FHWA Records Disposition Manual
Federal Lands Highway Division Offices

CHAPTER 1

This schedule covers records maintained in the Federal Lands Highway (FLH) Divisions of the Federal Highway Administration (FHWA) and reflects disposition authorities granted under N1-406-09-2, N1-406-09-3, N1-406-10-2, DAA-0406-2013-0003-0001, 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, offices will follow the GRS.

FLHD 1 Project Files

1. Final Construction Reports. Final reports that pertain to those FLH projects in which projects FHWA, rather than the State, is the contracting authority, documenting the planning, design, and construction for the following kinds of roads – Forest Highways (FH), National Park Service (NPS), Emergency Relief Program (ERFO), Refuge Roads (RRP), Bureau of Land Management (BLM), Indian Reservation Roads (IRR), and Defense Access Roads. Final construction reports include (but are not limited to) project descriptions, project data (specifications, contracting information, etc.), construction information, construction engineering records, and other documents including location maps, as-built drawing copies, photographs, final voucher, and other related information. (Follow the instructions in the FHWA Construction Manual, Chapter 12, Appendix 12A.1, regarding what is required to be included in the official Final Construction Report for each project.) (N1-406-09-2/4a)

   DISPOSITION: PERMANENT. Transfer to the Federal Records Center (FRC) 1 year after completion of project. Transfer to the National Archives and Records Administration (NARA) 15 years after completion of project. Electronic records will be transferred in accordance with 36 CFR 1235, Subpart C.

2. Supplemental Documentation. Files pertain to those FLH projects in which FHWA, rather than the State, is the contracting authority and contain copy of contract, intermediate and final project reports, copies of change and extra work orders, suspend and resume orders, contract modifications and all pertinent correspondence pertaining to the project, field notebooks, materials test reports and construction plans, Right-of-Way files, structural design computations for loading and deflecting, and topographic maps. (N1-406-09-2/4b)

   DISPOSITION: Temporary. Transfer to FRC 1 year after completion of project. Destroy/delete 10 years after completion of project.

    

FLHD 2 Central Federal Lands Highway Division Materials Laboratory Management System.
This system provides software, hardware and network support and security for specialized, stand-alone lab equipment used to conduct testing of highway construction materials in accordance with national specifications and accreditation criteria. It provides tracking of highway construction materials, laboratory samples and associated monthly project testing billing. It supports the Delphi Finance System. (N1-406-10-2)

1. Inputs. Oracle data entry application using an Oracle database for data storage. Sources include sample transmittals and laboratory test reports. (GRS 5.2, item 020)

   DISPOSITION: Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

2. Master files. Consist of materials sample logs, archived and sample logs, and materials billing data. Samples are logged as they arrive from various field locations for use in reporting and billing on a year-by-year basis. Fixed pre-established test fees and overhead factors are used to calculate monthly testing billing on a project-by-project basis. Includes sample tracking and associated monthly testing billing. For each test, a pre-established fixed test fee is added to the test fee and multiplied by a fixed overhead factor of 2.5 to establish monthly billing charges. Monthly billing charges are duplicated in the Delphi Finance System. (N1-406-10-2/2)

   DISPOSITION: Temporary. Cut off at end of fiscal year. Delete or destroy 10 years after cutoff.

3. Outputs. Sample log reports, archived log reports, and monthly testing billing on a project-by-project basis. (N1-406-10-2/3)

   DISPOSITION: Temporary. Delete or destroy with related records or when the agency determines that they are no longer needed for administrative purposes, whichever is later.

4. System Documentation. Data systems specifications, file specifications, codebooks, record layouts, user guides, output specifications, and final reports (regardless of medium) relating to a master file, database or other electronic records. (GRS 3.1, item 051)

   DISPOSITION: Temporary. Destroy 5 years after the project/activity/transaction is completed or superseded, or the associated system is terminated, or the associated data is migrated to a successor system.

5. Backup Tapes. Electronic copy of the master files for the MLM system and retained in case the database is damaged or inadvertently erased. Updates are performed as needed by users and monthly as project billing charges are applied. The database is backed up on a daily basis using Oracle backup to disk and Veritas backup to tape. (GRS 3.2, item 010)

   DISPOSITION: Temporary. Destroy 1 year after system is superseded by a new iteration or when no longer needed for agency/IT administration purposes to ensure a continuity of security controls throughout the life of the system.

FLHD 3 Administrative Files.
Files include, but not limited to, correspondence, directives, memoranda, briefing materials, reports, speeches, research material relating to a variety of FLH Division’s issues, and policy and procedural documentation reviewed and signed by the Division Director. Files include contact with outside organizations, including other Federal agencies. Files also include outreach and communication, program review and evaluation, performance, planning, civil rights, acquisition management, information technology systems and technology, finance, information and analysis, Equal Employment Opportunity, Standard Operating Procedures (SOPs) and Memorandums of Agreement (MOAs). (N1-406-09-2/1)

DISPOSITION: Temporary. Cut off at end of fiscal year. Transfer to FRC 1 year after cutoff. Destroy 5 years after cutoff.

FLHD 4 Contract Files.
Files that include all service contract/task orders and agreements. (GRS 1.1, item 010)

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

FLHD 5 Finance Files.
Files include all vendor payments, batch files, credit card statements, time records, travel vouchers. (GRS 1.1, item 010)

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

FLHD 6 Engineer's Estimate, Bidding, Award, and Construction System (EEBACS) Master Files.
EEBACS is a system that provides for estimation, solicitation/award, and contract administration of FLH's highway/bridge construction projects. It consists of a series of components that track the costs of highway construction from the project's inception through construction and final acceptance of the project by our partners. The Master Files consist of general project data (such as type, length, location, partner agency, funding type, etc.), engineer's estimates, unit price analysis, summary of quantities, design summary data, bid schedules, bid tabulations, bid error report, low bid schedule, progress payment reports, inspector daily reports, contractor daily reports, project engineer's daily diary, periodic construction status data, and supporting attached documents. (DAA-0406-2013-0003-0001)

DISPOSITION: Temporary. Cut off at the end of the fiscal year after the construction project has been closed out. Destroy 10 years after cutoff or when the Agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes, whichever is later.

FLHD 7 Audit Case Files.
Case files of internal and external audits of Agency programs, operations, procedures, audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-09-3/48)

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