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 number N1-406-08-3 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, 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. See ADMI 169.

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 1.1, item 010; GRS 2.6, item 010)

DISPOSITION: For financial and contractual data, follow the appropriate retentions under GRS 1.1, item 010; for other training data, follow GRS 2.6, item 010.

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 2.6, item 010)

DISPOSITION: Follow GRS 2.6, item 010.

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 4.1, item 010)

DISPOSITION: Destroy when no longer needed.