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FHWA Records Disposition Manual
Federal-aid Division Offices

CHAPTER 2

This schedule covers records relating to civil rights maintained in the Federal-Aid Divisions (field offices) of the Federal Highway Administration and reflects disposition authorities granted under N1-406-09-18 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, field offices will follow the FHWA Records Disposition Schedule for Field Office Administrative Records in Chapter 1 and the GRS.

 

CIVL 1 Administrative Files.
Correspondence, memoranda, and related material of a general nature that are concerned with the overall Civil Rights functional responsibilities of the office. (N1-406-09-18/1)

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

 

CIVL 2 Affirmative Action Plans.
Files reflecting the State's good faith effort to eliminate past and present discrimination in all federally assisted programs, and to ensure future non-discriminatory practices. These records may contain sensitive and/or 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). (N1-406-09-18/2)

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

 

CIVL 3 Areawide Plans.
Affirmative action plans and related record and report material approved by the Department of Labor to increase minority and female utilization in crafts of the construction industry in a specified geographical area pursuant to EO 11246, as amended and taking the form of either a "Hometown" or an "Imposed Plan". "Hometown Plans" are voluntary and "Imposed Plans" are mandatory. These records may contain sensitive and/or 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). (N1-406-09-18/3)

DISPOSITION: Place in closed case file when case is closed. Cut off closed case file at end of fiscal year. Transfer to Federal Records Center (FRC) 6 years after cutoff. Destroy 9 years after cutoff.

 

CIVL 4 Equal Employment Opportunity (EEO) Training Plan Files.
EEO agreements, memoranda, and related correspondence on approved minority employment plan. These records may contain sensitive and/or 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). (N1-406-09-18/4)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 6 years after cutoff. Destroy 10 years after cutoff.

 

CIVL 5 Civil Rights Special Projects.
Correspondence and related material on promoting women, minorities, and employment of the handicapped, etc. Includes both the FHWA program and program contractors and State DOTs' conduct. These records may contain sensitive and/or 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). (N1-406-09-18/5)

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

 

CIVL 6 Contract Compliance Reviews.
Reviews made by Civil Rights officials to determine whether contractors are in compliance with EEO contract procedures. Files consist of review scheduling, contractor modification, preliminary analysis, onsite verifications and interviews, exit conferences, compliance determinations and formal notifications; data relating to administration of contracts. Includes reviews of a sensitive nature of special interest or procedure, in which contractors have been offered to have requested hearings regarding their non-compliance with Federal EEO regulations. These records may contain sensitive and/or 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). (N1-406-09-18/6)

DISPOSITION: Place in closed case file after completion of review. Cut off closed case file at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 7 years after cutoff.

 

CIVL 7 Contract Compliance Reviews (Special Cases). See CIVL 6.

 

CIVL 8 EEO Assurances.
Correspondence documenting the States' responses to a requirement by the Federal Highway Act of 1968 to develop effective programs to ensure provisions for equal employment opportunity in the employment of Federally assisted contractors. (N1-406-09-18/7)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 2 years after cutoff. Destroy 5 years after cutoff.

 

CIVL 9 EEO Complaints.
Discrimination complaints filed with State Highway agencies against contractors by employees of the State and contractor pursuant to Title 23 U.S.C. These records may contain sensitive and/or 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).

DISPOSITION: See GRS 2.3, items 110 and 111.

 

CIVL 10 Disadvantage Business Enterprise (DBE) Files.
Information, policy, and correspondence relative to the utilization of minority and women contractors and subcontractors on Federal-aid construction projects; include reports periodically received from the Divisions, State highway agencies, and contractors relative to the utilization of minority and women contractors. These records may contain sensitive and/or 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). (N1-406-09-18/9)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 9 years after cutoff.

 

CIVL 11 Compliance Reports.
Division office file copies of timely reporting to Washington offices in various formats on the administration, progress, and documentation of the FHWA/DOT Civil Rights program within the States, including contract compliance, EEO assurances, and non-discrimination practices. Used for periodic reviews. (GRS 2.3, item 120)

DISPOSITION: Destroy when 7 years old, but longer retention is authorized if required for business use.

 

CIVL 12 Show Cause Notices.
Written notifications and related correspondence to contractors based on the determinations of noncompliance with EEO requirements. These records may contain sensitive and/or 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). (N1-406-09-18/11)

DISPOSITION: Maintain for 30 days in separate file and then transfer to Compliance Review File. See CIVL 6.

 

CIVL 13 RESERVED.

 

CIVL 14 On the Job Training (OJT) and DBE Supportive Services Files.
Files related to programs designed to support the funding of the external training programs. These records may contain sensitive and/or 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). (N1-406-09-18/12)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 2 years after cutoff. Destroy 5 years after cutoff.

 

CIVL 15 Title VI Program Areas.
Files that reflect the technical implementation of Title VI in each program area. These records may contain sensitive and/or 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). (N1-406-09-18/13)

DISPOSITION: Cut off at end of fiscal year. Transfer to FRC 3 years after cutoff. Destroy 6 years after cutoff.

 

CIVL 16 Title VI Reviews.
Files indicating that a Title VI recipient is either in compliance or noncompliance with Title VI requirements or can demonstrate that every good faith effort towards achieving this end has been made. These records may contain sensitive and/or 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). (N1-406-09-18/14)

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

 

CIVL 17 Title VI External Complaints.
Complaints based on act (or action) whether intentional or unintentional, through which a person in the U.S. solely because of race, color, religion, sex, or national origin, has been excluded from participation in, denied the benefits of, or has been otherwise subjected to unequal treatment under any program or activity for which the recipient receives Federal assistance from DOT, including FHWA, under Title 23, U.S.C. These records may contain sensitive and/or 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). (N1-406-09-18/15)

DISPOSITION: Maintain for as long as the related incident, project, or environmental issue is open. Place in closed case file when case is closed. Cut off closed case file at end of fiscal year. Destroy 3 years after cutoff.

 

CIVL 18 Limited English Proficiency Files.
Include Limited English Proficiency Program agreements, memoranda, and related correspondence on issues related to transportation users with English as a second language. (N1-406-09-18/16)

  1. Limited English Proficiency Program agreements. (N1-406-09-18/16a)

    DISPOSITION: Retain until superseded/updated, then destroy when no longer needed for business needs.

  2. All other files. (N1-406-09-18/16b)

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

     

CIVL 19 Minority Institutes of Higher Education Files.
Include correspondence and related material on promoting women and minorities with regard to transportation careers. Includes both the FHWA program and State DOTs' conduct. (N1-406-09-18/17)

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

 

CIVL 20 Internal Discrimination Complaints.
Files consisting of acts or actions whether intentional or unintentional through which a person in the U.S., solely because of race, color, religion, sex, or national origin, has been excluded from participation in, denied the benefits of, or has been otherwise subjected to unequal treatment under any program or activity within FHWA. These records may contain sensitive and/or 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). (N1-406-09-18/18)

DISPOSITION: Place in inactive file after resolution of case. Cut off inactive file at end of fiscal year. Destroy 4 years after cutoff.

 

CIVL 21 Americans with Disabilities Act (ADA) Program Files.
Files include correspondence, self-evaluation and transition plans, and other ADA-related documentation not covered elsewhere in this schedule. (N1-406-09-18/19)

DISPOSITION: Maintain as long as the ongoing complaint or issue exists. Keep the most current versions of transition plans. Cut off when complaint or issue expires and when updated versions of transition plans are created. Destroy 3 years after cutoff.

Page last modified on February 5, 2020
Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000