FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 7

This schedule covers records maintained by the Office of Operations (HOP) in the Washington Headquarters Office of the Federal Highway Administration and reflects disposition authorities granted under Standard Form 115 job numbers N1-406-06-3 and N1-406-09-4, and records schedule number DAA-0406-2013-0002 . 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, HOP will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

 

HOP 1 Administrative Files.
Include personnel files (position descriptions, time and attendance cards, requests for personnel actions), training information (requests for training, records of personnel involved in training), travel vouchers and travel orders, budget estimates, and internal reports. Also included in these files are progress reports and highlights. (N1-406-09-4/1)

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

 

HOP 2 Continuity of Operations (COOP) Plans.
COOP plans are procedures for continuing essential operations and relocating essential personnel and records to an alternate site in the event of an emergency situation. (GRS 5.3, item 010).

DISPOSITION: Destroy when 3 years old or 3 years after superseded or obsolete, whichever is applicable.

 

HOP 3 Contract Administration Project Files.
Files on direct Federal projects that have been let. They include project status reports, reports by engineers supervising the project, correspondence concerning the projects, and contractor and subcontractor agreements. These files are used for program evaluation. (N1-406-09-4/3)

DISPOSITION: Destroy l year after project is completed, except for documents that are deemed to be of longer term reference value, which should be evaluated 3 years after project completion for destruction.

 

HOP 4 Emergency Operations Program Administrative Correspondence Files.
Correspondence files relating to administration and operation of the FHWA Emergency Operations Program. (GRS 5.3, item 010)

DISPOSITION: Destroy when 3 years old.

 

HOP 5 International Committees and Organization Files.
Files of FHWA's participation in committees that serve as a forum for the international exchange of information pertaining to the traffic control field. These are also files tracing the development of international standards for signs and symbols. (N1-406-09-4/5)

DISPOSITION: PERMANENT. Cutoff at end of calendar year.

1. If paper: Transfer to the Federal Records Center (FRC) when 5 years old. Transfer to National Archives in 5 year blocks when 15 years old. (N1-406-09-4/5a)

2. If electronic: Transfer to the National Archives 15 years after cutoff, in accordance with 36 CFR 1235, Subpart C. (N1-406-09-4/5b)

 

HOP 6 Legislative Files.
Contain comments on legislation where FHWA is the lead agency or is submitting comments on legislation affecting the policy of FHWA. Files also contain reports to Congress and correspondence on reports. (N1-406-09-4/6)

DISPOSITION: Destroy 3 years after enactment of legislation.

 

HOP 7 Manual on Uniform Traffic Control Devices (MUTCD) Official Rulemakings, Interpretations, and Experimentations.
Files contain official FHWA rulemakings on changes to the national standards and the background information related thereto. Files include requests for rulings on interpretations of the MUTCD, experimentations with new devices, and the responses. The requests come from State and local governments and from private firms and individual citizens. Older rulings were made by a National Advisory Committee and newer rulings are made by the FHWA. The rulings become part of the national standards for traffic control devices and are of historical value. (N1-406-09-4/7)

DISPOSITION: PERMANENT. Cutoff and move to closed-out file after one of the following conditions has been met: (1) the request has been ruled on incorporated into a new MUTCD, or (2) rulemaking has been completed and the MUTCD manual has been reissued.

1. If paper: Transfer closed file annually to FRC. Transfer to National Archives 15 years after closure in 5 year blocks. (N1-406-09-4/7a)

2. If electronic: Transfer to the National Archives 15 years after closure, in accordance with 36 CFR 1235, Subpart C. (N1-406-09-4/7b)

 

HOP 8 National Committee Member Files.
Files of committees with which FHWA exchanges or receives information involved in traffic control. FHWA members may sit on these committees, however, the files are not the record files of the committee, but member copies of committee information. (N1-406-09-4/8)

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

 

HOP 9 Organization Files.
Consist of files involving the organization of the office, meetings, program emphasis area, working files and related correspondence. (N1-406-09-4/9)

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

 

HOP 10 Program Control Files.
Files include feasibility studies, allocation requests, budget expenditure records, status reports, general reports and correspondence from Congress, the FHWA field offices, local governments, and private citizens. (N1-406-09-4/10)

1. Status Reports.

   DISPOSITION: Review annually and purge when superseded or when program is completed. (N1-406-09-4/10a)

2. All other records.

   DISPOSITION: Place in closed case file when the program is completed. Cut off closed case file at end of fiscal year. (N1-406-09-4/10b)

   1. (1) If paper: Transfer to FRC after cutoff. Destroy 3 years after cutoff. (N1-406-09-4/10b1)

   2. (2) If electronic: Delete 3 years after cutoff. (N1-406-09-4/10b2)

 

HOP 11 Project Files.
Reports, correspondence, plans, and other papers related to Federal-aid highway projects, and not scheduled elsewhere. (N1-406-09-4/11)

DISPOSITION: Destroy 3 years after project is completed.

 

HOP 12 Research Projects.
Correspondence, notes, minutes of meetings and progress reports on various ongoing research projects. (N1-406-09-4/12)

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

 

HOP 13 Traffic Control Subject Files.
Pertain to traffic control standards and specifications. They are filed by subject, and contain background information, correspondence, and standards for traffic control such as road markers, traffic signs, etc. They serve as a record of the development of particular traffic controls. (N1-406-09-4/13)

DISPOSITION: Cut off at end of fiscal year.

1. If paper: Transfer to FRC 5 years after cutoff. Destroy 10 years after cutoff. (N1-406-09-4/13a)

2. If electronic: Delete 10 years after cutoff. (N1-406-09-4/13b)

 

HOP 14 Training Courses.
Files on training courses developed by or for the office. Files include correspondence with the school or contractors concerning the courses, evaluations and descriptions of the course and requests for funding the development and participation of field and State highway engineers in the courses. (N1-406-09-4/14)

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

 

HOP 15 Rulemaking Internal File to Dockets:
Internal working papers for each rule containing internal comments as well as external comments from the public and public interest groups. (N1-406-09-4/15)

DISPOSITION: Destroy when 5 years old.

 

HOP 16 Size and Weight Certification Case Files.
Contains State size and weight enforcement certification documentation submitted to FHWA by the States as required by 23 CFR 657, and divisional and regional documentation. Also included are copies of annual reports to Congress on size and weight. (N1-406-09-4/16)

1. Size and Weight Annual Report and other publications.

   DISPOSITION: PERMANENT. Cutoff file at end of fiscal year. (N1-406-09-4/16a)

   1. (1) If paper: Transfer to FRC 10 years after cutoff. Transfer to National Archives when latest record is 15 years old. (N1-406-09-4/16a1)

   2. (2) If electronic: Transfer to National Archives when latest record is 15 years old, in accordance with 36 CFR 1235, Subpart C. (N1-406-09-4/16a2)

2. Other files.

   DISPOSITION: Cutoff at end of fiscal year. Destroy/delete 6 years after cutoff. (N1-406-09-4/16b)

 

HOP 17 Size and Weight Research Case Files.
Contains ongoing research project as well as research by other agencies and consists of correspondence, contract documents, progress, interim, and final reports. (N1-406-09-4/17)

1. Final reports resulting from FHWA research.

   DISPOSITION: PERMANENT. Place in inactive file when case is closed. Cutoff inactive file at end of fiscal year. (N1-406-09-4/17a)

   1. (1) If paper: Transfer to FRC 10 years after cutoff. Transfer to National Archives in 5 year blocks when latest record is 15 years old. (N1-406-09-4/17a1)

   2. (2) If electronic: Transfer to National Archives when latest record is 15 years old, in accordance with 36 CFR 1235, Subpart C. (N1-406-09-4/17a2)

2. Supporting Documentation.

   DISPOSITION: Place in inactive file when case is closed. Cut off inactive file at end of fiscal year. Destroy/delete 3 years after cutoff. (N1-406-09-4/17b)

3. Research reports resulting from the research of other agencies.

   DISPOSITION: Destroy when no longer needed for administrative purposes. (N1-406-09-4/17c)

 

HOP 18 Size and Weight Subject Files.
Contains correspondence, reports, briefing and other materials relating to the vehicle size and weight program, and cover such areas as drivers, permits, buses, trucks, scales, vehicle components and operating characteristics, Federal and State vehicle size and weight laws and regulations, national network route descriptions, grandfather rights, and penalties for violations (periodic, as law requires – past ones done in 1956, 1982, and 1991). (N1-406-09-4/18)

DISPOSITION: PERMANENT. Cutoff inactive file at end of fiscal year.

1. If paper: Transfer to FRC 10 years after cutoff. Transfer to National Archives in 5 year blocks when latest record is 15 years old. (N1-406-09-4/18a)

2. If electronic: Transfer to National Archives when latest record is 15 years old, in accordance with 36 CFR 1235, Subpart C. (N1-406-09-4/18b)

 

HOP 19 Work Zone Official Rulemakings.
Files contain official FHWA rulemakings on work zone safety and mobility requirements and related background information. The rulings are incorporated into 23 CFR as regulations pertaining to work zone management and operation. (N1-406-09-4/19)

DISPOSITION: PERMANENT. Cutoff files after rulemaking has been completed and 23 CFR has been updated.

1. If paper: Transfer to FRC after cutoff. Transfer to National Archives 15 years after cutoff in 5 year blocks. (N1-406-09-4/19a)

2. If electronic: Transfer to National Archives 15 years after cutoff, in accordance with 36 CFR 1235, Subpart C. (N1-406-09-4/19b)

 

HOP 20 Work Zone Program Files.
Consist of files involving management of the work zone program including program assessment and emphasis, research, outreach, project files, meetings, working files, and related correspondence. (N1-406-09-4/20)

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

 

HOP 21 Intelligent Transportation Systems (ITS) Integration Program Project Files.
The ITS Deployment Program is a high visibility Transportation Equity Act (TEA)-21 discretionary Program. ITS Deployment Program funds are available as specified in Section 5001(a)(6) of TEA-21 to accelerate the integration and interoperability of ITS across system, jurisdiction and modal boundaries, in metropolitan and rural areas. This program tracks and reviews projects submitted for money earmarked by Congress for the purposes described in TEA-21, Sections 5208 and 5209. Files (also known as “ITS Earmarks”) consist of project proposals used to monitor or carry out projects approved and funded by the Agency. Files may include, but are not limited to, general correspondence, charts, notes, reports, regulations, project proposals, preliminary studies, justifications, approvals, specifications, designs, maps, drawings, financial documents, draft background material, summaries and other papers, partnership agreements, interim reports, and final reports. Records date from 1998 to 2005. Although the ITS program ended September 30, 2005, there are remaining active projects. (N1-406-06-3/1)

DISPOSITION: Cutoff files at the close of the fiscal year following FHWA Washington Headquarters’ approval for funding and initiation of funds expenditure. Transfer to FRC. Destroy 10 years after cutoff.

 

HOP 22 Transportation Security Program Files

1. Transportation Security Program Project Files. Consist of contracts, training and other project files of the program manager, the FHWA Administrator's representative and virtual team leader for FHWA Headquarters staff in identifying and addressing transportation infrastructure vulnerability and other critical transportation system security issues, and who collaborates with the field staff. Files may contain Security Sensitive Information (SSI) that requires protection against improper disclosure, and dissemination is limited to authorized persons. (N1-406-08-5/4a)

   DISPOSITION: Place in inactive file after completion of project. Cut off inactive file at end of fiscal year and transfer to the FRC. Destroy 6 years and 3 months after cutoff.

2. Transportation Security Program Working Files. Consist of copies of e-mails and correspondence sent to recipients in response to requests for reviews of documents or policy. Includes working papers and other supporting documents. Files may contain SSI that requires protection against improper disclosure, and dissemination is limited to authorized persons. (GRS 5.2, item 010)

   DISPOSITION: Destroy when no longer needed for business use, or according to an agency predetermined time period or business rule.

 

HOP 23  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)

1. 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)

2. 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)