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FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 8

This schedule covers program records of the Office of Innovation and Workforce Solutions (HIT) including its Office of Innovation Implementation – Resource Center and Office of Innovation Management, Education, and Partnerships 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, N1-406-08-3, and N1-406-09-7; Records Schedule Numbers DAA-0406-2013-0001 and DAA-0406-2014-0002; 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, HIT will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

 

HIT 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.

 

HIT 2 RESERVED

HIT 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.

 

HIT 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.

 

HIT 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.

 

HIT 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.

 

HIT 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.

 

HIT 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 5.2, item 020)

    Disposition: Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, 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 5.2, item 020)

    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 3.1, item 012)

    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.

 

HIT 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.

 

HIT 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.

 

HIT 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.

 

HIT 12 RESERVED

HIT 13 Major Project Files. See HIF 190

HIT 14 State Infrastructure Banks (SIBs) Program Files.
SIBs are State-run revolving funds that make loans, provide credit enhancements, and other forms of non-grant assistance to surface transportation projects. The SIB Program files are arranged by State, for about 40 States. They are records of applications to create SIBs, grant awards by the USDOT for the creation of each SIB, Cooperative Agreements between individual State DOTs and the FHWA when the SIB was created, and some annual reports submitted by the SIBs. (DAA-0406-2014-0002-0001)

DISPOSITION: Cut off Files upon the closure of the SIB. Destroy 10 years after cutoff.

 

HIT 15 Section 129 Loan Files.
A section 129 loan is a loan to a road or bridge using FHWA formula grants, and it is encouraged as an alternative lending program to those States that never created a SIB. Files include applications, loan agreements, and related correspondence by the three States which were granted Section 129 loans. (DAA-0406-2014-0002-0002)

DISPOSITION: Cut off files once the loan is no longer outstanding. Destroy 10 years after cutoff.

 

HIT 16 Grant Anticipation Revenue Vehicle (GARVEE) Files.
A GARVEE enables a State to pay debt service and other bond-related expenses with future Federal-aid highway funds. GARVEE Files consist of formal expression of interest and responses, applications, approvals, general correspondence, financial plans, and bond-related documents. (DAA-0406-2014-0002-0003)

DISPOSITION: Cut off files once the bond(s) is no longer outstanding. Destroy 10 years after cutoff.

 

HIT 17 RESERVED

HIT 18 Test and Evaluation Project (TE-045) Files.
The TE-045 process enables FHWA to identify and evaluate innovative approaches to financial management of the Federal-aid program. Via TE-045, State DOTs can propose alternative methods of cost allocation, reimbursement calculations, non-Federal financial matching requirements, etc., for the Federal-aid program. If accepted, the FHWA provides temporary waivers of policy, guidance, regulation, or law in order to test and evaluate the proposed method for eventual adoption. The TE-045 files consist of general correspondence, project proposals, application letters, justifications, approval letters, notes, background material, summaries, and reports both interim and final. (DAA-0406-2013-0001-0002)

DISPOSITION: Cut off files at the close of the project. Destroy 10 years after cutoff.

 

HIT 19 RESERVED

HIT 20 Every Day Counts (formerly Highways for LIFE) – INNOVATOR Newsletter.
This file contains the record copy of a newsletter published bi-monthly by the FHWA Center for Accelerating Innovation and posted online for its audience of transportation professionals in highway agencies, trade and research groups, academia, the private sector, and the driving public. The newsletter contains reports and studies on different projects by the States on highway construction. The newsletter is available at http://www.fhwa.dot.gov/hfl/innovator/. (N1-406-09-7/94)

DISPOSITION: PERMANENT. Cut off at end of calendar year. Transfer electronic copies to National Archives 1 year after cutoff, in accordance with 36 CFR 1235, Subpart C.

Page last modified on June 7, 2023
Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000