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FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 14

This schedule covers records maintained by the Office of Safety (HSA) in the Washington Headquarters Office of the Federal Highway Administration and reflects disposition authorities granted under Standard Form 115 job number N1-406-08-2.  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, HSA will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

SAFE 1  RESERVED.

SAFE 2  RESERVED.

SAFE 3  Administrative Files.  Contain the day-to-day internal working files of the office such as current training, interoffice memorandums travel of employees in the office and position descriptions, personnel files, performance objectives, and other administrative correspondence. (N1-406-08-2/1)

DISPOSITION: Cut off at end of fiscal year.  Destroy 2 years after cutoff.

SAFE 4  RESERVED.

SAFE 5  Budget Files.  Relate to the cost of implementing the highway safety program and background material for the Surface Transportation Research and Technology Deployment of Highway Safety.  (N1-406-08-2/2)

DISPOSITION: Destroy 1 year after the close of the fiscal year covered by the budget.

SAFE 6  RESERVED.

SAFE 7  RESERVED.
 
SAFE 8  Cooperative Agreement Files. Contain communications, background and agreements with States and other partners related to highway safety.  (N1-406-08-2/3)

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

  1. If paper: Transfer to Federal Records Center (FRC) 10 years after cutoff. Destroy 12 years after cutoff.

  2. If electronic: Delete 12 years after cutoff.

SAFE 9  RESERVED.

SAFE 10  Evaluation Reports From States. Evaluation reports received from States on the progress of the Highway Safety Improvement Program (HSIP).  Included are correspondence and annual and special reports pertaining to the HSIP for individual States which assist FHWA in preparing its annual report to Congress.  Information may be in paper or electronic form. (N1-406-08-2/4)

DISPOSITION: Cut off at end of fiscal year.  Destroy paper records/delete electronic records 5 years after cutoff.

SAFE 11  RESERVED.

SAFE 12  RESERVED.

SAFE 13  GAO, OST Audit Reports.  See ADMI 158B.

SAFE 14  General Correspondence Files. Requests received from the President, Congress, the general public, other Government agencies, and elements within the DOT seeking information relating to highway safety.  Information may be in paper or electronic form.  (N1-406-08-2/5)

DISPOSITION: Cut off at end of fiscal year.  Destroy paper records/delete electronic records 3 years after cutoff.

SAFE 15  RESERVED.

SAFE 16  RESERVED.

SAFE 17  RESERVED.

SAFE 18  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.  The rules relate to highway safety programs and regulations.  (N1-406-08-2/6)

DISPOSITION: Destroy 6 years after docket is closed.

SAFE 19  Interpretations of Regulations. Contain correspondence, directives and related background material concerning FHWA's interpretation of highway safety regulations.  (N1-406-08-2/7)

DISPOSITION:  PERMANENT.

  1. If paper: Transfer to FRC 5 years after year of issuance of statement. Transfer to the National Archives 10 years after the year of issuance. (N1-406-08-2/7a)

  2. If electronic: Transfer directly to the National Archives 10 years after the year of issuance, in accordance with 36 CFR 1235, Subpart C. (N1-406-08-2/7b)

SAFE 20  RESERVED.

SAFE 21  Fatal and Injury Accident Files. Contain data collected by the FHWA from motor vehicle traffic accidents.  This material is classified by highway systems and is used in research and in the preparation of reports used both internally and by other agencies and the public, including the GPO publication "Fatal Injury and Accident Rates."  (N1-406-08-2/8)

DISPOSITION: Cut off at end of fiscal year.

  1. If paper: Transfer to FRC 3 years after cutoff. Destroy 6 years after cutoff. (N1-406-08-2/8a)

  2. If electronic: Delete 6 years after cutoff. (N1-406-08-2/8b)

SAFE 22  Legislative Files. Contain draft copies of various proposals for the Highway Safety Acts and drafts of proposals submitted to the Office of the Secretary (OST).  Also contain any notes taken during legislative hearings that could have an impact on a highway bill. (N1-406-08-2/9)

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

SAFE 23  National Emphasis Area File.  Correspondence, memoranda, policy documents, and requests for information pertaining to those program and priority focus areas within the Office of Safety that are considered a special emphasis area as a result of legislative requirements or priority focus during a fiscal year.  Information may be in paper or electronic form.  (N1-406-08-2/10)

DISPOSITION: Cut off at end of fiscal year.  Destroy paper records/delete electronic records 3 years after cutoff.

SAFE 24  National Transportation Safety Board (NTSB) Control Accident Investigation Report Files. These files contain information that is gathered in the course of investigating an accident.  The material is provided to the NTSB and is used by them in reports that NTSB issues. (N1-406-08-2/11)

DISPOSITION: Cut off at end of fiscal year.  Destroy 10 years after cutoff.

SAFE 25  RESERVED.

SAFE 26  RESERVED.

SAFE 27  RESERVED.

SAFE 28  RESERVED.

SAFE 29  RESERVED.

SAFE 30  RESERVED.

SAFE 31  RESERVED.

SAFE 32  RESERVED.

SAFE 33  Railroad Grade Crossing Files. Contain correspondence and background material used in developing studies and reports dealing with accidents and grade crossings.  Files also contain correspondence, supporting rulemaking decisions on grade crossing controls, and information related to State requirements on safety material for use in grade crossings.  (N1-406-08-2/12)

DISPOSITION: Place in inactive file when case is closed.  Cut off inactive file at end of fiscal year.   Destroy 6 years after cutoff.

SAFE 34  Reference Files. Files contain copies of information used as ready reference on subjects of current or ongoing interest.  These files may contain copies of publications, directives, pictures, correspondence, and the like.  Official file copies are not to be placed in these files nor are the files to be considered pending files where official file copies are kept on a tentative basis.  (N1-406-08-2/13)

DISPOSITION: Destroy in agency when no longer needed for administrative purposes.

SAFE 35  Special Project Safety Files. Correspondence, background material, and special reports concerning vehicle accidents involving maintenance personnel in highway work zone and construction zones.  Also included in this category are the correspondence background material and special reports requested by the President or Congress on highway safety and related matters.  (N1-406-08-2/14)

DISPOSITION: Place in inactive file after issuance of final report.

  1. If paper: Cut off inactive file at end of fiscal year. Transfer to FRC 1 years after cutoff. Destroy 5 years after cutoff. (N1-406-08-2/14a)

  2. If electronic: Delete 5 years after cutoff. (N1-406-08-2/14b)

SAFE 36  RESERVED.

SAFE 37  RESERVED.

SAFE 38  Training Course Files.  Contain material used in the development of various highway safety training courses offered by the Office of Safety.  Included also are copies of contracts, training guides, manuals, and slides.  (N1-406-08-2/15)

DISPOSITION:  Destroy when course is discontinued.

SAFE 39  Roadside Hardware Acceptance Letters and Documentation.  The files of roadside hardware acceptance letters contain FHWA’s official action on requests from manufacturers, developers, highway agencies, etc.  FHWA’s letter acknowledges that the petitioner's device(s) has met the applicable crash test criteria.  The letter briefly describes the device, includes a description of the crash testing, and details any restrictions that apply to that device.  The file includes the incoming and outgoing letters, crash test report(s), drawings, and film/video/DVD of the crash testing.  (N1-406-08-2/16)

DISPOSITION:  PERMANENT.  Cut off at end of calendar year.  Determine medium of recordkeeping copy.

  1. If documentation not scanned into digital images:   Transfer to FRC 5 years after cutoff. Transfer to National Archives 10 years after cutoff.  (N1-406-08-2/16a)

  2. If documentation scanned and converted to electronic medium:  Retain as active files for 5 years.  After scanning and converted electronic medium, destroy paper files 10 years after cutoff; transfer electronic files to the National Archives 10 years after cutoff, in accordance with 36 CFR 1235, Subpart C.  Retain electronic copies in agency for reference use.(N1-406-08-2/16b)
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