOSITION: Destroy in agency when 1 year old.
ADMI 69 Management Project Study Files. Consist of correspondence, notes, draft background material, questionnaires, statistical data, summaries and other papers related to the office efforts to plan and conduct management studies and surveys of FHWA staffing requirements, procedures and systems to improve the economy, efficiency and effectiveness of the management and operation of the Administration. (NC1-406-80-11/69).
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 10 years after cutoff. Destroy 15 years after cutoff.
ADMI 70 Merit Promotion Activity Files. Contain active and inactive applications of persons applying in the FHWA programs. Included in the files are rate and ranking sheets, copies of inactive applications of those who have declined, have not been selected or have not been considered. Also is information on the highway engineer training program in the field offices and other material pertaining to the programs and data accumulated by special examining units. (GRS 1/15 and NC1-406-80-11/70)
DISPOSITION: Cut off at end of fiscal year. Destroy when 2 years old or earlier if an Office of Personnel Management evaluation of the records is made, providing the requirements of the Federal Personnel Manual, Chapter 333, Section A-4, are observed.
ADMI 71 Merit Promotion Files (Senior Executive Service). Contain reference material, official file copies, correspondence to Office of Personnel Management, SFs 171, Personnel Qualification Ranking Schedule (Merit Promotion Plan); also, information on the approval or disapproval of promotions. (GRS 1/15 and NC1-406-80-11/71)
DISPOSITION: Cut off at end of fiscal year. Destroy when 2 years old or earlier if an Office of Personnel Management evaluation of the records is made, providing the requirements of the Federal Personnel Manual, Chapter 333, Section A-4, are observed.
ADMI 72 Monthly Narrative Reports. Contain monthly narrative reports from each division and regional office concerning the progressive stages of individual highway projects, including information on obligations, program requirements and funding problems and other pertinent data needed in the planning, execution, administration and control of the Administration's programs financed from the Highway Trust Fund and from other funds. (NC1-406-80-11/72)
DISPOSITION: Cut off at end of fiscal year. Destroy when 2 years old.
ADMI 73 Monthly Report of Federal Civilian Employment Files. Consist of SFs 113A, Monthly Report of Federal Civilian Employment, which are used to submit the report related to employment at the end of each month to the Office of Personnel Management. (GRS 1/16 and NC1-406-80-11/73)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 2 years after cutoff.
ADMI 74 Monthly Report Files.
SF 132, Apportionment and Reapportionment Schedule. (GRS 5/4)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 2 years after cutoff.
SF 133, Report on Budget Execution. This report is required by OMB Circular No. A-34. Also included are working papers and supporting documents. (GRS 5/3B)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 3 years after cutoff.
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. (NC1-406-80-11/75)
DISPOSITION: 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 Picture Files. Consist of original motion picture film, workprints, trims and outs, and miscellaneous footage pertaining to FHWA motion pictures that are circulated throughout the agency to serve as training aids, provide information concerning agency activities, procedures, policy and related areas in transportation. (NC1-406-80-11/76.)
DISPOSITION: Disposition Not Approved. (Earlier disposition authority for Still and Motion Picture Files was provided by NC-406-75-1.)
ADMI 77 Motor Vehicle Operation Files. Contain FHWA Form-133, Application for Operators Identification Cards, which are used to provide essential information as a prerequisite to issuance of a drivers permit authorizing employees to operate Government owned vehicles. (GRS 10/7 and Nc1-406-80-11/77)
DISPOSITION: Destroy 3 years after separation of employees or 3 years after rescission of authorization to operate Government-owned vehicle, whichever is sooner.
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 authorized for funding under section 307(c) of 23 U.S.C. (NC1-406-80-11/78)
DISPOSITION: 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. Consist of SF 50, Notification of Personnel Actions and other related forms used to document and report all personnel actions which affect an employee's status, tenure, position or compensation exclusive of those in the personnel folder. (GRS 1/14)
Chronological file copies, including fact sheets, maintained in personnel offices. (GRS 1/14A)
DISPOSITION: Destroy when 2 years old.
All other copies maintained in personnel offices. (GRS 1/14B)
DISPOSITION: Destroy when 1 year old.
ADMI 80 Official Personnel Files. Records filed on the right side of the Official Personnel Folder (OPF). (See GRS 1, item 10, for temporary papers on the left side of the OPF). Folders covering employment terminated after December 31, 1920, excluding those selected by the National Archives and Records Administration for permanent retention. (GRS 1/1) For other personnel records, see http://www.archives.gov/records_management/ardor/grs01.html.
Transferred employees. (GRS 1/1A)
DISPOSITION: See Chapter 7 of The Guide to Personnel Recordkeeping for instructions relating to folders of employees transferred to another agency.
Separated employees. (GRS 1/1B)
DISPOSITION: Transfer folder to the National Personnel Records Center, St. Louis, MO, 30 days after separation of the employee. NPRC will destroy 65 years after separation from Federal service.
ADMI 81 Office of the Secretary (OST) Files. Consist of internal audit reviews done by OST. The files contain correspondence, reports, memorandums and related papers. (NC1-406-80-11/81)
DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.
ADMI 82 Office of Workers Compensation Program. Contain forms and other documentation which contain information on on-the-job injuries and occupational disease. The original of these forms is sent to the Department of Labor. (NC1-406-80-11/82)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 83 Outdoor Advertising Files. Consist of correspondence, reports, financial data, copies of vouchers including bonus claims and other related papers pertaining to cost of outdoor advertising control authorized under 23 U.S.C. 131. (NC1-406-80-11/83.)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 after cutoff. Destroy 10 years after cutoff.
ADMI 84 Payment to States Files. Contains an annual report required by the Treasury on all payments by FHWA to the States. Files also contain computer printouts and feeder information from other Government agencies on FHWA transfer funds. (NC1-406-80-11/84)
DISPOSITION: Cut off at end of fiscal year. Destroy when 10 years old.
ADMI 85 Payroll. Contains procedures and requirements for the maintenance of the FHWA payroll system that governs the documentation of payroll transactions. (NC1-406-80-11/85)
DISPOSITION: Cut off at end of fiscal year. Destroy 6 years after cutoff.
ADMI 86 Payroll Tabulation Files. Contain computer printouts which summarize payroll debits and credit accounts. The payroll tabulations consist of all FHWA administrative personnel. The tabulations reflect earnings, leave, retirement, bonds, insurance and taxes for all employees in FHWA Headquarters. (GRS 2)
DISPOSITION: Use appropriate Item from GRS 2 (http://www.archives.gov/records_management/ardor/grs02.html).
ADMI 87 Personnel Correspondence Files. Correspondence reports, and other records relating to the general administration and operation of personnel functions, but excluding records specifically described elsewhere in this schedule and records maintained at agency staff planning levels. (GRS 1/3 and NC1-406-80-11/87)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency 3 years after cutoff.
ADMI 88 Personnel Management Evaluation 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 headquarters, regions and divisions. (NC1-406-80-11/88)
DISPOSITION: Cut off at end of fiscal year. Destroy in agency when 5 years old.
ADMI 89 Personnel Payroll Files. Contain official personnel folders, check mailing cards, tax forms, life insurance forms and documents related to employees' pay including SF-1150, Record of Leave Data, maintained for agency use by the payroll section. (GRS 2/9)
Record of employee leave, such as SF 1150, prepared upon transfer or separation. (GRS 2/9A)
DISPOSITION: File on right side of OPF. See GRS 1/l
(http://www.archives.gov/records_management/ardor/grs01.html).
Creating agency copy of SF 1150. (GRS 2/9B)
DISPOSITION: Destroy when 3 years old.
ADMI 90 Personnel Security Clearance Files. Personnel security clearance case files and related indexes maintained by the personnel security office of the employing agency. (GRS 18/22)
Case files documenting the processing of investigations on Federal employees or applicants for Federal employment, whether or not a security clearance is granted, and other persons, such as those performing work for a Federal agency under contract, who require an approval before having access to Government facilities or to sensitive data. These files include questionnaires, summaries of reports prepared by the investigating agency, and other records reflecting the processing of the investigation and the status of the clearance, exclusive of copies of investigative reports furnished by the investigating agency. (GRS 18/22A)
DISPOSITION: Transfer to inactive file when employee separates. Destroy upon notification of death or not later than 5 years after separation or transfer of employee or no later than 5 years after contract relationship expires, whichever is applicable.
Investigative reports and related documents furnished to agencies by investigative organizations for use in making security/suitability determinations. (GRS 18/22B)
DISPOSITION: Destroy in accordance with the investigating agency instructions.
Index to the Personnel Security Case Files. (GRS 18/22C)
DISPOSITION: Destroy with related case file.
ADMI 91 Security Clearance Administrative Subject Files. Correspondence, reports, and other records relating to the administration and operation of the personnel security program, not covered elsewhere in this schedule. (GRS 18/21)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 92 Personnel Transfer (Commercial Freight and Passenger Transportation) Files. (GRS 9/1)
Original vouchers and support documents covering freight and passenger transportation charges of settled fiscal accounts. Including registers and other control documents, but excluding those covered by ADMI 92B of this schedule. (GRS 9/1A)
DISPOSITION: Destroy 6 years after period of the account.
Records covering payment for commercial freight and passenger transportation charges for services for which (1) notice of overcharge has been or is expected to be issued, or if a rail freight overpayment is involved, (2) deduction or collection action has been taken, (3) voucher contains inbound transit shipment(s), (4) parent voucher has print of paid supplemental bill associated, (5) voucher has become involved in litigation, or (6) any other condition that arises, such as detection of an overcharge, that prevents the settling of the account, requiring the voucher to be retained beyond the 6 year retention period. (GRS 9/1B)
DISPOSITION: Destroy when 10 years old.
Issuing office copies of Government or commercial bills of lading, commercial passenger transportation vouchers (SF 1113A) and transportation requests (SF 1169), travel authorizations, and supporting documents. (GRS 9/1C)
DISPOSITION: Destroy when 6 years after period of account.
Obligation copy of commercial passenger transportation vouchers. (GRS 9/1D)
DISPOSITION: Destroy when funds are obligated.
Unused ticket redemption forms, such as SF 1170. (GRS 9/1E)
DISPOSITION: Destroy 3 years after the year in which the transaction is completed.
ADMI 93 Picture Files. Contains black and white photographs, color photographs, negatives, the original color transparencies and background material related to early roads and the beginning of highway systems around 1880 and material related to the history of highways west of the Mississippi. Also included is correspondence, requisitions, cost estimates, background material, clearance with other Government agencies, publishing houses and other material related to inventories conducted by FHWA to find permanent homes for the Rakeman paintings, movies, and history books of early highways. (NC1-406-80-11/93)
DISPOSITION: Disposition Not Approved. (Earlier disposition authority for Still and Motion Picture Files was provided by NC-406-75-1.)
ADMI 94 Policy and Procedure for Handling GAO Reports and Inquires. Consist of correspondence, directives, and memoranda documenting policy and procedures for handling General Accounting Office reports and inquiries. (NC1-406-80-11/94)
DISPOSITION: PERMANENT. Cut off at end of fiscal year. Transfer to FRC 15 years after cutoff. Transfer to National Archives 25 years after cutoff.
ADMI 95 Position Classification Files. (GRS 1/7)
Position Classification Standards Files. (GRS 1/7A)
(1) Standards and guidelines issued or reviewed by OPM and used to classify and evaluate positions within the agency. (GRS 1/7A1)
DISPOSITION: Destroy when superseded or obsolete.
(2) Correspondence and other records relating to the development of standards for classification of positions peculiar to the agency and OPM approval or disapproval. (GRS 1/7A2)
(a) Case file. (GRS 1/7A2A)
DISPOSITION: Destroy 5 years after position is abolished or description is superseded.
(b) Review File. (GRS 1/7A2B)
DISPOSITION: Destroy when 2 years old.
Position Descriptions. Record copy of position descriptions which include information on title, series, grade, duties and responsibilities, and related documents. (GRS 1/7B)
DISPOSITION: Destroy 2 years after position is abolished or description is superseded.
Survey Files. (GRS 1/7C)
(1) Classification survey reports on various positions prepared by classification specialists, including periodic reports. (GRS 1/7C1)
DISPOSITION: Destroy when 3 years old or 2 years after regular inspection, whichever is sooner.
(2) Inspection, audit and survey files including correspondence, reports, and other records relating to inspections, surveys, desk audits and evaluations. (GRS 1/7C2)
DISPOSITION: Destroy when obsolete or superseded.
Appeals Files. (GRS 1/7D)
(1) Case files relating to classification appeals, excluding OPM classification certificate. (GRS 1/7D1)
DISPOSITION: Destroy 3 years after case is closed.
(2) Certificates of classification issued by OPM. (GRS 1/7D2)
DISPOSITION: Destroy after affected position is abolished or superseded.
ADMI 96 RESERVED.
ADMI 97 Post Year Files. Consist of computer printouts received monthly which are used as source documents to prepare a series of budgetary reports used by management. These printouts include the personnel rosters, budget and accounting report by month, and year end reports. Machine-readable data is in OST. (NC1-406-80-11/97)
DISPOSITION: Destroy when 3 years old.
ADMI 98 Pre-Closing and Post Closing Files. Contain monthly and annual summary reports used as reference material for financial statements at the end of the fiscal year. (NC1-406-80-11/98)
DISPOSITION: Destroy when 3 years old.
ADMI 99 Printing Requisition Files. Contain DOT Form 1700.8, Duplication Request, and DOT Form 1700.3, Printing, Binding, Distribution and Editorial Service Requests, 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-Aids Branch. (GRS 13/2A and NC1-406-80-11/99)
DISPOSITION: Destroy 1 year after completion of job.
ADMI 100.1 Privacy Act Requests Files. Files created in response to requests from individuals to gain access to their records or to any information in the records pertaining to them, as provided for under 5 U.S.C. 552a(d)(1). Files contain original request, copy of reply thereto, and all related supporting documents, which may include the official file copy of records requested or copy thereof. (GRS 14/21)
Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein). (GRS 14/21A)
(1) Granting access to all the requested records. (GRS 14/21A1)
DISPOSITION: Destroy 2 years after date of reply.
(2) Responding to requests for nonexistent records; to requesters who provide inadequate descriptions; and to those who fail to pay agency reproduction fees. (GRS 14/21A2)
(a) Requests not appealed. (GRS 14/21A2A)
DISPOSITION: Destroy 2 years after date of reply.
(b) Requests appealed. (GRS 14/21A2B)
DISPOSITION: Destroy as authorized under ADMI 100.2.
(3) Denying access to all or part of the records requested. (GRS 14/21A3)
(a) Requests not appealed. (GRS 14/21A3A)
DISPOSITION: Destroy 5 years after date of reply.
(b) Requests appealed. (GRS 14/21A3B)
DISPOSITION: Destroy as authorized under ADMI 100.2.
Official file copy of requested records. (GRS 14/21B)
DISPOSITION: Dispose of in accordance with approved agency disposition instructions for the related records, or with the related Privacy Act request, whichever is later.
ADMI 100.2 Privacy Act Amendment Case Files. Files relating to an individual's request to amend a record pertaining to that individual as provided for under 5 U.S.C. 552a(d)(2); to the individual's request for a review of an agency's refusal of the individual's request to amend a record as provided for under 5 U.S.C. 552a(d)(3); and to any civil action brought by the individual against the refusing agency as provided under 5 U.S.C 552a(g). (GRS 14/22)
Requests to amend agreed to by agency. Includes individual's requests to amend and/or review refusal to amend, copies of agency's replies thereto, and related materials. (GRS 14/22A)
DISPOSITION: Dispose of in accordance with the approved disposition instructions for the related subject individual's record or 4 years after agency's agreement to amend, whichever is later.
Requests to amend refused by agency. Includes individual's requests to amend and to review refusal to amend, copies of agency's replies thereto, statement of disagreement, agency justification for refusal to amend a record, and related materials. (GRS 14/22B)
DISPOSITION: Dispose of in accordance with the approved disposition instructions for the related subject individual's record, 4 years after final determination by agency, or 3 years after final adjudication by courts, whichever is later.
Appealed requests to amend. Includes all files created in responding to appeals under the Privacy Act for refusal by any agency to amend a record. (GRS 14/22)
DISPOSITION: Dispose of in accordance with approved disposition instructions for the related subject individual's record or 3 years after final adjudication by courts, whichever is later.
ADMI 100.3 Privacy Act Accounting of Disclosure Files. Files maintained under the provisions of 5 U.S.C. 552a(c) for an accurate accounting of the date, nature, and purpose of each disclosure of a record to any person or to another agency, including forms for showing the subject individual's name, requester's name and address, purpose and date of disclosure, and proof of subject individual's consent when applicable. (GRS 14/23)
DISPOSITION: Dispose of in accordance with the approved disposition instructions for the related subject individual's record or 5 years after the disclosure for which the accountability was made, whichever is later.
ADMI 100.4 Privacy Act Control Files. Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature of request, and name and address of requester. (GRS 14/24)
Registers or listings. (GRS 14/24A)
DISPOSITION: Destroy 5 years after date of last entry.
Other files. (GRS 14/24B)
DISPOSITION: Destroy 5 years after final action by the agency or final adjudication by courts, whichever is later.
ADMI 100.5 Privacy Act General Administrative Files. Records relating to the general agency implementation of the Privacy Act, including notices, memoranda, routine correspondence, and related records. (GRS 14/26)
DISPOSITION: Destroy when 2 years old or sooner if no longer needed for administrative use.
ADMI 101 Privacy Act Report Files. Contain annual report required by OMB Circular A-108, including a brief summary, accomplishments, plans, a list of systems which are exempted during the year, a summary of changes to the total inventory of personnel data and a description of operational experience with estimates of the number of individuals requesting information on the existence of records pertaining to them, refusals to provide information, requests for access to records, and appeals from initial refusals to amend records. (NC1-406-80-11/101)
DISPOSITION: PERMANENT. Transfer to National Archives with related agency records approved for permanent retention in agency records control schedule or when 15 years old, whichever is sooner. NOTE: For recurring reports and one time information requirement relating to agency implementation, see GRS 14/25.
ADMI 102 Program Documentation Files. Files consist of requests made from users in the form of memorandums, specifications for systems or programs, program listings, test data, sample output, technical communication between Data Systems and offices during a project and other technical materials used in documenting a system or program. (NC1-406-80-11/102)
DISPOSITION: Destroy when program is no longer active.
ADMI 103 Program Improvement Files. Consist of general correspondence, drafts, background material, annual work plans, budget estimates and documents pertaining to various subject areas to aid the office in its efforts to plan, develop, recommend and administer FHWA general management systems and related policies, procedures and programs to improve program performance and productivity. (NC1-406-80-11/103)
DISPOSITION: Cut off at end of fiscal year. Destroy 3 years after cutoff.
ADMI 104 Program Listing Files. Consist of printouts of program coded listings of administrative programs, including job control language decks. (NC1-406-80-11/104)
DISPOSITION: Destroy upon completion or modification of programs.
ADMI 105 Program Subject Files. Consist of subject files pertaining to administrative cost, audit finding summaries, including correspondence related to congressional inquiries involving budget matters, contract agreements with other Government agencies on the transfer of funds and other material related to the office effort to plan and administer the FHWA program as related to the budget process in conformity with the DOT and the OMB requirements. (NC1-406-80-11/105)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 7 years after cutoff.
ADMI 106 RESERVED.
ADMI 107 Project Status Files (Completed). These files give the complete history of a project from headquarters, regions and division offices. They are used to compile Form PR-37, entitled Project Status Records, and include Form PR-37. (NC1-406-80-11/107)
DISPOSITION: Destroy 2 months after completion of project.
ADMI 108 Project Requisition Files. Consist of correspondence, memoranda, film scripts, transcript vouchers, shipment notices, contracts and background material, related clearance of all publications, films, audiovisual and exhibits intended for public presentation from the Office of Public Affairs on Form FHWA 1113, Clearance Request for Publications, film exhibits or visual presentations as required by FHWA Order 2-4. Also included in the files are Form FHWA 850, Order for AV Services and Special Reproduction, used to order design and graphics for all FHWA printed matter, photocopies, photostats, and diazo prints which are related to projects that involve clearance for public presentation. (NC1-406-80-11/108)
DISPOSITION: Dispose of in accordance with approved disposition instructions applicable to the records of which they are a part.
ADMI 109 Promotion Candidate Files. Consist of Form FHWA 1440, Availability Statement, FHWA 177, Personal History Statement, and background material related to individual candidates who have interest in being ranked for consideration or promotion as prescribed by the requirements established by the National Right of Way Promotion Boards, National Engineer Promotion Boards, National Motor Carrier Safety Boards, and the National Community Planner Promotion Boards in conformity with FHWA's Merit Promotion Guidelines. Files also include Assessments of Potential. (NC1-406-80-11/109)
DISPOSITION: Destroy when 2 years old or earlier if Office of Personnel Management evaluation of records is made.
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. (NC1-406-80-11/110)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 111 Property and Supplies. 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 Contracts and Procurement. (NC1-406-80-11/111)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 112 Proposal Files. Contain written requests for proposals from contractors. There are three types of proposals from potential contractors. They are technical proposals, cost proposals, and staff proposals. Files also contain reference copies of contracts awarded for supportive services for research studies in FHWA, slides sent in as examples of negotiations and analysis for proposals. (NC1-406-80-11/112)
DISPOSITION: Transfer to FRC when awarded contracts are 3 years old. Destroy when 7 years old.
ADMI 113 Purchase Order Files. Contain requisitions, summaries of negotiations, statements of work, progress reports and payment reports pertaining to the procurement of services often with other Government agencies or commercial firms. (GRS 3/3A)
DISPOSITION: Use ADMI 32.
ADMI 114 Real Property Files. Title papers documenting the acquisition of real property (by purchase, condemnation, donation, exchange, or otherwise), excluding records relating to property acquired prior to January 1, 1921. (GRS 3/1)
Records relating to property acquired after December 31, 1920, other than abstract or certificate of title. (GRS 3/1A)
DISPOSITION: Dispose 10 years after unconditional sale or release by the Government of conditions, restrictions, mortgages or other liens.
Abstract or certificate of title. (GRS 3/1B)
DISPOSITION: Transfer to purchaser after unconditional sale or release by the Government of conditions, restrictions, mortgages, or other liens.
NOTE: Records relating to property acquired prior to January 1, 1921, are not covered by this item or the GRS and must be scheduled by submission of an SF 115 to NARA.
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. Destroy in agency when no longer needed for administrative purposes. (NC1-406-80-11/115)
DISPOSITION: Destroy in agency when no longer needed.
ADMI 116 Reimbursable Agreement Files. Contain completed copies of DOT 2300.l, Reimbursable Agreements, which are used by the operating elements of DOT, if funds are available, to place orders with other agencies for materials, supplies, equipments, work on services when both agencies have an interest in the goods or services to be provided. (NC1-406-80-11/116)
DISPOSITION: Place in inactive file on completion of contract. Cut off inactive file at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.
ADMI 117 Relocation Files. Contain paid travel vouchers SF 1012 for FHWA employee's transfer to duty stations. Also included in these files are notes and supporting documents. (GRS 6/1A)
DISPOSITION: Destroy 6 years and 3 months after period covered by account.
ADMI 118 RESERVED.
ADMI 119 Report Files. Consist of general correspondence related to DOT headquarters requirements for Coast Guard duty officer support, monthly transaction reports, GAO draft reports to the staff relating to communications services, energy conservation, locating Federal Facilities, and real property maintenance. Files also contain communication reports such as annual communication reports, reports of exchange/sale of personal property, annual reports on location of new offices and other facilities in rural areas, agency reports on motor vehicle data and monthly motor vehicle data reports to GSA. (NC1-406-80-11/119)
DISPOSITION: Cut off at end of fiscal year. Destroy 3 years after cutoff.
ADMI 120 Reports on Obligations (Budget Reports Files). Periodic reports on the status of appropriation accounts and apportionment. (GRS 5/3 and NC1-406-80-11/120)
Annual report (end of fiscal year). (GRS 5/3A)
DISPOSITION: Destroy when 5 years old.
All other reports. (GRS 5/3B)
DISPOSITION: Destroy 3 years after the end of the fiscal year.
ADMI 121 Request for Voluntary Allotment of Compensation Files. Consist of requests by employees to have union dues, charity and savings allotments deducted from their wages. (NC1-406-80-11/121)
DISPOSITION: Destroy upon transfer or separation of employee or cancellation of request. For authorizations, see GRS 2/13 through 18 (http://www.archives.gov/records_management/ardor/grs02.html).
ADMI 122 Requisition Files (Inventory). Requisitions for supplies and equipment for current inventory. (GRS 3/8 and NC1-406-80-11/122)
Stockroom copy. (GRS 3/8A)
DISPOSITION: Destroy 2 years after completion or cancellation of requisition.
All other copies. (GRS 3/8B)
DISPOSITION: Destroy when 6 months old.
ADMI 123 Retirement Files.
Reports and registers. Reports, registers or other control documents, and other records relating to retirement, such as SF 2807 or equivalent. (GRS 2/28)
DISPOSITION: For CSRS/FERS related records, destroy upon receipt of official OPM acceptance of annual summary.
Assistance files. Correspondence, memoranda, annuity estimates, and other records used to assist retiring employees or survivors claim insurance or retirement benefits. (NC1-406-80-11/123)
DISPOSITION: Destroy when 1 year old.
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. (NC1-406-80-11/124)
DISPOSITION: Cut off at end of fiscal year. Destroy 3 years after cutoff.
ADMI 125 Security Clearance Status Files. Lists or rosters showing the current security clearance status of individuals. (GRS 18/23 and NC1-406-80-11/125)
DISPOSITION: Destroy when superseded or obsolete.
ADMI 126 Service Contract and Procurement Files. Contract, requisition, purchase order, lease, and bond and surety records, including correspondence and related papers pertaining to award, administration, receipt, inspection and payment (other than those covered in GRS 3/1, Real Property Files, and GRS 3/12, Tax Exemption Files). (GRS 3/3)
DISPOSITION: Use ADMI 32.
ADMI 127 Sound Recording Files. Contain audio tapes, slides and cassettes providing the field offices and State highway agencies material for presentations when new techniques are developed on highway related subjects such as Traffic Engineering Technology, Highway Travel Forecasting, Aerial Drainage Surveys and Nuclear Testing for Density Control on Concrete Pavement. (NC1-406-80-11/127)
DISPOSITION: Disposition not approved.
ADMI 128 Space and Maintenance General Correspondence Files. Contain general correspondence on space, space assignments and utilization, allowances and standards, space classification and all other information related to office space and its manipulations. (GRS 11/1 and NC1-406-80-11/128)
DISPOSITION: Cut off at end of fiscal year. Destroy 2 years after cutoff.
ADMI 129 Special Exhibits Files. Contain summary data on rental property by GSA, inventory of ADP systems, current services, summary of research and development expenditures as well as in other program areas, statements of receipts for the building of parks and various other programs whose contributions are provided by private citizens. This summary data is required by OMB for the President's budget. Special information is also provided to congressional committee staff members. (NC1-406-80-11/129)
DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 15 years after cutoff.
ADMI 130 State Information Files. Consist of correspondence or memoranda related to the request by the Secretary of Transportation seeking information concerning the expenditure for highway construction in a particular congressional district. (NC1-406-80-11/130)
DISPOSITION: Cut off at end of fiscal year. Destroy 3 years after cutoff.
ADMI 131 RESERVED.
ADMI 132 Statement of Transaction Files. Contains SF 224, Statement of Transaction, which is the financial statement of the transactions of all funds by FHWA. (GRS 6/1A and NC1-406-80-11/132)
DISPOSITION: Destroy 6 years and 3 months after period covered by account.
ADMI 133 Statistical Personnel Files. Consist of correspondence, working papers, notes and other materials used to compile data for printouts to provide FHWA Office of Public Affairs (under FOIA), Congress and others Government agencies information concerning retirement, employment breakdown by grade, organization, registers, education, training and awards. (NC1-406-80-11/133)
DISPOSITION: Destroy when 3 years old if documents can be recreated.
ADMI 134 Status of Contract Authority Files. Contain Treasury Form BA-73104, Status of Contract Authority, which is prepared annually by FHWA for the Treasury Department reflecting the balance of unfunded contract authority at the beginning of the fiscal year and the unfunded contract authority at the end of the period. The source data used is from the general ledger trial balances and public laws from Congress. (NC1-406-80-11/134)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 135 Status of Funds. Contain financial statements of the military and Department of Agriculture on the transfer of funds to FHWA. The report is done on an annual basis. Files also contain reports on obligated and unobligated funds of the military and Agriculture. (NC1-406-80-11/135)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 136 Supplemental Payroll Files. Consist of pay vouchers and printouts of comprehensive payroll records maintained by the payroll section used for workload and personnel management purposes. (NC1-406-80-11/136)
DISPOSITION: Destroy after receipt of individual earnings record.
ADMI 137 Survey Files. Contain reports, notes, manpower needs, studies, EEO Goals and timetables, minority reports, project personnel needs, trainee recruitment requirements, and promotion analyses needed in evaluating and improving recruitment and placement aspects of career development programs. (NC1-406-80-11/137)
DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.
ADMI 138 Tabulation Files. Consist of tabulation data of Federal fund obligations, disbursements and other funds concerning the FHWA program which include Federal-aid and forest highway funds, Federal-aid and emergency relief projects and Highway Trust Funds.
(NC1-406-80-11/138)
DISPOSITION: Destroy all material when 1 year old.
ADMI 139 Time and Attendance Reports Files. (GRS 2/7, GRS 2/8, and NC1-406-80-11/139)
Time and Attendance Source Records. All time and attendance records upon which leave input data is based, such as time or sign-in sheets; time cards, such as OF 1130; flexitime records; leave applications for jury and military duty; and authorized premium pay or overtime, maintained at duty post upon which leave input data is based. Records may be in either machine-readable or paper form. (GRS 2/7)
DISPOSITION: Destroy after GAO audit or when 6 years old, whichever is sooner.
Time and Attendance Input Records. Records in either paper or machine-readable form used to input time and attendance into a payroll system, maintained either by agency or payroll processor. (GRS 2/8)
DISPOSITION: Destroy after GAO audit or when 6 years old, whichever is sooner.
ADMI 140 Trainee Files. These files are for Motor Carrier Safety, Engineers, and Community Planners. Contain past and present training documents, background materials, notes fiscal plans, field review reports, general correspondence, special assignment preparation and progress reports, memorandums, travel information, statistics on trainee course evaluations, organization training, training plans for each trainee and flow charts. (NC1-406-80-11/140)
DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.
ADMI 141 Training Program Files. Correspondence, memoranda, reports and other records relating to the availability of training and employee participation in training programs sponsored by other government agencies or non‑government institutions. Also contain training plan objectives and requirements, annual reports of training activities, cumulative summary of recruiting, number of employees and training roles, travel claims, correspondence, budget estimates, control of grade escalation, hiring limitations, funds available for obligation appropriation, assessment of FHWA training systems, delegations of authority, seminars, reports, conferences, special programs, and reimbursement agreements. (GRS 1/29B and NC1-406-80-11/141)
DISPOSITION: Destroy when 5 years old or when superseded or obsolete, whichever is sooner.
ADMI 142 Treasury Form Files. Consist of Treasury Form BA-6727 which is a Statement of Appropriation Account containing Section I balances as of quarters end and Section II, Accrued Expenditures. Files also contain Treasury Form 6728, Report of Selected Balances for Stating Budget Results on the Accrual Basis for Special Trust Funds Receipt Accounts. These two reports are required by the Treasury Department quarterly. Summary trial balances are used as source data. Copies maintained in FHWA for reference. (NC1-406-80-11/142)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 143 Transportation Files. Contain public vouchers for transportation charges from airlines for transportation of FHWA employees and SFs 1113 and 1169, transportation requests by FHWA employees for transportation to and from their destination. (GRS 9/1 and NC1-406-80-11/143)
DISPOSITION: Use ADMI 92.
ADMI 144 Travel Order Files. Records relating to reimbursing individuals, such as travel orders, per diem vouchers, transportation requests, hotel reservations, and all supporting documents relating to official travel by officers, employees, dependents, or others authorized by law to travel. (GRS 9/3 and NC1-406-80-11/144) For more guidance on travel records, see GRS 9 at http://www.archives.gov/records_management/ardor/grs09.html.
Travel administrative office files. (GRS 9/3A)
DISPOSITION: Destroy when 6 years old.
Obligation copies. (GRS 9/3B)
DISPOSITION: Destroy when funds are obligated.
ADMI 145 Treasury Report Files. Contain reports required annually by OMB under Treasury Department Circular 965 which is sent to the Treasury Department on the balances of individual appropriation funds using Treasury Department Form BA-R-2108, Statement of Unexpended Balances of Appropriation Funds and Restorations, Treasury Form TSF-6654, Cash Balance Review from Treasury, showing FHWA cash balance for the end of the fiscal year for FHWA to reconcile their balances, and from the regional offices, FHWA Form 1336 certifying their balances at the end of the fiscal year on each appropriation. Files also contain information on funds transferred from other agencies to FHWA and the transferring of funds by FHWA to other agencies. Included in this are working papers and other supporting documents. Copies maintained in FHWA for reference. (NC1-406-80-11/145)
DISPOSITION: Cut off at end of fiscal year. Destroy 10 years after cutoff.
ADMI 146 Vacancy Announcement Files. Contain actual applications, ranking material from panels, copies of announcements and general correspondence. The files also include applications for merit promotion and career training programs and other related material on monitoring, evaluating and improvement of the recruitment and placement aspects of career development programs. (NC1-406-80-11/146)
DISPOSITION: Destroy when 2 years old or upon an Office of Personnel Management evaluation of the records, whichever is first.
ADMI 147 Vehicle Files. Contain accident reports, general correspondence, and related data pertaining to the management of the motor vehicle fleets for FHWA and the maintenance of required records for all FHWA headquarters motor vehicles. (NC1-406-80-11/147)
DISPOSITION: Destroy 6 years after case is closed.
ADMI 148 Verification in Hours Status Files. Files contain computer printouts received from management verifying hours of FHWA employees. These printouts are also used for audit purposes. (NC1-406-80-11/148)
DISPOSITION: Destroy when 6 months old.
ADMI 149 Video Recording Files. Contain master tapes to include separately the audio tapes which relate to all video tapes produced by FHWA in the past 4 years of training, speeches, workshops, new techniques, actual events, policy and procedure. (NC1-406-80-11/149)
DISPOSITION: Disposition not approved.
ADMI 150 Vital Records. Contain correspondence, records schedules, reports, an emergency preparedness status, essential records and other related data pertaining to emergency operating records and rights and interest records and other records vital to the operation of the Federal Highway Administration. (NC1-406-80-11/150)
DISPOSITION: Destroy files when no longer needed.
ADMI 151 W-2 Forms. Files contain W-2 forms of all the employees in FHWA. The W-2 is a yearly wage and tax statement record. (GRS 2/13B and NC1-406-80-11/151)
DISPOSITION: Destroy when 4 years old.
ADMI 152 Work Order Files. Contain pending work order for moving walls, telephone outlets and electrical outlets. These requests are made to OST for proposed work on GSA Form 2957 and telephone orders DOT 1730.1 and Form FHWA 56, Requisition for Supplies, Service and Shipments. The files also contain requests for cancellation of work orders. (NC1-406-80-11/152)
Pending Files. (NC1-406-80-11/152A)
DISPOSITION: Transfer to completed work order file after completion of work.
Completed Files. (NC1-406-80-11/152B)
DISPOSITION: Place in inactive file after completion of work. Cut off inactive file at end of fiscal year. Destroy 2 years after cutoff.
ADMI 153 Information Collection Budget Files. Reports required by the Office of Management and Budget under the Paperwork Reduction Act about the number of hours the public spends fulfilling agency reporting requirements. Included are associated feeder reports, report exhibits, correspondence, directives, and statistical compilations. (GRS 16/12 and NI-406-89-3/30)
DISPOSITION: Cutoff at end of fiscal year. Destroy 7 years after cutoff.
ADMI 154 Fiscal Management Information System (FMIS). The system is a nationwide on-line computerized accounting system containing more than 2 million records related to all Federally funded highway projects. The data is summarized in a variety of ways and used for planning and executing agency programs, for evaluating program performance, and for depicting financial trends and requirements related to current and future funding. The information is maintained on a central mainframe computer and updated via microcomputers located in all Division, Regional, and Washington Headquarters fiscal offices. (N1-406-90-3)
Input. (N1-406-90-3/1A)
(1) Project Status Report (FHWA 37). Report initially prepared by reporting office when the State is authorized to proceed with the project. On-line data entry by the Federal-Aid division offices (located in each state, the District of Columbia, and Puerto Rico). (N1-406-90-3/1A1)
DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cutoff, or when no longer needed, whichever is later.
(2) Expenditure Data. Consists of purchase orders, procurement requests, contracts, and other expenditures. The data is transferred monthly by Finance Division on computer tapes from their automated accounting system to Program Analysis Division. The data is entered into the FMIS via a computer program by the Washington Headquarters Program Analysis Division. (N1-406-90-3/1A2)
DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cutoff, or when no longer needed, whichever is later.
(3) Apportionment Factor Information. Input information is provided from various FHWA offices, and other government agencies to determine apportionments to the State of Federal-aid highway funds. On-line data entry is done by the Washington Headquarters Program Analysis Division. (N1-406-90-3/1A3)
DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cutoff, or when no longer needed, whichever is later.
(4) Allocation. These allocations of Federal-aid highway funds, not subject to formula apportionment, are made by the Washington Headquarters program offices to the States. On-line data entry of these allocations is done by the Washington Headquarters Program Analysis Division from data provided from memoranda prepared by the FHWA program offices. (N1-406-90-3/1A4)
DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cutoff, or when no longer needed, whichever is later.
Master Files. Information contained in the data base, including that described above related to Federal-Aid projects. The Master File contains: (1) Active Records pertaining to open and ongoing projects. (This includes those projects which have been in an inactive stage, i.e. in one phase of the project for 6 months or longer.) (2) Inactive Records pertaining to projects that have either been closed or withdrawn. (N1-406-90-3/1B)
DISPOSITION: PERMANENT. Cutoff at end of fiscal year. Transfer magnetic tapes to the National Archives at the close of each fiscal year.
Output. (N1-406-90-3/1C)
(1) Records consisting of extracted information. Over 130 on-line, batch, and ad hoc reports containing financial and statistical information on individual projects, program and fund activity, and summary data on active, as well as closed, highway projects which have been recorded through FMIS. (N1-406-90-3/1C1)
DISPOSITION: Destroy 3 years from date of origination, or when no longer needed, whichever is later.
(2) Certificates of Apportionment. Signed, and approved, by the FHWA Administrator or designee, apportionment of obligated Federal-aid highway funds. The certificates are attached to FHWA Notice 4510. (N1-406-90-3/1C2)
DISPOSITION: Cutoff at end of fiscal year. Destroy 20 years after cutoff, or when no longer needed, whichever is later.
Documentation. Data systems specifications, file specifications, codebooks, record layouts, user guides, output specifications, and final reports (regardless of media) relating to a master file or data base. (N1-406-90-3/1D)
DISPOSITION: PERMANENT. Offer to National Archives in conjunction with transfer of master files.
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:
The contract instrument (i.e., contract modifications, task orders, delivery orders, and the contractor's proposals applicable to these documents).
The COTR's delegation letter, and all correspondence between the contractor and the contracting officer, filed in chronological order.
A copy of the contractor's invoices/vouchers and any correspondence pertaining to the payments.
The COTR's trip reports and written memoranda to the file on telephone conversations or other meetings with the contractor.
A copy of the contractor's progress reports and other contract deliverables, and all correspondence pertaining to these documents.
An evaluation of the contractor's performance, completed within 30 days after the contractor has met all terms and conditions of the contract. (N1-406-06-2/1)
DISPOSITION: 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. The project related to activities conducted by all entities in the Agency. Records are created in both electronic and paper media, including word processing and electronic mail. Files may include but are not limited to:
Records related to overall Year 2000 efforts, plans, strategies, testing plans and criteria, monitoring and tracking efforts, research papers, publications, and policy letters.
Lists of all applications (or systems) reviewed or assessed with notation of those requiring remedial work; scope of work needed to bring nonconforming applications or systems into compliance.
Testing documentation such as descriptions of types of tests performed on various systems (e.g. baseline, unit, regression, etc.); types of test systems used; procedures involved in testing; information sufficient to support the decisions to choose particular tests and to establish the validation of tests conducted; descriptions of extent of particular tests; information, such as summaries of test results and sign-offs, sufficient to establish the Year 2000 readiness of applications and systems tested; deviations from prescribed test results; criteria to determine that an application or system is Year 2000 ready; plans for retesting computers, applications or systems that fail a Year 2000 test and documentation as to how the failure was corrected; and, information sufficient to explain changes to applications or systems for Year 2000 readiness.
Reviews of Year 2000 program conducted by the Department's Inspector General, the Government Accountability Offices, or conducted by an outside auditing firm.
Contracts (not including purchase orders) in which Year 2000 compliance is a stated requirement and contracts with outside consultants to address the century date change.
Records of correspondence with external vendors, such as documentation from Web sites or certification letters, describing the Year 2000 status of vendor products and services used by the Agency. Records of correspondence, including web site postings, by the Agency with customers, supervised institutions, and/or the public describing the Agency's Year 2000 status. (N1-406-06-2/2)
DISPOSITION: 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. (N1-406-06-2/3)
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: Place in inactive files when case is closed. Cut off inactive files at the end of the fiscal year. Destroy 8 years after cutoff.
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: 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 the National Archives and Records Administration (NARA). Such files must be scheduled by submitting an SF 115.]
ADMI 158 Audit Case Files (N1-406-06-2/4)
Case files maintained by the Office of Information and Management Services of internal audits of Agency programs, operations, and procedures, and of external audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-06-2/4A)
DISPOSITION: Cut off case file at the end of the fiscal year in which the case is closed. Destroy 8 years after cutoff.
Case files maintained by other FHWA offices of internal audits of Agency programs, operations, and procedures, and of external audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-06-2/4B)
DISPOSITION: Cut off case file at the end of the fiscal year in which the case is closed. Destroy 4 years after cutoff.
