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FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 8

This schedule covers program records of the Director of Technical Services (DTS) office including its National Highway Institute (NHI) and Technology Partnership Programs maintained in the Washington Headquarters Office of the Federal Highway Administration, and it reflects disposition authorities granted under Standard Form 115 job numbers N1-406-08-1 and N1-406-08-3. For administrative records, DTS will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

DTS 1 NHI Session Records Files. Files consist of Participant Registration Forms, Session Evaluation Forms, Sign-In Sheets and Session Rosters for Instructor-Led training sessions. NHI holds about 700 or more of these sessions globally (but primarily in the United States) a year. These records contain "sensitive and 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 (FISMA)) (N1-406-08-3/1)

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

DTS 2 Eisenhower Transportation Fellowship Program Files. Files consist of background information, applications, evaluation forms, selection notification letters, grant agreements, and other information related to awarding Eisenhower Fellowships to students at U.S. accredited colleges and universities. The fellowships are to encourage students to pursue transportation education and research, and enter careers in transportation. These records contain "sensitive and 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 (FISMA)) (N1-406-08-3/2)

DISPOSITION: Cut off at end of fiscal year in which the agreement closes. Destroy 2 years after cutoff.

DTS 3 Garrett A. Morgan Technology and Transportation Education Files. Files consist of background information, applications, evaluation forms, assistance agreements, and other information related to awarding grants to State and local educational agencies. The grants are to conduct activities to improve elementary and secondary level students’ science, technology, engineering, and math (STEM) skills through transportation-related activities. (N1-406-08-3/3)

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

DTS 4 Transportation Education Development Pilot Program Files. Files consist of listings of grant applicants and progress reports from grant recipients. (N1-406-08-3/4)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 7 years after cutoff.

DTS 5 Local Technical Assistance Program Files. Files consist of funds allocation notices to FHWA Divisions, internal and external correspondence, congressional inquiries, agreements with internal and external organizations, program positions and determinations, and other material related to the office effort to plan and administer the FHWA program as related to the budget process in conformity with the DOT and the Office of Management and Budget (OMB) requirements. (N1-406-08-3/5)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 7 years after cutoff.

DTS 6 Tribal Technical Assistance Program Files. Files consist of copies of Local Technical Assistance Program (LTAP)-Tribal Technical Assistance Program (TTAP) Strategic Plan, and amendments, copies of LTAP-TTAP Program Roles and Responsibilities, and TTAP Center summary of program activities. (N1-406-08-3/6)

DISPOSITION: Temporary. Retain indefinitely until a determination has been made that all legal and administrative requirements have been met (including Cobell litigation). Destroy one year after determination.

DTS 7 National Program Reviews and Evaluation Files. Files consist of National Program Review results, reports, recommendations, supporting work-paper documents; follow-up and tracking of implementation actions; customer and partner survey results and reports; and other correspondence related to corporate efforts to improve programs, performance, and productivity. (N1-406-08-3/7)

DISPOSITION: Cut off at end of fiscal year in which the case is closed. Destroy 4 years after cut off.

DTS 8 Knowledge Management (KM) System. The KM system is a knowledge sharing community that enables users to access peer knowledge, preserve institutional knowledge and accelerate learning. The Communities of Practice (CoPs) provide a Web-enabled environment where networks of people with common interest, goals or expertise can work together to discuss issues, and share experiences, knowledge, information and best practices. External communities are accessible by FHWA customers and partners; internal communities are restricted to those with DOT network access. The content of this system consists of threaded discussions on transportation topics, unofficial documents and voluntary participant profiles. Content is organized by topic area and subject line for user access.

  1. Input/Source Records. (GRS 20, item 2)

    Disposition: Destroy/Delete after the information has been converted to an electronic medium and verified, or when no longer needed to support the reconstruction of, or serve as the backup to, the master file, whichever is later.

  2. Electronic threaded discussions from individual employees and external partners on transportation topics, uploaded unofficial documents and individual employee profiles. (N1-406-08-1)

    Disposition: Cut-off threaded (take a snapshot of) electronic files at the end of fiscal year. Destroy/Delete 5 years after cut-off.

  3. Output Records. (GRS 20, item 3)

    Disposition: Destroy/Delete when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes, provided the printouts do not contain substantive information, such as substantive annotations, that is not included in the electronic records.

  4. Documentation. (GRS 20, item 11)

    Disposition: Destroy/Delete when superseded or obsolete, or upon authorized deletion of the related electronic records or upon the destruction of the output of the system if the output is needed to protect legal rights, whichever is latest.

DTS 9 Course Management and Training System (CMTS). The CMTS is a management information system to support the National Highway Institute's external customer base and contains accounts receivable, accounts payable, contracting, session, customer and instructor data. (GRS 3, item 3; GRS 1, item 29)

DISPOSITION: For financial and contractual data, follow the appropriate retentions under GRS 3, item 3; for other training data, follow GRS 1, item 29.

DTS 10 NHI Web Portal. The NHI Web Portal is used for training and workforce development in the highway transportation community. Users can enroll in a scheduled session, submit host requests, make online payments for courses and course materials, request transcripts, etc. (GRS 1, item 29)

DISPOSITION: Follow GRS 1, item 29.

DTS 11 Student Transportation Education Pipeline System (STEPS). The STEPS database serves as a program management tool to measure program performance and effectiveness in meeting workforce development common goals and objectives. This web-enabled database serves as a centralized resource for a variety of DOT transportation education and workforce development pipeline programs. (GRS 23, item 8)

DISPOSITION: Follow GRS 23, item 8.

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