U.S. Department of Transportation
Federal Highway Administration
1200 New Jersey Avenue, SE
Washington, DC 20590
202-366-4000
This schedule covers records maintained by the Office of Innovative Program Delivery (HIN) in the Washington Headquarters Office of the Federal Highway Administration and reflects disposition authorities granted under Standard Form 115 job numbers N1-406-09-7 and N1-406-09-11 and Records Schedule Numbers DAA-0406-2013-0001, DAA-0406-2013-0002, and DAA-0406-2014-0002. 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, HIN will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).
HIN 1 Transportation Infrastructure Finance and Innovation Act (TIFIA) Program Files.
The Transportation Infrastructure Finance and Innovation Act of 1998 (TIFIA) established a Federal credit program for eligible transportation projects of national or regional significance under which the U.S. Department of Transportation (DOT) may provide three forms of credit assistance – secured (direct) loans, loan guarantees, and standby lines of credit. The program's fundamental goal is to leverage Federal funds by attracting substantial private and other non-Federal co-investment in critical improvements to the nation's surface transportation system. The DOT awards credit assistance to eligible applicants, which include State departments of transportation, transit operators, special authorities, local governments, and private entities. The TIFIA files consist of formal applications, project sponsor presentation materials, internal project information, notes, e-mails, financial advisors reports, legal negotiation files, closing documents, background materials, term sheets, amendments, cash flow transactions, disbursement and borrowing transaction documents, applications denied, and bound loan agreements. (N1-406-09-11)
DISPOSITION: Destroy at the end of the fiscal year. (N1-406-09-11/1a)
DISPOSITION: Cut off files after project is closed.
If paper: Transfer to the Federal Records Center (FRC) after cut off. Destroy 7 years after cut off. (N1-406-09-11/1b(1))
HIN 2 Major Project Files. See HIF 190.
HIN 3 State Infrastructure Banks (SIBs) Program Files.
SIBs are State-run revolving funds that make loans, provide credit enhancements, and other forms of non-grant assistance to surface transportation projects. The SIB Program files are arranged by State, for about 40 States. They are records of applications to create SIBs, grant awards by the USDOT for the creation of each SIB, Cooperative Agreements between individual State DOTs and the FHWA when the SIB was created, and some annual reports submitted by the SIBs. (DAA-0406-2014-0002-0001)
DISPOSITION: Cut off Files upon the closure of the SIB. Destroy 10 years after cutoff.
HIN 4 Section 129 Loan Files.
A section 129 loan is a loan to a road or bridge using FHWA formula grants, and it is encouraged as an alternative lending program to those States that never created a SIB. Files include applications, loan agreements, and related correspondence by the three States which were granted Section 129 loans. (DAA-0406-2014-0002-0002)
DISPOSITION: Cut off files once the loan is no longer outstanding. Destroy 10 years after cutoff.
HIN 5 Grant Anticipation Revenue Vehicle (GARVEE) Files.
A GARVEE enables a State to pay debt service and other bond-related expenses with future Federal-aid highway funds. GARVEE Files consist of formal expression of interest and responses, applications, approvals, general correspondence, financial plans, and bond-related documents. (DAA-0406-2014-0002-0003)
DISPOSITION: Cut off files once the bond(s) is no longer outstanding. Destroy 10 years after cutoff.
HIN 6 Special Experimental Project 15 (SEP-15) Files.
The SEP-15 process enables FHWA to identify and evaluate new public-private partnership approaches to project delivery. Via SEP-15, State DOTs can propose non-traditional methods of contracting, environmental compliance, right-of-way acquisition, project finance, etc., for Federal-aid projects. If accepted, the FHWA provides temporary waivers of policy, guidance, regulation, or law in order to test and evaluate the proposed method for eventual adoption. The SEP-15 files consist of general correspondence, project proposals, application letters, justifications, approval letters, notes, background material, summaries, and reports both interim and final. (DAA-0406-2013-0001-0001)
DISPOSITION: Cut off files at the close of the project. Destroy 10 years after cutoff.
HIN 7 Test and Evaluation Project (TE-045) Files.
The TE-045 process enables FHWA to identify and evaluate innovative approaches to financial management of the Federal-aid program. Via TE-045, State DOTs can propose alternative methods of cost allocation, reimbursement calculations, non-Federal financial matching requirements, etc., for the Federal-aid program. If accepted, the FHWA provides temporary waivers of policy, guidance, regulation, or law in order to test and evaluate the proposed method for eventual adoption. The TE-045 files consist of general correspondence, project proposals, application letters, justifications, approval letters, notes, background material, summaries, and reports both interim and final. (DAA-0406-2013-0001-0002)
DISPOSITION: Cut off files at the close of the project. Destroy 10 years after cutoff.
HIN 8 Federal Tolling Programs Files.
Federal tolling programs administered by HIN include the Section 129 General Tolling Program; the Interstate System Reconstruction and Rehabilitation Pilot Program; and the Interstate System Construction Toll Pilot Program. Program files may include, but are not limited to, formal tolling expressions of interest and responses, program applications, approvals, executed tolling agreements, tolling memorandums of understanding (MOUs), and correspondence letters. (DAA-0406-2013-0002)
Tolling Agreements and MOUs. Executed tolling agreements and tolling memorandums of understanding (MOUs).
DISPOSITION: Close Agreement or MOU files upon final approval/execution. Cut off files at the end of fiscal year. Destroy 10 years after cutoff. (DAA-0406-2013-0002-0001)
Other Tolling Program Files. Formal tolling expressions of interest and responses, program applications, approvals, and correspondence letters.
DISPOSITION: Cut off files at the end of each fiscal year. Destroy 10 years after cutoff. (DAA-0406-2013-0002-0002)
HIN 9 Every Day Counts (formerly Highways for LIFE) – INNOVATOR Newsletter.
This file contains the record copy of a newsletter published bi-monthly by the FHWA Center for Accelerating Innovation and posted online for its audience of transportation professionals in highway agencies, trade and research groups, academia, the private sector, and the driving public. The newsletter contains reports and studies on different projects by the States on highway construction. The newsletter is available at http://www.fhwa.dot.gov/hfl/innovator/. (N1-406-09-7/94)
DISPOSITION: PERMANENT. Cut off at end of calendar year. Transfer electronic copies to National Archives 1 year after cutoff, in accordance with 36 CFR 1235, Subpart C.
