FHWA Records Disposition Manual (Washington Headquarters)

CHAPTER 10

This schedule covers records maintained by the Office of the Chief Financial Officer (HCF) in the Washington Headquarters Office of the Federal Highway Administration and reflects disposition authorities granted under Standard Forms 115 job numbers N1-406-06-2, N1-406-08-10, N1-406-09-3, 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. The records on this schedule 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). For administrative records not covered below, HCF will follow the FHWA Records Disposition Schedule for Washington Headquarters Administrative Records in Chapter 2 and the General Records Schedules (GRS).

CFO 1 Administrative Files. Contain correspondence; personnel material; training material; budget material; daily, weekly, monthly and bi-weekly reports; communications with other agencies; meeting materials; and other related documents pertaining to the daily operation of the office. (N1-406-08-10/1)

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

CFO 2 Advice of Funds Files. Consist of correspondence, reports, background material, working documents, requests from States and related documents regarding the advance of right-of-way revolving funds disbursed to States in accordance with 23 U.S.C. 108(C). (Records must be retained for the maximum time the State has before it loses the funds.) (N1-406-08-10/2)

DISPOSITION: Cut off at end of fiscal year.

A. If paper: Transfer to Federal records center (FRC) 3 years after cutoff. Destroy 10 years after cutoff. (N1-406-08-10/2a)

B. If electronic: Delete 10 years after cutoff. (N1-406-08-10/2b)

CFO 3 Advice of Funds Availability Files. Contain copies of Form FHWA-370 (Advice of Funds Available for Obligation) which is used as a record of transfer of funds from other Government agencies to FHWA and which will become available for apportionment within a current fiscal year. (N1-406-08-10/3)

DISPOSITION: Cut off at end of fiscal year.

A. If paper: Transfer to FRC 3 years after cutoff. Destroy 10 years after cutoff. (N1-406- 08-10/3a)

B. If electronic: Delete 10 years after cutoff. (N1-406-08-10/3b)

CFO 4 Agreement and Report Files. Contain working papers, actual billings, and collection of funds, including supporting documents, SF 1080, Voucher for Transfer Between Appropriation and/or Funds and SF 1081, Voucher and Schedules for Withdrawals and Credit Agreements which are used with other Government agencies for services to be performed by FHWA. (GRS 1.1, item 010)

DISPOSITION: Destroy 6 years after final payment or cancellation.

CFO 5 Allotment Files. Consist of Forms FHWA-370, Advice of Funds Available for Obligation, used to document all allotments (obligational availability) of funds and correspondence used for supporting documents. The form shows the initial administrative allotments, initial allotment of construction funds by fiscal year quarters, increase of an allotment of construction funds by periods other than quarterly or annually and an increase of an allotment of funds in one amount for the fiscal year. (GRS 1.1, item 010)

DISPOSITION: Destroy 6 years after final payment or cancellation.

CFO 6 Apportionment and Reapportionment Schedules.Consist of files such as completed SFs 132 Apportionment and Reapportionment Schedules and supporting documents used specifically to show funds apportioned and reappropriated for FHWA. (GRS 1.3, item 020)

DISPOSITION: Destroy 6 years after close of fiscal year.

CFO 7 Appropriation Files. Contain records of laws on funds that are appropriated by Congress. There are 4 types of funds, all of which concern appropriations and fund balances, disbursements and collections with particular attention to the current status of the Highway Trust Fund and the effect of withdrawal in relation to interest accruals. (N1-406-08-10/7)

DISPOSITION:

A. If paper: Transfer to FRC when 5 years old. Destroy when 10 years old. (N1-406-08- 10/7a)

B. If electronic: Delete when 10 years old. (N1-406-08-10/7b)

CFO 8 Budget Execution Files.Consist of correspondence related to any request for budget action that concerns Washington Headquarters, Resource Centers, or field division offices. (GRS 1.3, item 020)

DISPOSITION : Destroy 6 years after close of fiscal year.

CFO 9 Budget Files. Contain actual invoices for communications, machine repairs, equipment rentals, reimbursable services with the Office of the Secretary of Transportation (OST), bills for rent of offices in the field, annual and quarterly reports, working capital funds and all related materials pertaining to the budget. (N1-406-08-10/9)

DISPOSITION: Cut off at end of fiscal year. Destroy in agency 5 years after the close of the fiscal year covered by the budget.

CFO 10 Budget Request Files. Contain three types of requests. These are Departmental, Congressional and Office of Management and Budget (OMB). Departmental are requests for funds from FHWA for the operation of their programs. Congressional and OMB are requests for special information on budgetary matters pertaining to the budget that FHWA has submitted to Congress. Files also contain requests for budget estimates, budget allowances, and appeals from operating officials within the FHWA pertaining to their budget requests. (N1-406-08-10/10)

DISPOSITION: Cut off at end of fiscal year. Destroy in agency 5 years after close of the FY covered by the budget.

CFO 11 Certifying Officer Record Files. Contain SFs 1166, Voucher and Schedule of Payment, that support payments to lenders, SF 1081, Vouchers and Schedule of Withdrawals and Credits, which also include any supporting documents and the transfer of funds between government agencies without checks and form GSA 789, Statement Voucher and Schedule of Withdrawals and Credits, authorizing payments to General Services Administration for supplies, motor pool payments, etc. (GRS 1.1, item 010)

DISPOSITION: Destroy 6 years after final payment or cancellation.

CFO 12 Combined Statement Files. Contain computer printouts from the Department of Treasury showing how FHWA segments are printed. (N1-406-08-10/12)

DISPOSITION: Destroy when 1 year old.

CFO 13 Financial Obligations Files. Contain statistical data, financial statements on all money obligated for FHWA contracts and the end of the fiscal year documentation of FHWA dollar obligations used for working documents. (N1-406-08-10/13)

DISPOSITION: Cut off at end of fiscal year.

A. If paper: Transfer to FRC 2 years after cutoff. Destroy 7 years after cutoff. (N1-406-08- 10/13a)

B. If electronic: Delete 7 years after cutoff. (N1-406-08-10/13b)

CFO 14 Credit Card Files. Consist of memorandums, U.S. Government cards (gasoline credit cards, small purchases credit cards and telephone credit cards) and form FHWA-164 Property Receipt and/or receipt for property returned. (GRS 1.1, item 010)

DISPOSITION: Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

CFO 15 Current Year (Budget Report) Files. Files contain current year forms SF-133, Report on Budget Execution. This report is required by OMB Circular A-11. Also included are working papers and supporting documents. (GRS 1.3, item 030)

DISPOSITION: Destroy when 5 years old.

CFO 16 Disbursement Files. Contain SF 1221, Statement of Transactions According to Appropriations, Funds and Receipt Accounts (Foreign Service Accounts). These forms contain the records of the moneys paid to foreign countries. (N1-406-08-10/16)

A. Accounts and supporting documents pertaining to American Indians.

DISPOSITION: Retain indefinitely since they may be needed in litigation involving the Government's role as trustee of property held by the Government and managed for the benefit of Indians. (N1-406-08-10/16a)

B. All other records (GRS 1.1, item 010).

DISPOSITION: Destroy 6 years after final payment or cancellation.

CFO 17 Execution Report Files. Contain documentation of employee levels, working papers, cost estimates, appropriations and related financial statements pertaining to general operating expenses of each organizational element of the Agency. (N1-406-08-10/17)

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

CFO 18 Financial Management Files. Consist of trip report findings on financial management in the States, working papers on special reports, and financial reviews of FHWA division offices on how their financial management programs are working. (N1-406-08-10/18)

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

CFO 19 Fiscal Services Program Files. Consist of correspondence, associated accounting and budget work papers, allotment control sheets, budget information, fiscal plans, obligations and outlays and other materials pertaining to the office efforts to develop and coordinate the budget execution plan for the FHWA to assure the most effective and economical expenditure of appropriated funds. (N1-406-08-10/19)

DISPOSITION: Cut off at end of fiscal year. Destroy in agency 5 years after close of the fiscal year covered by the budget.

CFO 20 General Ledger Files. Contains general ledgers summarizing the financial status and financial transactions of FHWA, current status of funds available for expenditures and show debit and credit entries of the agency. (GRS 1.1, item 010)

DISPOSITION: Destroy 6 years after final payment or cancellation.

CFO 21 Highway Status Files. Contain general correspondence, telegraphic messages, tabulated data on the status of highway funds and systems reported from States and Resource Centers of actual funds used each fiscal year. (N1-406-08-10/21)

DISPOSITION: Cut off at end of fiscal year. Destroy when 5 years old.

CFO 22 Monthly Narrative Reports. Contain monthly narrative reports from the Resource Centers and each division office concerning the progressive stages of individual highway projects, including information on obligations, program requirements and funding problems and other pertinent data needed in the planning, execution, administration and control of the Administration's programs financed from the Highway Trust Fund and from other funds. (N1-406-08-10/22)

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

CFO 23 Monthly Report Files.

A. SF 132, Apportionment and Reapportionment Schedule.

DISPOSITION: Cut off at end of fiscal year. Destroy 6 years after close of fiscal year. (GRS 1.3, item 20)

B. SF 133, Report on Budget Execution. This report is required by OMB Circular No. A- 11. Also included are working papers and supporting documents.

DISPOSITION: Cut off at end of fiscal year. Destroy in agency 3 years after cut off. (GRS 1.3, item 31)

CFO 24 Monthly Transaction Reports. Files contain purchase orders, invoices, backup material, disposition reports and related data listed on non-expendable property accounts and transactions. (N1-406-08-10/24)

DISPOSITION: Cut off at end of fiscal year.

A. If paper: Transfer to FRC when 2 years old. Destroy 6 years and 3 months after final payment. (N1-406-08-10/24a)

B. If electronic: Delete 6 years and 3 months after final payment. (N1-406-08-10/24b)

CFO 25 Payment to States Files. Contains an annual report required by the Treasury on all payments by FHWA to the States. Files also contain documentation from other Government agencies on FHWA transfer funds. (N1-406-08-10/25)

DISPOSITION: Cut off at end of fiscal year. Destroy when 10 years old.

CFO 26 Pre-Closing and Post Closing Financial Files. Contain monthly and annual summary reports used as reference material for financial statements at the end of the fiscal year. (N1-406-08-10/26)

DISPOSITION: Destroy when 3 years old.

CFO 27 Program Subject Files. Consist of subject files pertaining to administrative cost, audit finding summaries, including correspondence related to Congressional inquiries involving budget matters, contract agreements with other Government agencies on the transfer of funds 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 OMB requirements. (N1-406-08-10/27)

DISPOSITION: Cut off at end of fiscal year.

A. If paper: Transfer to FRC 3 years after cutoff. Destroy 7 years after cutoff. (N1-406-08- 10/27a)

B. If electronic: Delete 7 years after cutoff. (N1-406-08-10/27b)

CFO 28 Project Status Files (Completed). These files give the complete history of a project from Headquarters, Resource Centers, and division offices. (N1-406-08-10/28)

DISPOSITION: Destroy 2 months after completion of project.

CFO 29 Reports on Obligations (Budget Reports Files). Periodic reports on the status of appropriation accounts and apportionment.

A. Annual report (end of fiscal year).

DISPOSITION: Destroy when 5 years old. (GRS 1.3, item 030)

B. All other reports.

DISPOSITION: Destroy when 3 years old. (GRS 1.3, item 031)

CFO 30 State Information Files. Consist of correspondence or memoranda related to the request by the Secretary of Transportation seeking information concerning the expenditure for highway construction in a particular congressional district. (N1-406-08-10/30)

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

CFO 31 Statement of Transaction Files. Contains SF 224, Statement of Transaction, which is the financial statement of the transactions of all funds by FHWA. (GRS 1.1, item 010)

DISPOSITION: Destroy 6 years after final payment or cancellation.

CFO 32 Treasury Report Files. Contain reports required annually by OMB under Department of the Treasury Circular 965 which is sent to Treasury on the balances of individual appropriation funds using Treasury Form BA-R-2108. Files also contain information on funds transferred from other agencies to FHWA and the transferring of funds by FHWA to other agencies. Included in this are working papers and other supporting documents. Copies maintained in FHWA for reference. (N1-406-08-10/32)

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

CFO 33 Fiscal Management Information System (FMIS). The system is a nationwide on-line computerized projects tracking system containing more than 2 million records related to all Federally funded highway projects. The data is summarized in a variety of ways and used for planning and executing agency programs, for evaluating program performance, and for depicting financial trends and requirements related to current and future funding. The information is maintained on an Oracle database and updated via direct key or file transfer from State, division, or Washington Headquarters fiscal offices. (N1-406-08-10/33)

A. Inputs.

(1) Project Status Report. This report is initially prepared by the reporting office when the State is authorized to proceed with the project. On-line data entry by the Federal-Aid division offices (located in each State, the District of Columbia, and Puerto Rico).

DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cut off, or when no longer needed, whichever is later. (N1-406-08-10/33a(1))

(2) Expenditure Data. Consists of purchase orders, procurement requests, contracts, and other expenditures. This information is entered into Markview Document Management and Imaging System and interfaces with the Delphi accounting system. The Office of Financial Services automated accounting system Delphi interfaces with the Office of Budget system FMIS. The information in both systems should match.

DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cut off, or when no longer needed, whichever is later. (N1-406-08-10/33a(2))

(3) Apportionment Factor Information. Input information is provided from various FHWA offices, and other government agencies to determine apportionments to the State of Federal-aid highway funds. On-line data entry is done by the Washington Headquarters Office of Budget.

DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cut off, or when no longer needed, whichever is later. (N1-406-08-10/33a(3))

(4) Allocation. These allocations of Federal-aid highway funds, not subject to formula apportionment, are made by the Washington Headquarters program offices to the States. On-line data entry of these allocations is done by the Washington Headquarters Office of Budget from data provided from memoranda prepared by the FHWA program offices.

DISPOSITION: Cut off at end of fiscal year. Destroy 20 years after cut off, or when no longer needed, whichever is later. (N1-406-08-10/33a(4))

B. Master Files. Information contained in the data base, including that described above related to Federal-Aid projects. The Master File contains: (1) Active Records pertaining to open and ongoing projects. (This includes those projects which have been in an inactive stage, i.e. in one phase of the project for 6 months or longer.) (2) Inactive Records pertaining to projects that have either been closed or withdrawn.

DISPOSITION: PERMANENT. Information remains in the database system. Cut off at end of fiscal year. Transfer information in accordance with 36 CFR 1235, Subpart C to the National Archives at the close of each fiscal year. (N1-406-08-10/33b)

C. Outputs.

(1) Records consisting of extracted information. Over 130 on-line, batch, and ad hoc reports containing financial and statistical information on individual projects, program and fund activity, and summary data on active, as well as closed, highway projects which have been recorded through FMIS.

DISPOSITION: Destroy 3 years from date of origination, or when no longer needed, whichever is later. (N1-406-08-10/33c(1))

(2) Certificates of Apportionment. Signed and approved by the FHWA Administrator or designee, apportionment of obligated Federal-aid highway funds. The certificates are attached to FHWA Notices in the 4510 series.

DISPOSITION: Cutoff at end of fiscal year. Destroy 20 years after cut off, or when no longer needed, whichever is later. (N1-406-08-10/33c(2))

D. Documentation. Data systems specifications, file specifications, codebooks, record layouts, user guides, output specifications, and final reports (regardless of media) relating to a master file or data base.

DISPOSITION: PERMANENT. Transfer to National Archives with the permanent electronic records to which the documentation relates. GRS 3.1, item 050

CFO 34 Contract Files (Routine Contract Files). Consist of pre- and post-award contracts, grants, cooperative agreements, inter- and intra-agency agreements, requisitions (including funds obligation authority), purchase orders, purchase card transactions, lease (not including real property), and bond and surety records, including correspondence, copies of proposals, and related working papers pertaining to award, administration, receipt, inspection and payment (other than real property and tax exemption files). Files may contain sensitive corporate business information. Also, 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). (GRS 1.1, items 010 and 011)

A. Official record held in the office of record. (GRS 1.1, item 010)

DISPOSITION: Temporary. Destroy 6 years after final payment or cancellation.

B. All other copies. (GRS 1.1, item 011)

DISPOSITION: Temporary. Destroy when business use ceases.

CFO 35 Directives Files. Consist of official file copies, directives, background materials, and other papers related to the development of FHWA directives, including changes that are authorized issuances and used as a primary means of issuing policy instructions and procedures. Record copies are maintained in the Office of Financial and Management Programs (HCFB-30).

A. Notices. Official Agency issuances containing internal policy, instructions, or procedures that generally has a short-term duration; typically, not extending beyond a 1 year period.

(1) Record copy. (N1-406-09-3/6)

DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

(2) All other copies. (N1-406-09-3/7)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

B. Orders. Official Agency issuances containing internal policy, instructions, or procedures expected to remain in effect for more than 1 year.

(1) Record copy. (N1-406-09-3/8)

DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

(2) All other copies. (N1-406-09-3/9)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

C. Joint Interagency Orders and Notices. Official issuances of policy, instructions, or procedures that are administered jointly by FHWA and other DOT Operating Administrations (OAs).

(1) Record copy. (N1-406-09-3/10)

DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

(2) All other copies. (N1-406-09-3/11)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

D. Federal-Aid Policy Guide (FAPG), formerly the Federal-Aid Highway Program Manual (FHPM). The FAPG, terminated as a category of directive by issuance of FHWA Order 1321.1C, contained the Federal-Aid Highway Program (FAHP) regulations published in Titles 23 and 49 of the Code of Federal Regulations (CFR), as well as the non-regulatory supplements and non-CFR related guidance material. It was designed to provide guidance for the FAHP when the FHPM was cancelled in 1991. The FAPG and its supplements contained the current policies, regulations, and non-regulatory procedural guidance related to the FAHP and FHW's Federal Lands Highway Program. Most of these are maintained in HCFB-30.

(1) Record copy. (N1-406-09-3/12)

DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

(2) All other copies. (N1-406-09-3/13)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

E. Background and supporting documents. (N1-406-09-3/14)

DISPOSITION: Temporary. Destroy 5 years after directive is canceled, superseded, or obsolete.

CFO 36 Mission and Organization Files. Include documentation and supporting papers pertaining to changes in the mission, functions, and organizational structure of Agency headquarters and field offices. Approval documents and background information are included that provide rationale and justification for the changes, as well as organizational charts and related papers.

A. Order containing organizational charts and changes (record copies) as well as key documents that provide rationale, justification, and historical information for organizational changes. (N1-406-09-3/19)

DISPOSITION: PERMANENT. Cut off files at end of fiscal year. Transfer to the FRC 5 years after cutoff. Transfer to National Archives when 10 years old.

B. All other material, such as documentation that supports organization-related proposals and changes. (N1-406-09-3/20)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

CFO 37 Travel and Transportation Files. See GRS 1.1, items 010 and 011.

CFO 38 Contracting Officer's Technical Representative (COTR) Records. The primary duty of the COTR is to monitor the contractor's performance to ensure that all of the technical requirements under the contract are met by the delivery date or within the period of performance, and at the price or within the estimated cost stipulated in the contract. The COTR will establish and maintain an organized contract administration file to records all contractor and Government actions pertaining to the contract. The COTR's file is of particular importance, for the documentation of interaction with the contractor may be used in the event of litigation. In addition, an organized file facilitates an easy transition from one COTR to another if reassignment becomes necessary. The file(s) should contain but are not limited to the following types of documentation:

• The contract instrument (i.e., contract modifications, task orders, delivery orders, and the contractor's proposals applicable to these documents).
• The COTR's delegation letter, and all correspondence between the contractor and the contracting officer, filed in chronological order.
• A copy of the contractor's invoices/vouchers and any correspondence pertaining to the payments.
• The COTR's trip reports and written memoranda to the file on telephone conversations or other meetings with the contractor.
• A copy of the contractor's progress reports and other contract deliverables, and all correspondence pertaining to these documents.
• An evaluation of the contractor's performance, completed within 30 days after the contractor has met all terms and conditions of the contract.

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). (GRS 1.1, item 010)

DISPOSITION: Temporary. Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

CFO 39 Office of Inspector General Hotline Complaint/Investigative Files. Case files developed during investigations of known or alleged fraud and abuse and irregularities or violations of laws and regulations, excluding those that result in national media attention, Congressional investigation, or substantive changes in Agency policy or procedure. Cases relate to Agency personnel and programs and operations administered or financed by the Agency, including contractors and others having a relationship with the Agency. This includes investigative files relating to employee and hotline complaints, and other miscellaneous complaint files. Files contain the original complaint, resolution, any correspondence relating to the complaint and investigative reports and related documents, such as correspondence, notes, attachments, and working papers. 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). (N1-406-06-2/3)

A. Files containing information or allegations which are of an investigative nature but do not relate to a specific investigation. They include anonymous or vague allegations not warranting an investigation, matters referred to FHWA offices for handling, and support files providing general information that may prove useful to Inspector general investigations. (N1-406-06-2/3A)

DISPOSITION: Temporary. Place in inactive files when case is closed. Cut off inactive files at the end of the fiscal year. Destroy 8 years after cutoff.

B. All other investigative case files, except those that are unusually significant for documenting major violations of criminal law or ethical standards by Agency officials or others. (N1-406-06-2/3B)

DISPOSITION: Temporary. Place in inactive files when case is closed. Cut off inactive files at the end of the fiscal year. Destroy 10 years after cutoff.

[NOTE: Significant cases, i.e., those that result in national media attention, Congressional investigations and/or substantive changes in Agency policy or procedures are not covered by this item. The disposition of significant investigative files will be determined by NARA. Such files must be scheduled by submitting an SF 115.]

CFO 40 Audit Case Files.

A. Case files maintained by the Office of Financial and Management Programs of internal and external audits of Agency programs, operations, procedures, and audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-09-3/47)

DISPOSITION: Temporary. Cut off case file at the end of the fiscal year in which the case is closed. Destroy 8 years after cutoff.

B. Case files maintained by other FHWA offices of internal and external audits of Agency programs, operations, procedures, audits of contractors and grantees. Files consist of audit reports, correspondence, memoranda, and supporting working papers. (N1-406-09-3/48)

DISPOSITION: Temporary. Cut off case file at the end of the fiscal year in which the case is closed. Destroy 6 years after cutoff.

CFO 41 Technical Advisories (TAs). TAs contain detailed techniques or technical materials, advisory in nature, and are directed toward State Highway Agencies, Governor's Highway Safety Representatives, or local government jurisdictions, as well as FHWA offices. TAs are guidance and not used to impose requirements or issue policy. TAs were terminated as a category of Agency directive but will likely continue to be issued as guidance. Legacy TAs are currently maintained by HCFB-30, but TAs will be owned by the FAHP program offices in FHWA Headquarters which provide national leadership, set policy, and provide guidance in specific program areas. Although these documents are listed in the web based Federal-Aid Highway Program Policy and Guidance Center (PGC), the program offices are the content owners of the documents and are responsible for maintaining the originals.

A. Record copy. (N1-406-09-3/44)

DISPOSITION: PERMANENT. Place in inactive file when superseded. Break inactive file every 5 years and transfer to National Archives upon break.

B. All other copies. (N1-406-09-3/45)

DISPOSITION: Temporary. Destroy in agency when no longer needed.

C. Background and supporting documents. (N1-406-09-3/46)

DISPOSITION: Temporary. Destroy 5 years after directive is canceled, superseded, or obsolete.

CFO 42 Delegation of Authority Files. Include documentation and supporting papers pertaining to delegations of authority from the Secretary of Transportation to the Federal Highway Administrator, and subsequent delegations from the Administrator to headquarters and field officials of the Agency. These files also include records of internal delegations of authority that are made within FHWA headquarters and field organizations. 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). (N1-406-09-3/5)

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