CHAPTER 1

This schedule covers records relating to administration maintained by the field offices of Federal Highway Administration and reflects disposition authority granted under NC1-406-85-1.

ADMS 1 Accident Report Files: DOT forms 3902.1 Accident Reports, which are used by the employee's supervisor to report job-related injury within 5 working days following the date of the accident.

(GRS 1/31)

DISPOSITION: Cut off on termination of compensation or when deadline for filing claim is passed. Destroy 3 years after cutoff.

ADMS 2 Administrative Files: General correspondence, personnel information, monthly reports, notes on meetings, schedules, trip reports, and other documents relating to the administrative operation of the office. (GRS 23/1)

DISPOSITION: Destroy when 2 years old or when no longer needed, whichever is sooner.

ADMS 3 Adverse Action Files: Documents pertaining to specific adverse action cases, such as working papers, correspondence, background material, official file copies, copies of court decisions and appeals. (GRS 1/30B)

DISPOSITION: Place in inactive file when case is closed. Cutoff closed case file at end of fiscal year. Destroy 4 years after cutoff.

ADMS 4 Annual Work Plan (AWP) Files: Interoffice correspondence pertaining to initial preparation of AWP's, includes office hours, travel time, distribution of duties, objectives, copies of division AWP's, and memorandums and correspondence relating to emphasis areas of AWP's for regional and division offices. (NC1-406-85-1/4)

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

ADMS 5 Appropriations Files: Correspondence, etc. on allotments, obligations, liquidations, expense vouchers, status of funds and accounts, checks and depositories, and reconciliations. Also includes reports on financial management reviews and correspondence on eligibility for participation. (NC1-406-85-1/5)

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

ADMS 6 Audit Report Files: Copies of GAO and OIG reports and information regarding action to be taken as a result of these reports. Also other internal and external audits. (NC1-406-85-1/6)

DISPOSITION: Place in inactive file when case is closed. Cutoff closed case file at end of fiscal year. Destroy 6 years after cutoff.ADMS 7 Budget Apportionment Files: Apportionment and reapportionment schedules, proposing quarterly obligations under each authorized appropriation. (NC1-406-85-1/7)

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

ADMS 8 Budget Background Records: Working papers, cost statements, and rough data accumulated in the preparation of annual budgets.

(GRS 5/2)

DISPOSITION: Cut off at end of fiscal year. Destroy in agency 1 year after cutoff.

ADMS 9 Budget Correspondence Files: Correspondence pertaining to routine administration, internal procedures, and other budget matters.

(GRS 5/1)

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

ADMS 10 Budget Files (Division Offices): Copies of invoices for communications, machine repairs, equipment rentals, reimbursable services with annual and quarterly reports, and all related materials pertaining to the budget. (NC1-406-85-1/10)

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

ADMS 11 Budget Report Files: Periodic reports on the status of appropriation accounts and apportionment.

1. Annual report.(GRS 5/3A)

   DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.

2. All other reports.(GRS 5/3B)

DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.

ADMS 12 Building Services Files: General correspondence, records of coordination and approval, official file copies, and information on the regional and division offices maintenance, repairs, renovations, designs, etc. (GRS 11/1)

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

ADMS 13 Cash Books (FHWA 135 and 136): Cash receipt registers and cash disbursements registers, showing detailed entries of cash payments and receipts by appropriation. (GRS 7/2)

DISPOSITION: Cut off at end of fiscal year. Destroy 6 years and 3 months after cutoff.

ADMS 14 Certificates Of Deposit: SF-215, Deposit Ticket (agency copy), and DOC Form 502, which deposit the receipts to the credit of the Treasurer of the United States. (NC1-406-85-1/14)

DISPOSITION: Destroy 6 years and 3 months after the period of assessment.

ADMS 15 Certificates of Eligibles Files: Certificates of eligibles with related request forms, correspondence, and statement of reasons for passing over a preference eligible and selecting a non-preference eligible. (GRS 1/5)

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

ADMS 16 Certifying Officers Record File: Official copy of SF 224, Statement of Transactions, paid copies of SF 1166, Voucher and Schedules of Payment, SF 1081, Voucher and Schedule of Withdrawal and Credits, SF 1017, Journal Vouchers, with support documentation, and payments for other regions, Washington Headquarters Office, etc.

(GRS 6/1A)

DISPOSITION: Destroy 6 years and 3 months after period covered by account.

ADMS 17 Chronological Files: FHWA day-to-day correspondence arranged in chronological order. (NC1-496-85-1/17)

DISPOSITION: Destroy in agency when 2 years old or when no longer needed, whichever is sooner.

ADMS 18 Code Card - Form FHWA 371: Transactions relating to expenditures and receipts by project number for regional and division offices. They are support documents relating to the various vouchers submitted to FHWA Finance Division (HFS-23) for entering into the computer printout system. (GRS 6/1A)

DISPOSITION: Cut off at end of fiscal year. Destroy 6 years and 3 months after cutoff.

ADMS 19 Committee File: Correspondence, reports, minutes of meetings, and other materials relating to committees. (NC1-406-85-1/9)

DISPOSITION: Cut off at termination of committee. Destroy 3 years after cutoff.

ADMS 20 Communication Management: SF 145, Telephone Services Request, SF 146, Changes in Telephone Listing for requesting telephone services charges, computer printouts from GSA to verify charges, telephone company key system worksheets and telecopier message file.

(GRS 12/2B)

DISPOSITION: Cut off at end of fiscal year. Destroy when 3 years old.

ADMS 21 Conflict of Interest Case Files.

1. Statements of employment and financial interests and related records pursuant to 49 CFR, part 99. (GRS 1/24A)

   1. Records including SF 278A for individuals filing according to Section 201b of Act, and not subsequently confirmed by the U.S Senate.

      DISPOSITION: Destroy in agency 1 year after nominee ceases to be under consideration for appointment; EXCEPT that documents needed in an ongoing investigation will be retained until no longer needed in the investigation.

   2. All other records including SF 278.

      DISPOSITION: Destroy when 6 years old; EXCEPT that documents needed for ongoing investigations will be retained until no longer needed in the investigation.

2. All other statements of employment and financial interests and related records, including confidential statements filed under Executive Order 11222. (GRS 1/24B)

DISPOSITION: Destroy when 6 years old; EXCEPT that documents need in an ongoing investigation will be retained until no longer needed in the investigation.

ADMS 22 Consultant Files: General correspondence on consultant selection procedures for each State highway agency.

(NC1-406-85-1/22)

DISPOSITION: Destroy 2 years after document is superseded.

ADMS 23 Credit Card Files: Memorandums, U.S. Government credit cards (gasoline credit cards, GSA store credit cards, and telephone credit cards) and Forms FHWA-149, Non-expendable Property Inventory, and FHWA-164, Property Receipt and/or Receipt for Property Returned.

(NC1-406-85-1/23)

1. Property Receipt.

   DISPOSITION: Destroy 3 months after return to issuing officer.

2. All other Material.

   DISPOSITION: Destroy when 2 years old.

ADMS 24 Current Bill File (Division): Copies of Federal-aid billings. (NC1-406-85-1/24)

DISPOSITION: Cut off at close of fiscal year. Destroy 1 year after cutoff.

ADMS 25 Correspondence Files: Correspondence written to States, regions, external groups, and private citizens. This correspondence relates to and answers questions concerning the functions or projects in which the office is involved. (NC1-406-85-1/25)

1. Public Correspondence.

   DISPOSITION: Cut off at end of fiscal year. Destroy when 3 years old.

2. Project Correspondence.

   DISPOSITION: PERMANENT. Transfer to the National Archives Field Branch when 3 years old.

ADMS 26 Delegations of Authority Files: Material pertaining to official delegations of authority to sign travel vouchers, contract, etc.; incoming requests for changes in delegations. Also, correspondence regarding authorizations of individuals.

(NC1-406-85-1/26)

DISPOSITION: Destroy official file copies 6 years from date delegation is superseded.

ADMS 27 Directive Files: Official copies, background material and other papers related to the directives implementation system of the region, including changes that are authorized issuances and used as a primary means of issuing policy instructions and procedures. The following are the types of implementation documents issued in the region. Arranged in numerical order.

1. Regional Office Action Memoranda.(NC1-406-81-1/27A)

   DISPOSITION: PERMANENT. Transfer to the National Archives in 5 year block when 20 years old.

2. "Temporary" directives issuances.(GRS 16/1A)

   DISPOSITION: Destroy when superseded or obsolete.

3. Supplements to Washington Headquarters directives.(GRS 16/1A)

   DISPOSITION: Destroy when superseded or obsolete.

ADMS 28 Disbursement Listings-Internal Report: Listing of daily account transactions made to project cost ledgers and allotment ledgers. (GRS 7/4A)

DISPOSITION: Destroy when 3 years old.

ADMS 29 Employment Correspondence File: Official file copies, copies of letters inquiring about employment, requesting literature of special interest on training and career opportunities in the FHWA and other information pertaining to FHWA personnel training and employee development programs. (NC1-406-85-1/29)

DISPOSITION: Cut off at end of fiscal year. Destroy 1 year after cutoff.

ADMS 30 Employee Awards File: General awards records, EXCLUDING those relating to departmental level awards.

(GRS 1/12A and GRS 1/12A2)

1. Case files including recommendations, approved nominations, correspondence, reports and related handbooks pertaining to agency-sponsored cash and non-cash awards such as incentive awards, with-in grade merit increases, suggestions, and outstanding performance.

   DISPOSITION: Destroy 2 years after approval or disapproval.

2. Correspondence pertaining to awards from other Federal agencies or non-Federal organizations.

   DISPOSITION: Destroy when 2 years old.

ADMS 31 Engineering Manpower Management Systems: Correspondence and related material pertinent to development and implementation of an automated manpower planning system.(GRS 23/1)

DISPOSITION: Destroy when 2 years old or when no longer applicable to operations, whichever is sooner.

ADMS 32 Excess Equipment Program Files: All correspondence related to the excess equipment program (transfer of Federal excess equipment to State highway administrations) including letters of credential, equipment order files (SF 122's and support material), journal vouchers, bills, title transfers. (GRS 4/3)

1. Transactions of more than $25,000.

   DISPOSITION: Destroy 6 years after final payment.

2. Transactions of $25,000 or less.

   DISPOSITION: Destroy 3 years after final payment.

ADMS 33 Expenditure Accounting Posting and Control Files: Cash disbursement and receipt ledgers which are subsidiary to the general and allotment ledgers. (GRS 7/4A)

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

ADMS 34 Expenditure Accounting General Correspondence Files: Correspondence and/or subject files maintained by Regional Accounts which is responsible for expenditure accounting, pertaining to the internal operations and administration thereof. (GRS 7/1)

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

ADMS 35 Federal-Aid Report Project Summary card Listing: Original billings listing projects and cost from which the weekly cash flow is requested. (NC1-406-85-1/35)

DISPOSITION: Destroy 6 years and 3 months after period covered.

ADMS 36 FHWA Organization Files: Memoranda or approvals of organizational structure changes, working files of the Divisions, file copies, correspondence, background material and organization charts.

(GRS 23/1)

DISPOSITION: Destroy when 2 years old or when no longer needed, whichever is sooner.

ADMS 37 Financial Management Files: Correspondence, working papers, and reports on internal and external financial management.

(NC1-406-85-1/37)

1. Correspondence and working papers.

   DISPOSITION: Destroy when no longer needed.

2. Final Report.

   DISPOSITION: Cut off at end of fiscal year. Transfer to FRC when 5 years old. Destroy when 10 years old.

ADMS 38 Final Voucher Files: Form FHWA 1447, Final Voucher for Payment under 23 U.S.C. 117, and PR-20, Voucher for Work Performed Under Provisions of the Federal Aid Highway Act, as amended. These vouchers are received when a project is paid and closed, accompanied by FHWA-37, Project Status Record. (NC1-406-85-1/38)

1. Region.

   DISPOSITION: Transfer to FRC when 3 years old. Destroy when 6 years old.

2. Divisions.

   DISPOSITION: File in project fiscal file (See Item ADMS 70)70).

ADMS 39.1 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 records copy thereto. (GRS 14/11)

1. Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein).
   1. Granting access to all the requested records.

      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 fee.
      1. Requests not appealed.

         DISPOSITION: Destroy 2 years after date of reply.

      2. Requests appealed.

         DISPOSITION: Destroy as authorized under ADMS 39.2

   3. Denying access to all parts of the records requested,
      1. Requests not appealed.

         DISPOSITION: Destroy 6 years after date of reply.

      2. Requests appealed.

         DISPOSITION: Destroy as authorized under ADMS 39.2.

2. Official copy of requested records.

   DISPOSITION: Dispose of in accordance with approved agencydisposition instruction for the related records, or with the related FOIA request, whichever is later.

ADMS 39.2 FOIA Appeals Files: Files created in response 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)

1. Correspondence and supporting documents (EXCLUDING the file copy of the records under appeal if filed herein).

   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.

2. Official file copy of records under appeal.

   DISPOSITION: Dispose of in accordance with approved agency disposition instructions for the related record, or with the related FOIA request, whichever is later.

ADMS 39.3 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)

1. Register or listings.

   DISPOSITION: Destroy 6 years after date of last entry.

2. Other files.

   DISPOSITION: Destroy 6 years after final action by the agency or after final adjudication by courts, whichever is later.

ADMS 39.4 FOIA Report Files: Recurring reports and one-time information requirements relating to 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.

ADMS 40 Form Files: Working papers, background material, requisitions, a record copy of the form recreated and a copy of Form FHWA 1224, Requirement for Form or Report. (GRS 16/3A)

DISPOSITION: Place in closed file after form is canceled, superseded, or discontinued. Cut off at end of fiscal year. Destroy 5 years after cutoff.

ADMS 41 Funds Accounting Files: correspondence and other documentation in regard to accounting procedures, State audit procedures, and billing and voucher procedures.

(NC1-406-85-1/41)

1. Region (Official File).

   DISPOSITION: Transfer to FRC when 5 years old. Destroy when 10 years old.

2. Division.

   DISPOSITION: Destroy when 7 years old.

ADMS 42 General Ledger Files: General ledgers showing debit and credit entries, and reflecting expenditures in summary. (GRS 7/2)

DISPOSITION: Cut off at end of fiscal year. Destroy 6 years 3 months after cutoff.

ADMS 43 General Services Administration Self-Service Stores: GSA Form 3146-A, Continuation Sheet which consists of quantity, unit price, description, and total used by region and division employees when purchasing supply items. (NC1-406-85-1/43)

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

ADMS 44 Imprest Fund Accountability Report: Quarterly and annual report of verification of cash counts of each Imprest Fund located in the Region. (GRS 6/4)

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

ADMS 45 Imprest Fund Correspondence: Correspondence relating to the Imprest Fund. (GRS 6/5A)

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

ADMS 46 Information Request Files: Requests for information and replies thereto involving no administration action or policy decisions, mostly requests for employment information by State agencies. (GRS 14/1)

DISPOSITION: Destroy 3 months after date of reply.

ADMS 47 Intergovernmental Relations: Correspondence and other information relating to the Federal Regional Council, the Field Coordination Groups, the Federal Executive Board, and State and Local governments. (NC1-406-85-1/47)

DISPOSITION: Review annually. Destroy when no longer needed.

ADMS 48 Interview Records: Correspondence, reports and other records relating to interviews with employees. (GRS 1/8)

DISPOSITION: Destroy 6 months after transfer or separation of employee.

ADMS 49 Labor Management Relations Records: Correspondence, memoranda, reports and other materials relating to the relationship between management, employee unions, and other groups. (GRS 1/28A1)

DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.

ADMS 50 Leave Application File: SF-71, Application for Leave, or equivalent and supporting papers relating to request for an approval of leave.

1. Time cards which have been initialed by employee.(GRS 2/8A)

   DISPOSITION: Destroy at end of applicable pay period.

2. Time cards which have not been initialed by employee.(GRS 2/8B)

   DISPOSITION: Destroy after GAO audit or when 3 years old whichever is sooner.

ADMS 51 Mail Management: Semi-annual mail counts which are a compilation of all mailings made both in regional and division Offices annually and used as the basis for computing the annual payment to the U.S. Postal Service. (GRS 12/6D)

1. Regional Office

   DISPOSITION: Destroy when 1 year old.

2. Division Offices

   DISPOSITION: Destroy when 1 year old.

ADMS 52 Merit Promotion Activity Files: Active and inactive merit promotion applications, certificates, rating and ranking sheets, and including individual merit promotion candidates files for field employees. (GRS 1/32)

DISPOSITION: Destroy 2 years after the personnel action or after the action has been audited by OPM, whichever is sooner.

ADMS 53 Monthly Narrative Reports: Monthly narrative reports from the regional office and division offices 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. (NC1-406-85-1/54)

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

ADMS 54 Motor Vehicle Operation Files: Regional Office, Application for Operator Identification Cards. (GRS 10/7)

DISPOSITION: Destroy 3 years after separation or 3 years after revocation of authorization to operate Government-owned vehicles, whichever is sooner.

ADMS 55 Notification of Personnel Action: Standard Form 50, Notification of Personnel Action, exclusive of those in Official Personnel Folder. (GRS 1/14)

1. Chronological file copies, including fact sheets, maintained in personnel offices.

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

2. All other copies maintained in personnel offices.

   DISPOSITION: Cut off at end of fiscal year. Destroy 1 year after cutoff.

ADMS 56 Official Personnel Files. Official personnel folders (OPFs) of FHWA regional employees, which are the only official repository for personnel records of individual employees of the Federal Highway Administration. Records filed on right side of the Official Personnel folder (See GRS 1, item 10, for temporary papers on the left side of the OPF). (GRS 1/1)

1. 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.

2. Separated Employees. (GRS 1/1B)

   DISPOSITION: Transfer folder to National Personnel Records Center (NPRC), St. Louis, Missouri, 30 days after latest separation. NPRC will destroy 65 years after separation from Federal service.

ADMS 57 Office of Workers' Compensation Program: Forms, reports, correspondence, and related medical and investigatory records relating to on-the-job injuries, whether or not a claim for compensation was made, EXCLUDING copies of filed in the Employee Medical folder and copies submitted to the Department of Labor. (GRS 1/31)

DISPOSITION: Cut off on termination of compensation or when deadline for filing a claim has passed. Destroy 3 years after cutoff.

ADMS 58 OMB A-95 Clearance File: Copies of Circular A-95 clearance reports pertaining to highway projects and related documents.

(NC1-406-85-1/58)

DISPOSITION:Destroy when no longer needed for reference.

ADMS 59 Overtime Payment File: File consists of Form FHWA-21 which is authorization for overtime, holiday work or compensatory overtime.

(NC1-406-85-1/59)

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

ADMS 60 Performance Rating files:

1. Certificates of performance ratings.(GRS 1/23A4)

   DISPOSITION: Destroy 3 years after date of appraisal.

2. Appeals of performance ratings.(GRS 1/30A)

   DISPOSITION: Destroy 3 years after final settlement of case.

ADMS 61 Personnel Correspondence and Subject Files:(GRS 1/3)

1. Files relating to the general administration and operations of personnel functions and including college programs, selective placement (handicapped, veterans, and ex-offenders) programs, special careers (Summer Aid, Intergovernmental Affairs Fellowship, Stay in School, etc.) programs,examinations, paid recruitment advertising, executive Development program, merit promotion, employee safetyprogram, and others not specifically described elsewhere in this schedule, excluding those at agency staff planning levels.

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

2. Correspondence, reports, memoranda, and other records relating to employment programs and functions, and manpower management and evaluation, including experts and consultants, overseas employment, reemployment rights, employee transfer and detail, and excepted positions.

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

ADMS 62 Personnel Management Evaluation Files: General correspondence, official file copies, background material, classification actions, external agency evaluation reports and internal evaluation studies of management programs. Files also contain desk audit and position description reviews for the region and division offices. (NC1-406-85-1/62)

DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.

ADMS 63 Personnel Operations Statistical Reports: Statistical reports in the operating personnel office and subordinate units relating to personnel. (GRS 1/16)

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

ADMS 64 Position Classification Files:

(GRS 1/7)

1. Position Classification Standards files.
   1. Standards and guidelines issued or reviewed by OPM and used to classify and evaluate positions within the agency.

      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.
      1. Case file.

         DISPOSITION: Destroy 5 years after position abolished or description is superseded.

      2. Review file.

         DISPOSITION: Destroy when 2 years old.

2. Position Descriptions. Records copy of positions which include information on title, series, grade, duties, and responsibilities, and related documents.

   DISPOSITION: Destroy 2 years after position is abolished or description is superseded.

3. Survey Files.
   1. Classification survey reports on various positions prepared by classification specialists, including periodic reports.

      DISPOSITION: Destroy when 3 years old or 2 years after regular inspection, whichever is sooner.

4. Survey Files:
   2. Inspection, audit and survey files including correspondence, reports, and other records relating to inspections, surveys, desk audits and evaluations.

      DISPOSITION: Destroy when obsolete or superseded.

5. Appeals Files. Case file relating to classification appeals.

   DISPOSITION: Destroy 3 years after case is closed.

ADMS 65 Post Year Files: Computer printouts received monthly, which include personnel rosters, budget and accounting reports by month, and year end reports. File does not contain machine readable data.

(NC1-406-85-1/65)

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

ADMS 66 Printing Requisition File: SF 1, Printing and Binding Requisition to the Public Printer, for requesting printing, binding and distribution. (NC1-406-85-1/66)

DISPOSITION: Destroy 1 year after completion or cancellation of requisition.

ADMS 67.1 Privacy Act Requests File: 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 copy of records requested or copy thereto. (GRS 14/21)

1. Correspondence and supporting documents (EXCLUDING the official file copy of the records requested if filed herein).
   1. Granting access to all the requested records.

      DISPOSITION: Destroy 2 years after date of reply.

   2. Responding to requests for nonexistent records; to requesters who provide inadequate description; and toM those who fail to pay agency reproduction fees.
      1. Requests not appealed.

         DISPOSITION: Destroy 2 years after date of reply.

      2. Requests appealed.

         DISPOSITION: Destroy as authorized under ADMS 67.2.

   3. Denying access to all or part of the records requested.
      1. Requests not appealed.

         DISPOSITION: Destroy 5 years after date of reply.

      2. Requests appealed.

         DISPOSITION: Destroy as authorized under ADMS 67.2

2. Official copy of requested ecords.

   DISPOSITION: Dispose of in accordance with approved agency disposition instructions for related records, or with the related Privacy Act request, whichever is later.

ADMS 67.2 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 552a(d)(3); and to anycivil action brought by the individual against the refusing agency as provided under 5 U.S.C. 552a(g).

(GRS 14/22)

1. Requests to amend agreed to by agency. Includes individual's requests to amend, copies of agency's replies thereto, and related materials.

   DISPOSITION: Dispose of in accordance with the approved disposition instructions for the related subject individual's records or 4 years after agency's agreement to amend, whichever is later.

2. 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.

   DISPOSITION: Dispose of in accordance with the approved disposition instructions for the related subject individual's records, 4 years after final determination by agency, or 3 years after final adjudication by courts, whichever is later.

3. 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.

   DISPOSITION: Dispose of in accordance with the approved disposition instructions for the related subject individual's record or 3 years after final adjudication by courts, whichever is later.

ADMS 67.3 Privacy Act Accounting 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 yearsafter the disclosure for which the accountability was made, whichever is later.

ADMS 67.4 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)

1. Registers or listings

   DISPOSITION: Destroy 5 years after date of last entry.

2. Other files.

   DISPOSITION: Destroy 5 years after final action by the agency of final adjudication by courts, whichever is later.

ADMS 67.5 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.

ADMS 68 Program Control Files: Legislated Federal-aid programs kept for program control over the allocations, planning and execution of the projects within a program which are handled at the Division office level. Files also include feasibility studies, allocation requests, budget expenditure records, status reports, general reports and correspondence from Headquarters, Region, State offices, local governments and private citizens. (NC1-406-85-1/69)

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

ADMS 69 Program Reference Material Files: General information on AASHTO, minutes of meetings, press releases, congressional reports, funding reports, highway acts and testimonial statements from Congress, and other FHWA directives and correspondence.

(NC1-406-85-1/69)

DISPOSITION: Destroy when 3 years old or no longer required.

ADMS 70 Project Fiscal Files (Completed): Official project obligation records and statistical data for various highway programs. These records give a complete history of a project from Headquarters, regions and division offices. 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

DISPOSITION: Cut off at end of fiscal year. Destroy 20 years aftercutoff, or when no longer needed, whichever is later.

ADMS 71 Property and Services Program Files: General correspondence, official file copies, 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.

(NC1-406-85-1/71)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 2 years after cutoff. Destroy 5 years after cutoff.

ADMS 72 Property and Surplus: Correspondence, invoices, requisitions, official file copies, 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.

(NC1-406-85-1/72)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 2 years after cutoff. Destroy 5 years after cutoff.

ADMS 73 Public Affairs Files:

(NC-1-85-1/73)

1. General Files: Correspondence; radio scripts for presentation as DOT public information announcements concerning carpooling and other transportation issues, speeches and visual education on movies, slides, or tapes.

   DISPOSITION: Destroy when 5 years old.

2. Publications: Clippings of various periodicals and publications pertaining to DOT.

   DISPOSITION: Destroy when 1 year old.

ADMS 74 Purchase Order Files. 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 if cost is under established threshold. (GRS 3/3)

1. 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)

      1. 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.

      2. 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)

      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.

      Transactions that utilize small purchase procedures and all construction contracts under $2,000. (GRS 3/3A2B)

      DISPOSITION: Destroy 3 years after final payment.

2. Obligation copy. (GRS 3/3B)

   DISPOSITION: Destroy when funds are obligated.

3. 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.

4. 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.

ADMS 75 Regional Administrator's Administrative Files: Budget information, reorganization information, personnel information on Regional Administrator and Deputy Regional Administrator, travel vouchers for Regional Administrator and Deputy Administrator.

(GRS 23/1)

DISPOSITION: Destroy when 2 years old or when no longer needed, whichever is sooner.

ADMS 76 Regional Administrator - Chronological Files: Regional Administrator's day-to-day correspondence arranged in chronological order. (NC1-406-85-1/76)

DISPOSITION: Destroy when no longer needed.

ADMS 77 Regional Administrator's Committee Files: AASHTO, FEB, FCG, and CFC files. Also Division Administrator's meetings, Honor Awards, and FRC files. (NC1-406-85-1/77)

DISPOSITION: Destroy when no longer needed.

ADMS 78 Reimbursable Agreement Files: Completed copy of DOT F-2300.1, Reimbursable Agreements, which are used by the operating elements of DOT, if funds are available, to place orders with other agencies for materials, supplies, equipment, work or services.

(NC1-406-85-1/78)

DISPOSITION: Transfer to FRC 3 years after completion of contract. Destroy 6 years and 3 months after completion of contract.

ADMS 79 Reports - ADP Listings - Washington office - External: The following ADP Reports furnished by the Washington Headquarters Office showing the status of allotments, apportionments, etc.

NC1-406-85-1/79)

1. Items 1 thru 11:
   1. FHWA-329 Project Status Report - Federal-aid.
   2. Q-19 Projects Completed - Final Voucher Not Submitted.
   3. Q-19 Projects Completed - Final Voucher Not Paid.
   4. Q-19 Projects Completed - Voucher Pending.
   5. Q-25 Project workload.
   6. M-79 Federal Highway Program FY Obligation -Unobligated Balances Active Program.
   7. M-99 Budget function Detail and Cumulative totals to Date
   8. M-10-P8 Region Recap-FA Projects.
   9. M-10 Right-of-Way Revolving Fund.
   10. M-50-3 Status of Allocated Attributable Urban Systems Funds.
   11. M-56 Fiscal Year Apportionment Not Obligated.

       DISPOSITION: Destroy when 6 months old, EXCEPT for end of fiscal year report which is to be retained 5 years after close of the fiscal year involved.

2. Item 12
   12. M-60 Status of Federal-aid Funds.

       DISPOSITION: Destroy when 2 years old EXCEPT for end of fiscal year report which is to be retained 5 years after the close ofthe fiscal year

ADMS 80 Reports - Financial - Internal Reports: Internal report of the financial status of allotments, appropriations, apportionments, etc., used by management plus reports of expenditures to the Washington Headquarters Office.(NC1-406-85-1/80)

1. Appropriation 616 Rural Highway Transportation Demonstration Project Expense Report; Report of Monthly Transaction Numbers; Report of Cash Requirements.

   DISPOSITION: Destroy 3 months after close of fiscal year involved.

2. Report of Federal Assistance - SF 424.

   DISPOSITION: Destroy when 2 years old.

ADMS 81 Requisition Files: Forms FHWA-56, Requisition for Supplies, Services and Shipment. (GRS 3/8)

DISPOSITION: Destroy 2 years after completion or cancellation of requisition.

ADMS 82 Service Record Card: SF-7, Service Record Card, listing dates and types of all personnel actions for employee (SF-7 or its equivalent). (GRS 1/2)

1. Cards for employees separated or transferred on or before December 31, 1947.

   DISPOSITION: Transfer to NPRC, St. Louis, Missouri. Destroy 60 years after personnel action date

2. Cards for employees separated on or after January 1, 1948.

   DISPOSITION: Destroy 3 years after separation or transfer of employee.

ADMS 83 Special Program Files (Regional Administrator): Correspondence between Washington Headquarters, Region and Division Offices, reports, work plans, evaluations of division offices, Civil Rights material, Cargo security material, Women's Program, truck-trainstrikes, and other materials used as a reference by the Regional Administrator. (NC1-406-85-1/83)

DISPOSITION: PERMANENT. Cut off file every two years. Transfer to the National Archives field branch 1 year after cutoff.

ADMS 84 Standard of Conduct Files: Correspondence, memoranda and other records relating to codes of ethics and standards of conduct.

(GRS 1/27)

DISPOSITION: Destroy when obsolete or superseded.

ADMS 85 State Highway Organization: Correspondence documenting State Department of Transportation delegations of authority, and other types of action within their organization that effects the Federal aid highway program. (NC1-406-85-1/85)

DISPOSITION: Transfer to FRC when 2 years old. Destroy when 5 years old.

ADMS 86 Staffing Criteria Files: Tables, charts, working papers, final reports, and related correspondence dealing with elements of staffing criteria for FHWA and documents related to staffing justification for regional and division offices. (NC1-406-85-1/86)

DISPOSITION: Cut off at end of fiscal year. transfer to FRC 10 years after cutoff. Destroy 15 years after cutoff.

ADMS 87 Supplies, Equipment, Buildings, and Services: Material related to purchases, credit cards, contracts, GSA supply schedules, catalogs, dealer lists, surplus equipment and supplies: building materials, machines, hardware and furniture; general office supplies; rentals and services; printing and reproduction; systems of property accounting. (NC1-406-85-1/87)

DISPOSITION: Destroy when no longer applicable to operations.

ADMS 88 Supply Information: Documents related to distribution of nonexpendable property, space and GSA supplies. (NC1-406-85-1/88)

DISPOSITION: Destroy when 3 years old.

ADMS 89 Tabulation Files: Tabulation data of Federal fund obligations, disbursements, interrelationships to income anddisbursements and other funds concerning the FHWA programs which included Federal-aid and forest highway funds, Federal-aid and emergency relief projects and Highway Trust Funds. (NC1-406-85-1/89)

DISPOSITION: Destroy all material when 1 year old.

ADMS 90 Telephone Toll records: Original copies of toll call records in support of telephone toll call payments. (GRS 6/8)

DISPOSITION: Destroy after GAO audit or when 3 years old, whichever is sooner.

ADMS 91 Temporary Individual Employee Records. (GRS 1/10)

1. All copies of correspondence and forms maintained on the left side of the Official Personnel Folder in accordance with Chapter 3 of “The Guide to Personnel Recordkeeping,” excluding the Immigration and Naturalization Service Form I-9 and performance-based records. (GRS 1/10)

   DISPOSITION: Destroy when superseded or obsolete or upon separation or transfer of employee, unless specifically required to be transferred with the OPF. See GRS 1/23 at http://www.archives.gov/records_management/ardor/grs01.html for performance-related records.

2. Immigration and Naturalization Service Form I-9. (GRS 1/10B)

   DISPOSITION: Destroy 3 years after employee separates from service or transfers to another agency.

ADMS 92 Time and Attendance Reports Files. (GRS 2/7 and GRS 2/8)

1. 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.

2. 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.

ADMS 93 Training Files: Training plan objectives and requirements, annual reports of training activities, cumulative summary of training, correspondence, official file copies, budget estimates, assessment of FHWA Regional Training Systems, seminars, reports, conferences, special programs and reimbursement agreements. Files also include correspondence related to on-the-job training. (GRS 1/29A1)

DISPOSITION: Destroy when 5 years old or 5 years after completion of specific training program.

ADMS 94 Transaction Reports: Purchase orders, invoices, backup material, disposition reports and related data listed on accountable and non-expendable property accounts and transaction, and monthly and annual summary reports used as reference material for the expenditures. (NC1-406-85-1/94)

DISPOSITION: Place in inactive file after final payment. Cut off inactive file at end of fiscal year. Destroy 3 years after cutoff.

ADMS 95 Travel Order Files. Contains DOT Forms DOT 1500.2, Official Travel for OST and DOT Elements, DOT 1500.3 Limitations in Overseas Travel, and DOT 1500.4, Temporary Travel Duty. (GRS 9/3) For more guidance on travel records, see GRS 9 at http://www.archives.gov/records_management/ardor/grs09.html.

1. Travel Administration Office Files. (GRS 9/3A)

   DISPOSITION: Destroy when 6 years old.

2. Obligation Copies. (GRS 9/3B)

   DISPOSITION: Destroy when funds are obligated.

ADMS 96 Travel Voucher Files. Contain public vouchers for transportation charges from Airlines for transportation of FHWA employees and FHWA employees for transportation to and from their destination. (GRS 9/1C)

DISPOSITION: Destroy 6 years after the period of the account.

ADMS 97 Treasury Report Files: Annual report required by OMB under Treasury Department Circular 965. The original report is submitted to FHWA, Finance Division, HFS-23 on Form FHWA-1336, which certifies the balances at the end of the fiscal year on each appropriation. Included in this file are working papers and supporting documents.

(NC1-406-85-1/97)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 7 years after cutoff.

ADMS 98 Vehicle Files: Accident reports, general correspondence, maintenance record, official file copies and related data pertaining to the management of the motor vehicle fleets for the Region.

(GRS 10/5)

DISPOSITION: Place in inactive file after case is close. Cut off inactive file at end of fiscal year. Destroy 6 years after cutoff.

ADMS 99 Voucher Examination Records: Accounts payable record copy (yellow SF-147 and pink SF-44) and correspondence related to voucher examination. (NC1-406-85-1/99)

1. Accounts Payable Record Copy of Purchase Order (yellow SF-147 and pink SF-44)

   DISPOSITION: Destroy 3 years after the close of fiscal year involved.

2. Correspondence.

   DISPOSITION: Destroy 2 years after close of fiscal year involved.

ADMS 100 Work Order Files: Pending work orders for moving wall, telephone outlets, and electrical outlets. These requests are made for proposed work on the GSA Form 2957 and telephone order DOT 1730.1 and Form FHWA-56 for cancellation of work order. (NC1-405-86-1/100)

1. Pending Files:

   DISPOSITION: Transfer to completed work order file after completion of work.

2. Completed Files:

   DISPOSITION: Destroy 2 years after completion.

ADMS 101 Word Processing Center Production Records: Consists of page production counts identifying the type of work performed. (NC1-406-85-1/101)

DISPOSITION: Destroy when 2 years old.