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FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 3

This schedule covers records maintained by the Office of Chief Counsel (HCC) in the Washington Headquarters Office of the Federal Highway Administration and reflects disposition authority granted under Standard Form 115 job number N1-406-08-11. This schedule is media neutral, i.e., the disposition instructions apply to the described records in all media (including electronic information), unless the schedule identifies a specific medium for a specific series. For administrative records not covered below, HCC will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

 

CHFC 1 Administrative Files.
Contain correspondence; personnel material; training material; budget material; daily, weekly, monthly and bi-weekly reports; communications with the Department of Transportation (DOT) General Counsel and other agencies; meeting materials; and other related documents pertaining to the daily operation of the office. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-08-11/1)

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

 

CHFC 2 RESERVED.

 

CHFC 3 Bridge Toll Files.
Files contain general correspondence, Congressional inquiries, correspondence from the general public, reports, proceedings in bridge toll regulatory matters and Administrator Order's thereof. (N1-406-08-11/2)

DISPOSITION: Temporary. Place in inactive file when case is closed. Cut off inactive file at end of fiscal year. Transfer to the Federal Records Center (FRC) 10 years after cutoff. Destroy 20 years after cutoff.

 

CHFC 4 RESERVED.

 

CHFC 5 Civil Rights Files.
Consist of correspondence, significant civil rights court decisions, background material, statistical data and other documents related to efforts to provide legal services with regard to the FHWA Civil Rights program, equal opportunity program, and labor compliance program. This includes any material that pertains to cases that involve Title VI and Title VII of the Civil Rights Act of 1964. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-08-11/3)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 6 years after cutoff.

 

CHFC 6 Contract Files.
Consist of correspondence and information concerning contract authority, contract compliance and contract claims and related papers providing legal services in the negotiations, drafting, execution, and administration of Federal or Federal-aid contracts to include contracts for highway construction and procurement on research and development. (N1-406-08-11/4)

DISPOSITION: Temporary. Cut off files at the end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 6 years after cutoff.

 

CHFC 7 Suspension and Debarment Files.
Consist of correspondence, memoranda, and other papers pertaining to the suspension or debarment of a contractor. (N1-406-08-11/5)

DISPOSITION: Temporary. Review files quarterly. Destroy in Agency when 3 years old.

 

CHFC 8 Federal Docket Management System (FDMS), Rulemaking, Non-Rulemaking, and Working Files.
This item covers Non-Rulemaking Files, Regulations Working Files, and Docket Files, including those electronic files in the FDMS, submitted in accordance with NARA Memorandum NWM 17.2008, Memorandum to Federal Agency Contacts: NARA issues Electronic Recordkeeping FAQ for agencies using the Federal Docket Management System (FDMS), issued May 16, 2008. (N1-406-08-11/6)

  1. Public Docket Files (Federal Register).
    Contain notices related to rulemaking, advance notices of proposed rulemaking; notices of proposed rulemaking; comments received in response to notices related to rulemaking; petitions for rulemaking and consideration; denials of petitions and reconsideration; records of additional rulemaking proceedings; and final rules as published. The dockets also contain research studies, transcripts or notes of public meetings, slides, photographs, or other related material. Audiovisual materials are located in the supplemental information files which are maintained with the docket. (N1-406-08-11/6a)

    DISPOSITION: PERMANENT.

    1. Paper only: Transfer to Federal Records Center (FRC) 3 years after close of file. Transfer to National Archives and Records Administration (NARA) 10 years after close of file. (N1-406-08-11/6a(1))

    2. Electronic only: Transfer directly to NARA 10 years after close of file in acceptable format, in accordance with 36 CFR 1235, Subpart C. (N1-406-08-11/6a(2))

    3. Original docket files or records optically scanned by FDMS: Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later. (GRS 5.2, item 020)

    4. FDMS copy of docket files or records: Transfer directly to NARA 10 years after close of file in acceptable format, in accordance with 36 CFR 1235, Subpart C. (N1-406-08-11/6a(4))

  2. Non-rulemaking Notices. Contain notices related to FHWA programs and activities; comments received in response to notices; and research studies, slides, or other related materials. (N1-406-08-11/6b)

    DISPOSITION: Temporary. Review files at end of fiscal year. Destroy in Agency when 7 years old.

  3. Regulations Working Files. Contain notes, background material, public information, drafts, memorandums of law, and internal comments on proposed documents. Contain materials both in hard copy and electronic format, whether by electronic mail or word processing systems, and used solely to generate a record keeping copy of records covered by other items in this schedule. Also includes paper and electronic copies of records related on electronic mail and word processing systems that are maintained for updating, revision, or dissemination. Includes copies maintained by individuals in personal files, personal electronic mail directories, or other directories on hard disk or network drives, and copies on shared network drives that are used only to produce the record keeping copy. (N1-406-08-11/6c)

    DISPOSITION: Temporary. Review files 3 years after close of file. Destroy in Agency when 3 years old and after the record keeping copy has been produced.

 

CHFC 9 Eminent Domain and Acquisition Files.
Consist of draft copies of deeds, memorandums of agreement and background material related to inspection of States condemnation practices and procedures, court cases, requests for information on condemnation procedures, answering complaints and inquiries from the general public, and Federal Land Transfers and Land Acquisitions in relation with other Federal agencies. Also contain background material, general correspondence, and legal reviews of State Highway Departments acquisition functions. (N1-406-08-11/7)

DISPOSITION: Temporary. Place in inactive file when case is closed. Cut off closed case file at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 10 years after cutoff.

 

CHFC 10 Environmental Files.
Contain correspondence, comments made on proposed regulations published in the Federal Register, legal opinions, requests for legal opinions, regulations, guidelines on environmental policies, and reviews on environmental impact statement laws. (N1-406-08-11/8)

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

 

CHFC 11 Environmental Impact Statement (EIS) Review Legal Files.
Contain general correspondence, background material, and reviews by FHWA for all State and field offices on the legal aspects of the EIS. (N1-406-08-11/9)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 10 years after cutoff. Destroy 20 years after cutoff.

 

CHFC 12 Federal Participation Policy Files.
Contain correspondence; material submitted for review and evaluation relative to compliance with Federal requirements; and requests to FHWA for hardship approval or for information about the acquisition of real property. (N1-406-08-11/10)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 8 years after cutoff.

 

CHFC 13 Field Studies Legal Files.
See CHFC 9, Eminent Domain and Acquisition Files.

 

CHFC 14 RESERVED.

CHFC 15 Freedom of Information Act (FOIA Files). See GRS 4.2, items 001, 020, 040, and 070.

 

CHFC 16 Government Relations Files.
Contain general correspondence from other Federal agencies, general correspondence and legal opinions from the States, and their comments and recommendations on disagreements with Federal agencies regarding the mortgage insurance policies and related legal opinion documents. (N1-406-08-11/12)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 5 years after cutoff.

 

CHFC 17 RESERVED.

CHFC 18 RESERVED.

 

CHFC 19 Highway Safety Files.
Contain hearings involving the highway safety program, legal interpretations, memorandums of eligibility for Federal funding, highway safety legislation, and general correspondence on State and community highway safety programs. (N1-406-08-11/13)

DISPOSITION: Temporary. Cut off at end of fiscal year. Destroy in Agency 10 years after cutoff.

 

CHFC 20 Highway Beautification.
Contain general correspondence, reports, drafts of State bills pertaining to Highway Beautification, junkyards, outdoor advertising, billboards, legal opinions and reviews of papers from States on revisions of the Highway Beautification Act. (N1-406-08-11/14)

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

 

CHFC 21 Impoundment Legislation Files.
Consist of general correspondence, court papers, background material, and final draft forms. These are all closed cases involving litigation of appropriation of funds and limitations imposed by FHWA on Federal-aid highway funds appropriated to the States. (N1-406-08-11/15)

DISPOSITION: Temporary. Place in inactive file when case is closed. Cut off inactive file at end of fiscal year. Destroy in Agency 3 years after cutoff.

 

CHFC 22 Legal Precedent Files.
Consist of opinions, interpretations of the law, copies of implementation of the statutes, notes, articles, background reviews, and documents related to Title 23 CFR. This material is maintained by the Legislation and Regulations Division and is used by the attorneys as legal research material. (N1-406-08-11/16)

DISPOSITION: PERMANENT.

  1. If paper: Transfer to FRC when 10 years old. Transfer to National Archives when 25 years old.

  2. If electronic: Transfer directly to NARA when 10 years old, in accordance with 36 CFR 1235, Subpart C.

 

CHFC 23 Legislation Bills Files.
Contain information on Congresses which includes correspondence, comments, draft proposed legislation, minutes of meetings of testimony made before committee hearings, and reports pertaining to highway legislation with other agencies. (N1-406-08-11/17)

DISPOSITION: Temporary. Place in inactive file after bill has either been passed or killed. Cut off inactive file at end of fiscal year. Destroy 10 years after cutoff.

 

CHFC 24 Litigation Files.
Contain pending active cases and memoranda pertaining to court cases, trials, administrative hearings, etc. Files also contain correspondence, court papers, background material and other general documents. (N1-406-08-11/18)

DISPOSITION: Temporary. Cut off files after case is closed. Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff.

 

CHFC 25 Monthly Reports.
Files contain monthly reports from the field Counsels, which include court cases. (N1-406-08-11/19)

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

 

CHFC 26 Organization Files.
Contain general correspondence and information about research organizations and national associations such as the Highway Research Institute, National Highway Institute, and the Federal Advisory Research Board. (N1-406-08-11/20)

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

 

CHFC 27 General Ethics Program Records.
Records created and maintained to coordinate and manage FHWA’s ethics program. Records relate to the development, review, implementation, and interpretation of proposed or established executive branch standards of ethical conduct and other ethics regulations; conflict of interest and other ethics-related statutes and Executive Orders; and any agency supplemental standards of ethical conduct and other agency ethics-related regulations and directives. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (GRS 2.8, item 010)

DISPOSITION: Temporary. Destroy 6 years following the conclusion of an ethics regulatory review, provision of advice to an employee, making a determination regarding outside employment or after such determination is no longer in effect or applicable, or when no longer needed for an active investigation; whichever is later, but longer retention is authorized if required for business use. NOTE: For other Employee Ethics-related records, see GRS 2.8.

 

CHFC 28 Privacy Act Files.
Consist of correspondence, original requests, and copies of replies pertaining to an individual's request documents that may contain information pertaining to him/her. These are reference copies only. (The Office of the Associate Administrator for Administration maintains the record material). These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (GRS 4.2, item 001)

DISPOSITION: Temporary. Destroy when 3 years old, but longer retention is authorized if needed for business use.

 

CHFC 29 Program Files.
Contain general information on the American Association of State Highway and Transportation Officials (AASHTO), minutes of meetings, press releases, Congressional reports, funding reports, drafts of hearings, highway acts and testimonial statements from Congress, and inquiries involving legislative matters pertaining to the activities of the Legislation and Regulations Division. This is a reference copy for the Office of Chief Counsel. (N1-406-08-11/23)

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

 

CHFC 30 Reference Files.
Contain copies of information not scheduled elsewhere in this schedule which are used as ready reference on subjects of current or ongoing interest. These files may contain copies of publications, directives, pictures, correspondence and the like. Official file copies are not to be placed in these files nor are the files to be considered pending files where official file copies are kept on a tentative basis. (N1-406-08-11/24)

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

 

CHFC 31 Regulations (CFR) Files.See CHFC 8, Federal Docket Management System (FDMS), Rulemaking, Non-Rulemaking, and Working Files.

CHFC 32 RESERVED.

CHFC 33 State Toll Bridges. See CHFC 3, Bridge Toll Files.

 

CHFC 34 State Files.
Consist of court cases memoranda, background material, and other related papers in connection with Federal participation in claims awards made by States to Federal-aid contractors concerning construction projects. (N1-406-08-11/25)

DISPOSITION: Temporary. Place in closed case file when case is closed. Cut off closed case file at end of fiscal year. Destroy in Agency 3 years after cutoff.

 

CHFC 35 Tort Files.
Consist of correspondence, letters, dates, memoranda, and supporting documents related to tort claims which are processed by the Administrative and Technology Law Division under the Federal Tort Claims Act. (N1-406-08-11/26)

DISPOSITION: Temporary. Place in closed case file when case is closed. Cut off closed case file at end of fiscal year. Destroy in Agency 3 years after cutoff.

 

CHFC 36 Public Financial Disclosure Reports (OGE Form 278 and related records).  See GRS 2.8, items 060, 061, 062, 063.

CFHC 37 Confidential Financial Disclosure Reports (OGE Form 450, Form 450-A, and related records).  See GRS 2.8, items 070, 071, 072.

Page last modified on February 6, 2020
Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000