FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 9

This schedule covers records maintained by the Office of Policy and Governmental Affairs (HPL) in the Washington Headquarters Office of the Federal Highway Administration and reflects disposition authorities granted under Standard Form 115 job numbers N1-406-08-8, N1-406-09-5, N1-406-09-16, N1-406-10-1, 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, HPL will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

PLCY 1 Administrative Files. Included in these files are briefing materials, training documents for personnel, intra-office assignments, internal reports, and other administrative correspondence. (N1-406-08-8/1)

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

PLCY 2 Highway Statistics Files. Consists of documents, forms, reports, and other materials used in developing national summaries and studies and dealing with highway finance at Federal, State and local levels; motor fuels, motor vehicles, motor carriers, and driver registrations; and highway mileage. 

1. Record copy of Highway Statistics. (N1-406-08-8/2)

   DISPOSITION: PERMANENT. Transfer to National Archives when 5 years old.

2. All other copies of Highway Statistics and other records [all maintained on the Web]. (N1-406-08-8/3)

   DISPOSITION: Destroy Agency web site content and all related web management and operations records when 10 years old or when superseded, obsolete, or no longer needed for the conduct of agency business, whichever is later.

PLCY 3 Associate Administrator’s Administrative Files. Consist of copies of all correspondence signed by office directors and other offices, memoranda, trip reports, briefing material, minutes of meetings, monthly and weekly calendar assignments, working papers and any related papers assisting the Associate Administrator for Policy and Governmental Affairs to carry out his or her mission and objectives as principal advisor to the Administrator on all matters relating to policy. (N1-406-08-8/4)

DISPOSITION: Cut off at end of fiscal year. Destroy 5 years after cutoff.

PLCY 4 Author Files. Consist of copies of reports written by the Transportation Research Board (formerly Highway Research Board), research committees, and associations. Also contain files and projects that in some way are affected by these reports. These reports concern highways and their socio-economic impact. (N1-406-08-8/5)

DISPOSITION: Destroy when 3 years old or 1 year after completion of the project which involves these reports.

PLCY 5 Budget Files. Included are the working papers in the budget planning process for FHWA as well as related correspondence. The plans are submitted to the Office of the Secretary of Transportation (OST). If approved by the Secretary, the FHWA plans are submitted to Congress for approval. (N1-406-08-8/6)

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

PLCY 6 Contract Awards. Data from the States on all on work performed by the State highway departments. Includes type of work, length in miles, cost, etc. This data is provided monthly and submitted to OST. (N1-406-08-8/7)

DISPOSITION: Cut off at end of fiscal year. Destroy 4 years after cutoff.

PLCY 7 Fuel Tables. These files contain a copy of every motor vehicle and fuel table that has been published since 1936. (N1-406-08-8/8)

DISPOSITION: Destroy in agency when no longer needed for business needs.

PLCY 8 Highway Needs and Investment Analysis Files

1. Status of the Nation’s Highways, Bridges and Transit: Conditions and Performance (C&P) Report to Congress.(N1-406-08-8/9)

   The Conditions and Performance (C&P) Report is a biennial report to satisfy requirements for reports to Congress on the conditions, performance, and future capital investment needs of the Nation’s highway and transit systems. The report incorporates highway, bridge, and transit information required by Section 502(h) of Title 23 U.S.C. The purpose of the report is to provide decision makers with an objective appraisal of the physical condition, operational performance, and financing mechanisms of highway bridges, and transit systems based both on current state of the systems and on the projected future state of these systems under a set of alternate investment scenarios. The Highway Economic Requirements System (HERS) and the National Bridge Investment Analysis System (NBIAS) are economic analysis tools used in preparation of the C&P report.  The systems assist in forecast future investment requirements for highways and bridges based on current highway system performance data.

   Years 1999, 2002, 2004, and 2006 are available electronically and on the website at http://www.fhwa.dot.gov/pubstats.html. Biennial C&P Reports (Highways only), dating from 1968-1994, and Combined Biennial C&P Reports (Transit and Highways, starting in 1994) are in print only, and the program office needs the paper version set to be retained in Agency for reference in drafting future reports. Each biennial report has increased over time, from about 200 pages to 600 pages (current).

   DISPOSITION: PERMANENT. Transfer electronic copies of reports 1999 and after to the National Archives and Records Administration (NARA) after each biennial report is completed, in accordance with NARA transfer requirements at 36 CFR 1235, Subpart C. Retain pre-1999 paper versions in Agency until copied into electronic form (scanned), then transfer electronic copies to NARA, in accordance with 36 CFR 1228.270.

2. Working papers, files, background materials, study materials, and correspondence relating to the preparation of the biennial Status of the Nation’s Highways, Bridges and Transit: Conditions and Performance (C&P) Report to Congress. (N1-406-08-8/10)

   DISPOSITION: After biennial report is completed, destroy in Agency when no longer needed for administration, legal, audit, historical trends analysis or other operational purposes.

PLCY 9 Motor Vehicle Use Tables. Tables which show what motor vehicles are used for and how many are used. This data is collected from the State highway agencies. (N1-406-08-8/11)

DISPOSITION: Destroy in agency when no longer needed for business needs.

PLCY 10 National Cooperative Highway Research Program (NCHRP). Files consist of reports and comments on reports published by the NCHRP.   [NCHRP program files and Technical Reports covered in Chapter 12.] (N1-406-08-8/12)

DISPOSITION: Destroy in agency when no longer needed for business needs.

PLCY 11 Reports to Congress. These are the control files for all legislative mandated reports required by FHWA. Included is information concerning these reports, target dates for their completion and a listing of offices responsible for preparing them. Reports are submitted to DOT’s Office of the Secretary of Transportation (OST). (N1-406-08-8/13)

DISPOSITION: Review files annually and destroy those no longer needed for business needs.  

PLCY 12 Truck Size and Weight Files. Files consist of correspondence, working papers, and background material related to Congressional reports and that support policies on the interrelationships of motor truck transport, vehicle sizes and weights and other truck technological development and innovative concepts of drayage. Size and Weight Reports will be retained as permanent (see HOP 16A). See PLCY 17 for Truck Size and Weight Studies. (N1-406-08-8/14)

DISPOSITION: Place in closed case file upon completion of project. Cut off closed case file at end of fiscal year. 

1. If paper: Transfer to FRC 1 year after cutoff. Destroy 3 years after cutoff.
   
   
2. If electronic: Delete 3 years after cutoff.

PLCY 13 Standard Metropolitan Statistical Area (SMSA). Research and statistical data gathered by the SMSA for FHWA and used by FHWA in studying the economic impact of highways in metropolitan areas.  The primary keeper of SMAS data is the U.S. Census Bureau; FHWA only uses data for comparison and analytical purposes. (N1-406-08-8/15)

DISPOSITION: Destroy in agency when no longer needed for business needs. 

PLCY 14 State Mileage Data. Highway mileage and highway characteristics data submitted by the State highway departments and maintained on Web site. (N1-406-08-8/16)

DISPOSITION: Agency Web site content and all related web management and operations records – Destroy when 3 years old or when superseded, obsolete, or no longer needed for the conduct of agency business, whichever is later.

PLCY 15 Toll Facilities in the United States Files. Files consist of financial data about toll facilities. (N1-406-08-8/17)

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

PLCY 16 Travel-Fuel Consumption Files. Consist of background material printouts and other data used in a study regarding travel based upon fuel consumption. This information is also used to discern trends in travel and fuel consumption and writing reports. Reports incorporated into Highway Statistics [see PLCY 2A]. (N1-406-08-8/18)

DISPOSITION: Destroy in agency when no longer needed for business needs.

PLCY 17 Truck Size and Weight Studies. Consist of studies examining alternative policies concerning Truck Size and Weight. Studies measure the impacts on safety, infrastructure and modal competition. See PLCY 12 for other Truck Size and Weight records. (N1-406-08-8/19)

DISPOSITION: Destroy in agency when no longer needed for business needs.  

PLCY 18 Highway Trust Fund Files. Files contain records used in estimating the revenue placed in the Highway Trust Fund, and the background material used in developing the Highway Trust Fund balances. (N1-406-08-8/20)

DISPOSITION: Cut off at end of fiscal year.

1. If paper: Transfer to FRC when 3 years after cutoff. Destroy 6 years after cutoff.
   
   
2. If electronic: Delete 6 years after cutoff.

PLCY 19 Trust Fund Tables. Files consist of monthly tables received from the Treasury Department and also FHWA tables on the status of the Highway Trust Fund. (N1-406-08-8/21)

DISPOSITION: Cut off at end of fiscal year. Destroy 1 year after cutoff.

PLCY 20  University Research Program Files. Consist of drafts, background, and solicitation information pertaining to contacts from universities that participate in the urban transportation contract program.  (N1-406-08-8/22)

DISPOSITION: Place in inactive file upon completion of contract. Cut off inactive file at end of fiscal year. 

1. If paper: Transfer to FRC 1 year after cutoff. Destroy 6 years after cutoff.
   
   
2. If electronic: Delete 6 years after cutoff.

PLCY 21 Foreign Country Highway Project Files. Records documenting FHWA’s funding of and/or involvement in construction of highways, training of highway department personnel abroad and technical assistance to each country. For each country, records include copies of the agreement by which the project was established; financial accounting documents; budget correspondence; organizational information and lists of participating foreign officials; minutes of meetings between U.S. and foreign officials; procurement documentation; personnel records; operational directives; records of telephone conversations; billing correspondence; sometimes newspaper or other articles about the projects; and end of tour reports.

1. Records providing substantive documentation of significant actions taken during the course of the project, such as agreements, budget records, minutes of meeting, records of telephone conversations, operational directives, articles about the project, final or end of tour reports, and other similar material.  (N1-406-08-8/23)

   DISPOSITION: PERMANENT. Place in inactive file on completion of project. Cut off inactive file at end of fiscal year. 

   1. If paper: Transfer to FRC 5 years after cutoff. Transfer to National Archives 15 years after cutoff.
      
      
   2. If electronic: Transfer directly to National Archives 5 years after cutoff, in accordance with 36 CFR 1235, Subpart C.
      
      
2. Records documenting housekeeping functions, such as financial accounting documents, billing correspondence, procurement records, personnel records, and other similar materials.  (N1-406-08-8/24)
   

   DISPOSITION: Place in inactive file on completion of project. Cut off inactive file at end of fiscal year. Transfer to FRC 5 years after cutoff. Destroy 15 years after cutoff.

PLCY 22 Motor Vehicle Smart System and Drivers License Smart System. The Office of Highway Policy Information (HPPI), Highway Funding and Motor Fuel Division, provides motor vehicle registration data and motor vehicle receipts information annually for the Highway Statistics publication. The Motor Vehicle Smart System receives, processes, and produces tables annually that are used for the Highway Statistics publication. In addition, the motor vehicle registration data provides basic measures of highway use both annually and historically. For example, the registration tables include data by State on the following: number of automobiles (private/commercial and publicly owned), number of buses (private/commercial and publicly owned), number of trucks (private/commercial and publicly owned), private and commercial automobiles per capita, and motorcycles (private/commercial and publicly owned). The office produces a variety of trend tables, motor vehicle registration tables, pertinent tables for use by Congress, other Federal agencies, State and county governments, and individuals.

The Drivers License Smart System provides driver license data and driver license receipts information annually for the Highway Statistics publication. The Drivers License Smart System receives, processes, and produces tables annually that are used for the Highway Statistics publication. In addition, the drivers license data provides basic measures of highway use by gender and age both annually and historically. For example, a table includes the numbers of licensed drivers by sex and ratio to population for each State. The office produces a variety of trend tables, drivers license tables, pertinent tables for use by Congress, other Federal agencies, State and county governments and individuals.

The application does not directly support other applications. Data entry and validation functions allow State users to enter and verify their data. Analytical tools are provided to a HPPI analyst to allow adjustments to balance the State-submitted data.

Data associated with the system does not include personally identifiable information (PII) or other sensitive information. (N1-406-09-5)

1. Inputs. Electronic data submissions by all State Department of Transportation and State Departments of Revenue, including those in the District of Columbia and Puerto Rico, which are entered into the system annually. Users enter the data in the application via direct user input (data entry). Headquarters analyst in HPPI enters most of their data via data entry. (GRS 20, item 2c)

   DISPOSITION: Destroy/delete after input and verification of data into master file or when no longer need to support the reconstruction of master file, whichever is later.

2. Master files. Includes designed forms for motor vehicle registration and drivers license data (see Inputs). (N1-406-09-5/2)

   DISPOSITION: PERMANENT. Cut off at the end of the calendar year. Transfer a copy of the master data file to the National Archives and Records Administration (NARA) at the close of each calendar year, in accordance with 36 CFR 1235, Subpart C.

3. Outputs. Annual tables are prepared from motor vehicle registration and drivers license data for inclusion in the annual Highway Statistics report. Data output consists of Microsoft Excel forms (download) and reports in HTML and PDF formats on the HPPI Web site. Data for annual tables in Highway Statistics. (N1-406-09-5/3)
   
   
   1. Record copy of reports included in Highway Statistics. (N1-406-09-5/3a)

      DISPOSITION: Retain until published in Highway Statistics report which is scheduled as permanent (see PLCY 2A). Then, destroy/delete when no longer needed for agency business.

   2. Record copy of reports not included in Highway Statistics. Published reports, including those published on the FHWA Web Site, but not included in Highway Statistics. (N1-406-09-5/3b)

      DISPOSITION: PERMANENT. Cut off at the end of the calendar year. Transfer to the National Archives and Records Administration (NARA) at the close of each calendar year, in accordance with 36 CFR 1235, Subpart C.

   3. FHWA Web Copies and Other Copies. (N1-406-09-5/3c)

      DISPOSITION: Retain until record copy is transferred to NARA. Destroy/Delete when no longer needed for agency business.

4. System documentation. Includes functional requirements, system design, test plans, system and database architecture, flow charts, trend tables, and other system documentation. (GRS 20, item 11a(2))

   DISPOSITION: Permanent. Transfer to the National Archives with the permanent electronic records to which the documentation relates.

PLCY 23 National Evaluation of a Mileage-Based Road User Charge System (NEMBRUCS). The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) was enacted August 10, 2005, as Public Law 109-59. SAFETEA-LU authorizes the Federal surface transportation programs for highways, highway safety, and transit, and for other purposes for the 5 year period 2005-2009. Section 1919 of called for the University of Iowa to conduct an analysis of highway vehicle mileage data to assess a mileage-based approach to collecting highway user fees. The study collects the data necessary to conduct the analysis from driver participants in twelve sites throughout the U.S. over a two-year period.  NEMBRUCS supports the analysis of the highway vehicle mileage data collected. (N1-406-09-16)

NOTE: Data affiliated with NEMBRUCS contains sensitive and/or personal identifiable information and requires controlled access and handling to safeguard against a breach of information (Privacy Act of 1974 and the Federal Information Security Management Act of 2002).

1. Inputs. Study participant personal information collected during the course of the study includes: Name, Mailing Address, Phone Number, Date of Birth, Employment Status and E-mail Address. Other information collected over the course of the study includes: Responses to Opinion Questionnaires, Vehicle Miles Traveled by Jurisdiction (State, county, locality). Information collected over the course of the study will be mapped to individual participants through use of randomly generated Participant ID Numbers, randomly generated Vehicle ID Numbers, and On-Board Device ID Numbers. Study data collection will occur over two 12-month participant panels during the calendar years 2009 and 2010. These data will be collected and stored electronically. (GRS 20, item 2c)

   DISPOSITION: Temporary. Delete when data have been entered into the master file or database and verified, or when no longer needed to support reconstruction of, or serve as backup to, the master file or database, whichever is later.

2. Master files. Identity-scrubbed participant responses to questionnaires administered over the course of the study will be stored on electronic media in the data format utilized by the study team for data analysis. On-board-computer-generated data records which include identity-scrubbed travel information collected by on-board computers will be stored on electronic media in the data format utilized by the study team for data analysis. The format in which the data are stored will be documented in a data dictionary stored on electronic media. The data dictionary will include, as applicable: Variable Name, Size of Data Field, Begin Position of Data Field, Character Type (A/N), Implied Decimal Places, Value Code, Value Description. (N1-406-09-16/2)

   DISPOSITION: PERMANENT. Cut off at end of calendar year. Transfer a copy of the master data file to the National Archives and Records Administration (NARA) after cutoff, in accordance with 36 CFR 1235, Subpart C.

3. Outputs. Data collected over the course of the study will be analyzed and reported in a findings and recommendations report to Congress, furnished to the Secretaries of Transportation and Treasury, the Committees on Transportation and Infrastructure and Ways and Means of the U.S. House of Representatives, and the Committees on Environment and Public Works and Finance of the U.S. Senate. Annual status reports will also be provided to the same parties. (N1-406-09-16/3)

   DISPOSITION: PERMANENT. Cut off at end of calendar year. Transfer a copy of the reports to the National Archives and Records Administration (NARA) after cutoff, in accordance with 36 CFR 1235, Subpart C. [Note: The electronic version of all reports generated by the system will be the record copy of the report. All paper copies can be destroyed when no longer needed in accordance with GRS 20/16.]

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 20, item 11a(2))

   DISPOSITION: Permanent. Transfer to the National Archives with the permanent electronic records to which the documentation relates.

PLCY 24 National Household Travel Survey (NHTS). The FHWA’s Office of Highway Policy Information (HPPI) conducts the NHTS (formerly named the Nationwide Personal Transportation Survey (NPTS)) to obtain information on the travel demand and behavior of the American public. The NHTS is the authoritative source of national data on the travel behavior of the American public. See http://nhts.ornl.gov/.

Conducted since 1969, the NHTS is the nation’s inventory of daily and long-distance travel. The NHTS is the nation’s flagship survey to quantify the travel behavior of the American public. The survey has provided the nation with authoritative data on travel by all modes of transportation, for all travel purposes, and all travel distances. The NHTS provides vital data on American passenger travel and can be used to examine the relationship among social and demographic change, land development patterns, and transportation. The NHTS is an essential tool for those seriously interested in understanding travel behavior and transportation planning issues.

The NHTS data is intended to address a number of issues in transportation, ranging in scope from the impacts of gas tax changes to trip generation rates needed to calibrate travel demand models. Along the way there are a number of issues that relate to how we, as a nation, are evolving - the changing roles of women and men within the family structure, the growth and increased mobility of the older driver population, the continued increase in vehicle ownership, and the continued decentralization of our metropolitan areas.

The dataset allows analysis of daily travel by all modes, including characteristics of the people traveling, their household, and their vehicles. The NHTS has been conducted in 1969, 1977, 1983, 1990, 1995, 2001, and 2008. The 2008 NHTS collected annual information on travel by all modes of transportation for approximately 150,000 households.  (N1-406-10-1)

1. Inputs. Survey data collected via Computer Assisted Telephone Interviewing (CATI) and entered into the system directly by the interviewer. Each household in the sample was assigned a specific 24-hour "Travel Day" and kept diaries to record all travel by all household members for the assigned day. A 28-day "Travel Period" was assigned to collect longer-distance travel (over 50 miles from home) for each household member, and includes information on long commutes, airport access, and overnight stays. The assigned travel day was the last day of the assigned travel period. (GRS 20, item 2c)

   DISPOSITION: Temporary. Destroy/delete when data have been entered into master file or database and verified, or when no longer needed to support reconstruction of, or serve as backup to, the master file or database, whichever is later.

2. Master Files. Consist of four major data files: household, person, daily trip, and vehicle files.  (N1-406-10-1/1)

   Household files include data on number of people, number of drivers, number of workers, number of vehicles, income, housing type/tenure, lifecycle, expenditure and use of transportation fuel.

   Person files include data on age, sex, driver status, usual commute, flexibility/work at home, race/ethnicity, born in U.S.

   Daily trip files include data on origin and destination address, time trip started and ended, dwell time (at location), travel time and distance, means of transportation, detailed purpose, travel party size, and whether trip included Interstate/toll.

   Vehicle files include data on make/model/year, hybrid/alternative fuel, how long owned, annual mileage, accrued mileage, main driver, and fuel efficiency.

   DISPOSITION: PERMANENT. Cut off at the end of the calendar year.  Transfer copies of completed electronic data files to the National Archives and Records Administration (NARA) at the close of each calendar year, in accordance with 36 CFR 1235, Subpart C. 

3. Outputs.
   
   
   1. Final Reports. Summaries of Travel Trends and Our Nations Travel which are standard summary reports for the NHTS program. Include also new NHTS data reports as they are developed. Final reports are available in hard copy and also published on the website. See http://nhts.ornl.gov/publications.shtml.  (N1-406-10-1/2)
      

      DISPOSITION: PERMANENT. Cut off at the end of the calendar year. Transfer electronic copies of final NHTS Reports to NARA annually.

   2. Other ad-hoc reports. (GRS 20, item 5)

      DISPOSITION: Temporary. Delete when the Agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes.

4. System documentation. File specifications, codebooks, record layouts, data dictionaries, output specifications, documentation of sample and survey design including survey instrument (regardless of medium) relating to the National Household Travel Survey. (GRS 20, item 11a(2))
   
   DISPOSITION: PERMANENT. Transfer to the National Archives with the permanent electronic records to which the documentation relates.