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FHWA Records Disposition Manual (Field Offices)

CHAPTER 3

This schedule covers records relating to engineering and operations maintained in the Federal-Aid Divisions (field offices) of the Federal Highway Administration and reflects disposition authorities granted under NC1-406-85-6/24, N1-406-90-2, N1-406-09-8, N1-406-09-10, N1-406-09-19, and the General Records Schedules (GRS). This schedule is media neutral, i.e., the disposition instructions apply to the described records in all media (including electronic information), unless the schedule identifies a specific medium for a specific series. For administrative records not covered below, field offices will follow the FHWA Records Disposition Schedule for Field Office Administrative Records in Chapter 1 and the GRS.

 

ENGI 1 Access Interchange Requests.
Requests from States for approval to construct interchanges on completed sections of the Interstate System, including State requests and justifications, correspondence, and analysis and recommendations of FHWA. (N1-406-09-19/1)

DISPOSITION: Place in inactive file after completion of interchange. Cut off inactive file at end of fiscal year. Destroy 10 years after cutoff.

 

ENGI 2 Defense Access Roads (STRANET).
General correspondence on the review and approval of defense access proposals which are maintained on a per State basis. (N1-406-09-19/2)

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

 

ENGI 3 Annual Inspection Reports. See ENGI 23.

 

ENGI 4 RESERVED.

 

ENGI 5 Bid Price Reports.
Reports on the average bids for all highway contracts, average estimates and the disparity between bid estimates and engineering estimates. (N1-406-09-19/3)

DISPOSITION: Place in inactive file after completion of project. Cut off inactive file at end of fiscal year. Destroy 12 years after cutoff.

 

ENGI 6 Stewardship Agreement Files.
Correspondence with States concerning their certification acceptance programs, including copies of certificates of agreements, questions on rules and procedures from States, revisions to the programs, and agreements from States who have chosen to be under the certification plan. (N1-406-09-19/4)

  1. All materials except stewardship agreements. (N1-406-09-19/4a)

    DISPOSITION: Destroy when 10 years old or when no longer needed for business needs, whichever is later.

  2. Stewardship agreements. N1-406-09-19/4b)

    DISPOSITION: Destroy 3 years after superseded.

     

ENGI 7 Consolidated Compliance Reviews.
Reviews and evaluations of all significant construction employment in a specific geographical area. (GRS 1/25d1)

DISPOSITION: Cut off at end of fiscal year. Destroy 7 years after cutoff.

 

ENGI 8 Contract Administration.
Information on contract administration, construction inspection procedures, certification acceptance, fuel conservation, anti-inflation materials certification, value engineering, etc. (N1-406-09-19/5)

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

 

ENGI 9 Contractor's Reports. See ENGI 23.

 

ENGI 10 RESERVED.

 

ENGI 11 Construction Safety and Health.
Information and policy on the OSHA program and Traffic Control and Safety through Construction and Maintenance Zones. (N1-406-09-19/6)

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

 

ENGI 12 Cooperation (Construction and Maintenance). See ENVI 11.

 

ENGI 13 Cost of Construction Files. See ENGI 5.

 

ENGI 14 Design Policy and Procedures.
Correspondence and related material specific to policy guidance on design matters include roadside development, roadway design, hydraulics, preliminary engineering, and consultants. (N1-406-09-19/7)

DISPOSITION: PERMANENT. Transfer paper records to the Federal Records Center (FRC) one year after superseded. Offer to the National Archives and Records Administration (NARA) 25 years after superseded. Transfer electronic records and related documentation one year after superseded, according to 36 CFR 1235, Subpart C, or whatever standards are in place at the time of transfer.

 

ENGI 15 Design Standards.
Approved State design standards and drawings and correspondence related to their review and approval. (N1-406-09-19/8)

DISPOSITION: Place in inactive file after payment of final voucher. Cut off inactive file at end of fiscal year. Destroy 7 years after cutoff.

 

ENGI 16 Discretionary Program Files. See ADMS 103.

 

ENGI 17 Emergency Operating Facilities. See ENGI 18.

 

ENGI 18 Continuity of Operations (COOP) Files.
Leases, letters of agreement, floor plans, and correspondence related to administration and operation of emergency operating facilities security and protective services programs. Files also consist of correspondence, reports, bulletins, and other information relating to the emergency plans and disaster assistance plans. Includes correspondence with and plans and materials issued by other Department of Transportation (DOT) modal administrations, other Federal agencies, State and local governments, and Division offices. Includes information on specific disasters, strikes, and other crises. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-19/9)

DISPOSITION: Reviewed annually. Destroy in Agency when superseded by another COOP plan.

 

ENGI 19 Emergency Relief Files.
Determinations as to whether a particular State is eligible for emergency relief, information on allocation of funds, and correspondence with field offices and other related material that is used to administer the Emergency Relief Program. (N1-406-09-19/10)

DISPOSITION: Cut off after State receives its requested emergency relief reimbursement. Destroy 10 years after cutoff.

 

ENGI 20 9-11 Emergency Relief Files - New York Division.
Records similar to those described under ENGI 19, but this material relates to the New York Division Office involvement in the September 11, 2001 (9-11) attacks response and recovery. Case file was and is maintained by the New York Division Office in Albany. The Division anticipates the closing of the file in 2012. (N1-406-09-8/1)

DISPOSITION: PERMANENT. Transfer to the FRC 5 years after closure of file. Transfer to the National Archives 10 years after closure of file.

 

ENGI 21 Environmental Controls. See ENVI 12.

 

ENGI 22 Federal-aid Annual Program Files. See ENGI 23.

 

ENGI 23 Federal-aid Project (FAP) Files

  1. Federal-Aid Project (FAP) Files, October 1, 1966 and after. Project Agreement, Project Agreement Modification and other Federal-Aid project documentation, including Letter of Authorization, Inspection Reports, Final Voucher; supporting documentation, including railroad and utility bills and agreement (when applicable), copy of construction contract and extra work or change order; and pertinent correspondence and documents not otherwise provided for in this schedule, including auditors work paper, final test report, right-of-way certificates of maps. This series also includes projects involving preliminary engineering or advance acquisition of right-of-way and interstate system FAP projects files as approved under disposition authorities NC1-406-85-6/24-1A and 1B and 2. These records may contain sensitive and/or personal identifiable information and require controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002). (N1-406-09-19/11)

    DISPOSITION: Place in inactive file after payment of final voucher. Cut off inactive files at the end of the fiscal year. Transfer to inactive storage one year after cutoff. Destroy 25 years after cutoff.

    NOTE: If there are any particular FAP case files that contain sufficient historical value to warrant permanent retention, FHWA will identify such projects on an SF 115 for individual appraisal. For FAP records prior to October 1, 1966, FHWA will follow disposition authorities under N1-406-90-2 (Project Agreement and Project Agreement Modification) and NC1-406-85-6/24 (Federal-Aid Project Plan Files and other Federal-Aid Projects).

  2. Project Agreement and Project Agreement Modification, pre-October 1, 1966. (N1-406-90-2/1a)

    DISPOSITION: PERMANENT. Remove project agreement and modification from project file after payment of final voucher. Place in separate inactive file. Cut off inactive file in 5-year blocks at end of fiscal year. Transfer to FRC 1 year after cutoff. Transfer to NARA in 5-year blocks when the oldest record is 10 years old.

  3. Other Federal-Aid Project Documentation pre-October 1, 1966. Including Letter of Authorization, Inspection Report, Final Voucher, supporting documentation, including railroad and utility bills and agreement, when applicable, PR-45s and PR-47s, copy of construction contact and extra work or change order, pertinent correspondence and documents not otherwise provided for in this schedule, including audit work papers, final test report, right-of-way certificates of maps. Also includes projects involving preliminary engineering or advance acquisition of right of way. (N1-406-90-2/1B)

    DISPOSITION: Place in inactive file after payment of final voucher. Cut off inactive files at the end of fiscal year. Transfer to FRC 1 year after cutoff. Destroy 11 years after cutoff.

  4. Central Artery/Tunnel Project Records, Massachusetts Division. Federal-aid Project Files for the Central Artery/Tunnel Project (Big Dig), a mega project that re-routed the Central Artery (Interstate 93), the chief highway through the heart of Boston, into a 3.5 mile (5.6 km) tunnel under the city. The project also included the construction of the Ted Williams Tunnel (extending Interstate 90 to Logan International Airport), the Leonard P. Zakim Bunker Hill Memorial Bridge over the Charles River, and the Rose Kennedy Greenway in the space vacated by the previous I- 93 elevated roadway. The project, the most expensive highway project in the U.S., concluded on December 31, 2007. Records consist of records of FHWA decision-making, annual reports, construction and contract data with modifications, environmental data and assessments, public meetings and comments as well as interagency meetings, historical reports, project planning and engineering data and reports, status reports, financial and audit records, information on leaks. (N1-406-09-10/1)

    DISPOSITION: PERMANENT. Offer to NARA in 2015, seven years after completion of project.

     

ENGI 24 Federal-Aid Project Plan Files, pre-October 1, 1966.

  1. Interstate System Projects. (NC1-406-85-6/24-1)

    (1) Title sheet, typical cross-section sheet; plan and profile sheets, special layout sheets showing geometric features. (NC1-406-85-6/24-1A)

    DISPOSITION: Transfer to FRC at end of year in which final voucher is paid. Destroy 10 years after payment of voucher.

    (2) Right-of-Way Maps. (NC1-406-85-6/24-1B)

    DISPOSITION: PERMANENT. Cut off and transfer to FRC at end of year in which final voucher is paid. Transfer to the National Archives 10 years after cutoff.

  2. Other Federal-Aid Projects. Title sheet, typical cross-section sheet, special layout sheet showing geometric features. (NC1-406-85-6/24-2)

    DISPOSITION: Cut off and transfer to FRC at end of year in which final voucher is paid. Destroy 20 years after cutoff.

     

ENGI 25 Federal-Aid System Files. See TRAP 38.

 

ENGI 26 RESERVED.

 

ENGI 27 Field Trip Reports. See ENGI 23.

 

ENGI 28 Force Accounts Files.
FHWA rules, regulation and policy on force account work relative to construction. (N1-406-09-19/12)

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

 

ENGI 29 Geometric Design Files. See ENGI 23.

ENGI 30 RESERVED.

ENGI 31 Hydraulics Files. See STRC 10..

ENGI 32 Inspections, Construction. See ENGI 23.

ENGI 33 RESERVED.

ENGI 34 RESERVED.

ENGI 35 RESERVED.

ENGI 36 RESERVED.

ENGI 37 RESERVED.

ENGI 38 Map Files. See TRAP 39.

 

ENGI 39 Materials (Construction and Maintenance) Files.
Contains information and correspondence relative to price adjustments, material and fuel shortages, specifications, experimental and demonstration projects, AASHTO Material Reference Laboratory and Cement and Concrete Reference Laboratory evaluations of State laboratories, usage factors, tests, etc. (N1-406-09-19/13)

DISPOSITION: Destroy when superseded, obsolete, or after 5 years, whichever comes first.

 

ENGI 40 RESERVED.

 

ENGI 41 RESERVED.

 

ENGI 42 Pavement Management Files.
Correspondence, copies of directives and technical information, training material, and other related materials. (N1-406-09-19/14)

DISPOSITION: Destroy when superseded, obsolete or after 5 years, whichever comes first.

 

ENGI 43 Non-Motorized Needs Files (formerly Pedestrian Needs Files). See TRAP 40.

 

ENGI 44 Process and Program Review Files.
Reports, working papers, and other supporting documentation pertaining to maintenance reviews and reviews of the various construction phases at State highway agencies. (N1-406-09-19/15)

DISPOSITION: Cut off files at end of fiscal year. Destroy 10 years after cutoff.

 

ENGI 45 RESERVED.

 

ENGI 46 Quality Assurance Files.
Files concerning construction associated with the assurance of a quality highway project, including training courses, correspondence, copies of speeches, and other related material. (N1-406-09-19/16)

DISPOSITION: Cut off files at end of fiscal year. Destroy 10 years after cutoff.

 

ENGI 47 Radiological Emergency Response Plans (RERP). See ENGI 18.

 

ENGI 48 Railroad Files.
Policy and correspondence in regard to specific proposals for the protection of and elimination of railroad grade crossings within each State. Also includes correspondence in regard to application of policy on railroad right-of-way and abandonment. (N1-406-09-19/17)

DISPOSITION: Destroy 3 years after completion of the project or when the policy is superseded, whichever comes first.

 

ENGI 49 Resurfacing, Restoration and Rehabilitation (RRR) Files.
Information, draft regulations, and review comments on proposed geometric standards and policies for RRR type projects. (N1-406-09-19/18)

DISPOSITION: Destroy 3 years after adoption of regulation.

 

ENGI 50 RESERVED.

ENGI 51 RESERVED.

ENGI 52 RESERVED.

ENGI 53 Specifications Correspondence. See ENGI 54.

 

ENGI 54 Specifications Files.
Include construction project specifications and special provisions along with related correspondence, including AASHTO specifications, publications, ASTM standards, and copies of the State's standard specifications and special provisions, and approval actions taken on State's specifications. (N1-406-09-19/19)

DISPOSITION: Cut off files at end of fiscal year. Destroy 10 years after cutoff.

 

ENGI 55 RESERVED.

ENGI 56 RESERVED.

ENGI 57 Highway Systems Correspondence. See TRAP 41.

 

ENGI 58 Traffic Control Subject Files.
Traffic control standards and specifications, including background information, correspondence, and standards for traffic control such as road markers, traffic signs, etc. (N1-406-09-19/20)

DISPOSITION: Cut off at end of fiscal year. Transfer to the FRC 5 years after cutoff. Destroy 15 years after cutoff.

 

ENGI 59 Traffic Operation References. See ENGI 58.

ENGI 60 RESERVED.

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