Minnesota Department of Transportation Records Retention ... · Minnesota Department of...

Minnesota Department of Transportation Records Retention Schedule Key to columns

• Data Domain Classification (Domain Function and Subject Activity): The categorization for Records Series, based on MnDOT’s Data Management model of domains and subject areas.

• No.: A sequential numbering of Records Series on the retention schedule. • Title: The name of the Records Series. • Description: Additional information to define the scope of the records series. • Citation: The legal citation, if any, that includes a required retention period. • Retention/Disposition

o Trigger: The event, if any, that triggers the start of the retention period. o Time (yrs): The time in years that the record must be retained after the trigger event. o Disposition: The instruction for what to do with the record when it reaches its required retention period.

Key to complex retention rules:

• FHWA Rule: Project Final plus 7 years, or FHWA Final Payment plus 3 years, whichever is later • Reasonable Accommodation Rule: Separation date plus 0 years, or Personnel Action Date plus 2 years, whichever is later • Employee Related Lawsuit Rule: Conclusion of Action/Last Date to Appeal plus 1 year, or Separation Date plus 6 years,

whichever is later • Toxic Substance Exposure Rule: For exposure records, no trigger plus 30 years; for medical records, Separation Date plus 30

years • Lead Exposure Rule: Separation Date plus 20 years, or no trigger plus 40 years, whichever is later • Commercial Driver Drug and Alcohol Testing Rule: Positive testing results (positive for controlled substances, 0.02 or greater

for alcohol), 5 years; Negative testing results, 1 year

Domain Function Subject Activity No. Title Description Citation TriggerTime (yrs)

Disposition

Business Stakeholder/Customer

Customer Market Research

1MARKET RESEARCH MATERIALS

Information from Market Research Projects which may include: Analysis & Presentation Materials; Data Collection Documents; Market Research Plan; Market Research Request; Marketing Proposals; Project Lists; Relevant Notes; Survey Applications

Supersession/Obsolete

Date5 Securely Dispose

Business Stakeholder/Customer

Internal and External Communication

2AWARDS AND NOMINATIONS

Awards given to MnDOT or awards presented by MnDOT, such as Paving Awards, FHWA awards, professional association awards, and others

None 1 Admin Review

3

INTERDEPARTMENT BULLETINS, ANNOUNCEMENTS, CIRCULARS, AND NOTICES

General internal notices from any office or district Supersession/Obsolete

Date0 Dispose

4CIVIL RIGHTS CORRESPONDENCE

Contains general correspondence and correspondence from commissioner, assistant commissioner, governor, FHWA, and contractors. This office certifies contractors as eligible for the Disadvantaged Business Enterprise (DBE) program as it pertains to the letting of construction contracts. It also monitors compliance with the state and federal rules and regulations. Non disadvantaged contractors may protest EEO policy and decisions made in the letting of contracts. This correspondence may be used as historical reference and documentation for these policies and decisions.

Required by Legislative Auditor

None 4 Securely Dispose

5COMMISSIONER'S CORRESPONDENCE

Incoming correspondence from citizens, and official MnDOT responses Appointment End Date 4 State Archive Transfer

6 DISTRIBUTION LISTSDistribution lists in any office or district for things such as news releases, publications, manuals, bulletins, etc.


Date0 Dispose

7MARKETING PROGRAMS AND CONTENT

Communications, public affairs and outreach plans and programs None 5 Dispose

8DEPARTMENTAL PHOTOGRAPHS

General, non project‐specific photographs. None 1Data Practices, State Archive Transfer

9 NEWS RELEASESNews releases, public service announcements, official public statements in any medium (interview, speech, online, etc.)

None 1 State Archive Transfer

10EXTERNAL COMMUNICATIONS PUBLICATIONS

Brochures, guides, articles, posters, etc. for public communications Supersession/Obsolete

Date0 State Archive Transfer

11INTERNAL COMMUCATIONS PUBLICATIONS

Internal newsletters or similar publications None 1 State Archive Transfer

Approved Records Retention Schedule (FINAL)Retention/DispositionData Domain Classification Record Series information

IMERGE Consulting Page 1 6/25/2014


Disposition


Financial Budget 12ALLOTMENT RECORDS & APPROPRIATION

Budget data related to allotment and appropriation. None 6 Dispose

13

BUDGET MODEL: 5 ‐ 20 YEAR FORECAST OF REVENUES AND EXPENDITURES

Long range budget models. None 6 Dispose

14 BUDGET DEVELOPMENTBudget development records such as requests, needs, justification and working papers.

None 7 Dispose

15CAPITAL BUILDING REQUESTS AND DATA

MnDOT requests for capital building projects. None 7 Dispose

Financial Contract and Agreement 16PROFESSIONAL TECHNICAL CONTRACT FILE

Also known as PT Contract or P/T Contract. Types of Professional Technical Contract: Design Build Stipend; High Risk; Interagency; Interagency with MnSCU Colleges; Joint Powers; and, Low Risk. This file includes all PT Contract documents and could also include Request for Proposal (RFP) materials (Formal or Informal RFP).

Agreement End Date 7 Securely Dispose

17CONSTRUCTION CONTRACTS, PROPOSALS AND PERFORMANCE BONDS

Proposals, Special Provisions, Addendums, Construction Contract, Change Orders, Supplemental Agreements, and Performance Bonds.

Letting Complete Date 21 Dispose

18FORCE ACCOUNT DOCUMENTATION

Includes Equipment Rate Approval Worksheet, Daily Equipment Labor Rental Record, Summary of Daily Force Account, and supporting documentation.

49 CFR 18.42 FHWA Rule Dispose

19LAND AND OR BUILDING SALES RECORD PACKETS

Original and Duplicate Ownership Transfer


20LEASES AND RENTAL AGREEMENTS

All types of leases and rentals by MnDOT. Supersession/Obsolete

Date10 Dispose

21

UTILITY, MUNICIPAL, RAILROAD AND STATE TRANSIT SYSTEM AGREEMENTS (PERM)

Long term agreements. Could include utility agreements and associated documents, Notice and Orders, Cooperative Construction Agreements and other Municipal Agreements, State Transit System Agreements, Rail Crossing Agreements, etc.

None Perm Perm

22PARCEL ACQUISITION AGREEMENTS (PARCEL FILE)

Acquisition agreement for each parcel of land acquired by MnDOT. This file could include Leases, Agreements, easements, terms and conditions of sale.

None 100Admin Review, Securely Dispose

23 UNION CONTRACTSEmployment contracts between the State of Minnesota and the bargaining units

None 6 Dispose

24 SPECIAL AGREEMENTS Non‐standard agreements not covered by other agreement types None 25 Dispose

25INTERAGENCY, JOINT POWERS, PARTNERSHIP, AND TRANSIT AGREEMENTS

May also include traffic, routine maintenance, or other agreements that do not fall into the long‐term category of Municipal Agreements

Agreement End Date 10 Dispose

26WAIVER AND RELEASE AGREEMENTS

This includes for example the waiver and release that a media person signs when doing a ride along on a snowplow.


27MASTER PARTNERSHIP PROGRAM CERTIFICATION


28MEMORANDUM OF UNDERSTANDING

Non‐binding agreement. Supersession/Obsolete

Date7 Dispose



Disposition


29 SETTLEMENT AGREEMENTS

Settlement Agreements ‐ agreements for financial settlements. May include the following: Stipulation settlement agreements (MPCA); Workers Comp settlement agreements; Grievance or Labor relations settlement agreements; Court‐ordered settlement agreements; Settlement agreements settling claims of discrimination under state/federal law; others

Terms Met Date 7Admin Review, Securely Dispose

FinancialContractor, Consultant, Grantee, Vendor and Supplier

30VENDORS AND SUPPLIER INFORMATION

Information on the vendors themselves. May include evaluation forms, contact reports, vendors list, certified vendors list, analysis reports.


Supersession/Obsolete Date

4 Securely Dispose

31PROFESSIONAL TECHNICAL VENDOR BONDS, CLAIMS, COMPLAINTS

Records relating to performance bonds, claims against the bonds and complaints not covered elsewhere.

Final Disposition Date 7 Dispose

Financial Debt 32STATE AID FINANCIAL BOND RECORDS

Bond books Life of Bond 5 Dispose

33STATUS OF STATE TRANSPORTATION DEBT

None 7 Dispose

34BRIDGE FINANCIAL BONDING PROGRAM

Final Payment Date 7 Dispose

Financial External Audit 35SUBRECIPIENT SINGLE AUDITS

Annual audit reports of local government and nonprofit organizations to whom the department sub‐grants federal funds.

OMB Circular A‐133; Required by Legislative Auditor

None 4 Dispose

36 PRE ‐ AWARD AUDIT FILES Audit conducted prior to awarding a contract, based on the proposal None 4 Dispose

Financial FHWA Grant 37FEDERAL AID GRANT MANAGEMENT FILE

None 100 Admin Review

38HIGHWAY SAFETY IMPROVEMENT PROGRAM

Maps and Plans ‐ This is a federal grants project to eliminate hazardous signing. The plans & maps show where the old signs were located & where the new ones will be. Participating counties may needto refer to the plans & maps for maintenance of regulatory & warning signs/devices.


39FEDERAL PROJECT FINANCIAL FILES (FHWA)

The documents required by the Federal Highway Administration (FHWA) for financing federal projects.


40FEDERAL AID REIMBURSEMENT REQUEST AND VOUCHER



Financial Fund 41INVOICES FROM TRANSPORTATION HIGHWAY FUND

The original invoices for amounts of money expended from the Trunk Highway Fund shall form part of the permanent files. Note that records may be in electronic format if conditions are met per MN Statute 325L.12 sub (D).

M.S. 161.08 subd (4b) None Perm Perm

42CANCELLED CHECKS AND BANK STATEMENTS


43ENCUMBRANCE REQUESTS AND TRANSACTIONS

All records relating to encumbrance requests and transactions. May include encumbrance liquidations, resolutions, draft, finals, requests.

None 5 Dispose

44GENERAL LEDGER TRIAL BALANCE

None 5 Dispose

45GENERAL LEDGER JOURNAL ENTRIES

All records relating to general ledger entries not classified elsewhere. May include corrections, journal entries, reports, expenditures.

None 5 Dispose

46 FINANCE STATUS REPORTS Required by Legislative Auditor




Disposition


47AGENCY PROJECT FUND LEDGER

It tracks what MnDOT has paid on County and City State Aid Projects. Final Payment Date 7 Dispose

Financial Grant 48 GRANT AGREEMENTS

Includes Federal Transit Authority, Federal Rail Administration, Metropolitan Planning Organization, Hangar Construction, Supportive Services, Working Capital Loan Fund, and other grant agreements not required to be permanent

MN Rules 8835.0350 (Transit); FTA Circular 5010.1D (Transit)


49AERONAUTICS GRANT AGREEMENT (EXCLUDING LAND)

Grants that do not involve land. None 20 Dispose

50GRANT AGREEMENT (LAND OR BUILDINGS)

Includes Aeronautics grants involving land, and Transit grants involving buildings, which must be retained permanently.


FinancialLocal Government (State Aid) Financial

51

COUNTY STATE AID HIGHWAY (CSAH) ANNUAL AND HISTORICAL APPORTIONMENT INFORMATION

These are long term final documents includes how MnDOT apportioned State Aid money and how it was distributed. May include distribution data, screening board, apportionment books, annual apportionments.


52COUNTY & CITY PROJECT BIDS CLOSE


53LOCAL GOVERNMENT FINANCIAL REPORTS

None 5 Dispose

54COUNTY STATE AID HIGHWAY (CSAH) RECONCILIATION SHEETS


Financial Procurement 55 AVERAGE BID PRICESYearly report that gives all items used that year on construction projects let by MnDOT and the average unit price for each item.

None 10 Dispose

56INFORMAL BID FOR RENTED EQUIPMENT


None 4 Dispose

57

PROFESSIONAL TECHNICAL AND OTHER NON‐CONSTRUCTION RFP PROCUREMENTS AND PROPOSALS

Non‐construction proposals and bids None 10 Dispose

58BUILDING SPECIFICATIONS AND PROPOSAL

For MnDOT‐owned buildings End of Service Date 11 Securely Dispose

59FINAL UNSUCCESSFUL PROPOSAL FILE (FINAL BIDDERS' COPIES)

These are unsuccessful proposals.Required by Legislative Auditor

None 4 Dispose

60ABSTRACT FOR AWARDED PROJECTS

None 20 Dispose

61PURCHASING CARD APPLICATION

Application for an employee to use a State credit card (also referred to as a P‐card) or a telephone calling card.



62DEPARTMENT REQUISITIONS AND PURCHASE ORDERS

Requisition for Purchase and Purchase Order documentation. None 5 Dispose

63 WARRANTY INFORMATION Warranty Expiration

Date0 Dispose

Financial Source (Revenue) 64 DEPOSIT SLIP Deposit with State Treasurer None 5 Securely Dispose

65ACCOUNTS RECEIVABLE DOCUMENTATION AND INVOICES

Includes credit memos, invoices, statements, remittance advices and closing statements.




Disposition


66 COLLECTIONS Required by Legislative Auditor

Collection or Write‐off Date

4 Securely Dispose

67 CASH VOUCHERAll records relating to short term cash transactions. Could include receipts, approval forms, daily cash, etc.


None 4 Dispose

68ORDERS FOR MAPS AND OTHER PUBLICATIONS

Also known as Maps and Manuals Sales None 0.25 Dispose

69OUTDOOR ADVERTISING DEVICE FEES



4 Dispose

70HIGHWAY USER TAX DISTRIBUTION INVESTMENT PORTFOLIO ‐ ANNUAL

All records related to the distribution of the investment portfolio. Required by Legislative Auditor

None 4 Dispose

71INVESTMENT PURCHASE SALE AND INTEREST RECORD

All purchases and interest related to investments. None 10 Dispose

72FINANCIAL REVENUE REPORTS

None 5 Dispose

73 SPECIAL FUEL TAX RETURN Required by Legislative Auditor

None 4 Dispose

74SALES & USE TAX DIVISION, CERTIFICATE OF TAX PAYMENTS AND REPORTS

Includes sales and use tax data not otherwise classified. Could include Certificates, spread sheets, requests for refunds, etc.


75TAX AND WARRANT DISTRIBUTION DATA


None 4 Dispose

Financial Transaction 76ACCOUNT AND RESOURCE TRACKING CODES MAINTENANCE

Maintenance of various accounting codes, office codes and other tracking codes



4 Dispose

77

INTER AND INTRA DEPARTMENT CHARGES (DISTRIBUTED AND UNDISTRIBUTED)

Charges between MnDOT organizational units or between MnDOT and another state agency

None 5 Dispose

78RECONCILIATION ‐ (RECONCILED AND UNRECONCILED)

All records relating to reconciliation of accounts not classified elsewhere


None 4 Dispose

FinancialTrunk Highway Road Construction Letting and Contract

79CONSTRUCTION PROJECT LETTING DATA AND TABULATIONS REPORTS

All records relating to the letting of data and tabulations relating to a single project.


80CONSTRUCTION PROJECT PROCUREMENT ‐ PROPOSALS

Technical and Price Proposals for construction projects 49 CFR 18.42 FHWA Rule Dispose

81CONSTRUCTION PROJECT AWARDS


82PROJECT FINAL DOCUMENTATION SUBMITTAL

The documentation used to final out a construction project. 49 CFR 18.42 FHWA Rule Dispose

83RIGHT OF WAY ACQUISITION PAYMENT INFORMATION

Records related to the actual money transfers related to Right of way purchasing. May include invoices, interest information, closing costs, incidentals, reimbursements, etc.


Financial Use (Expenditure) 84EMPLOYEE EXPENSE REPORT

Employee Expenses are processed by the payroll unit. None 4 Securely Dispose



Disposition


85OUT OF STATE TRAVEL EMPLOYEE PACKAGE

Out of state travel employee package may include Requests, Agendas, quotes, tickets, Itinerary, reservations, summaries.


86OUT OF STATE TRAVEL PLAN AND REPORTS BY OFFICE

Out of state logs and summaries by office None 5 Dispose

87FINANCIAL EXPENDITURE REPORTS

Records about financial expenditure not classified elsewhere. None 5 Dispose

88

FREIGHT AND EXPRESS LISTINGS, AUTHORIZED LOCAL PURCHASE FOLDERS, AND PAYMENT SCHEDULES


None 4 Dispose

89REQUEST FOR REIMBURSEMENT OF SPECIAL EXPENSES

Spend MnDOT Funds on something special such as food for a meeting, supplies, and other unbudgeted items.


None 4 Dispose

90 TAX STATEMENTS Property tax, including ditch assessments. Required by Legislative Auditor

Payment Date 4 Dispose

91RIGHT OF WAY RELOCATION PAYMENTS

This is file of payments made to people for relocation. It states when the relocation was made and how much money was paid. These are used for reference and in some legal cases. This include items such as Appraisal Reimbursement Form, Commercial Moving Costs Claim, Rent Supplement or Down Payment Claim, Replacement Housing Supplement, Residential Moving Costs Claim, etc.


92GENERAL OPERATING PAYMENTS (VENDOR INVOICES)

General payments of non‐project related vendor invoices and vouchers.


93AVIATION FUEL TAX REFUND DOCUMENTATION

None 6 Dispose

94 REIMBURSEMENT FILEBills and requests for reimbursement. Tracking of approvals and denials.




Disposition


Human Resources Affirmative Action 95AFFIRMATIVE ACTION REPORTS

Quarterly or annual affirmative action statistics by job category, submitted to Minnesota Management and Budget (MMB) and/or Federal Highway Administration (FHWA).


None 4 Dispose

96 AFFIRMATIVE ACTION PLAN

Plan containing information by professional class, submitted to FederalHighway Administration (FHWA) and/or Minnesota Management and Budget (MMB). The purpose is to reach equal employment opportunities for all persons.


None 4 Dispose

97AFFIRMATIVE ACTION BIENNIAL REPORT


Human Resources Applicant 98EMPLOYMENT VERIFICATION CHECK (EMPLOYEES HIRED)

Background studies/Background check results. Documents may include, but are not limited to: Credit checks, licenses, firearms, criminal checks, education verification, employment checks, taxes, and/or driver's license.

Separation Date 4 Securely Dispose

99EMPLOYMENT ELIGIBILITY VERIFICATION AND BACKGROUND CHECK

Including any photocopies of accompanying identification or supporting documents.

8 CFR 274a.2 Separation Date 3 Securely Dispose

Human ResourcesComplaint and Investigation

100

EQUAL EMPLOYEEMENT OPPORTUNITY COMMISSION (EEOC), MN DEPARTMENT OF HUMAN RIGHTS AND DISCRIMINATION CHARGES

Formerly known as EEO Complaint Hearing File 29 CFR 1602.14 Final Disposition Date 5 Securely Dispose

101EMPLOYEE GRIEVANCES AND/OR COMPLAINTS

Filed under a labor agreement; resolved up to, and including, through the third step and arbitration.

Final Disposition Date 7Admin Review, Securely Dispose

102GENERAL HARASSMENT COMPLAINT FILE(S)


Human Resources Employee 103

REASONABLE ACCOMMODATION REQUEST AND DOCUMENTATION

Reasonable accommodations requests, whether granted or not. 29 CFR 1602.31Reasonable

Accomodation Rule Securely Dispose



Disposition


104 PERSONNEL FILE

This file may include but is not limited to the following: Achievement award documentation, Awards and any related documentation, Conflict of interest requests, Correspondence with or about employee (NOT related to Affirmative Action, Worker's Compensation, Labor Relations, or Vacancy Filling), Disciplinary actions, Employee grievances and/or complaints, Employee performance review, Individual development plan ‐ if part of Employee performance review, Interagency request for State employee services, Layoff documentation, Leave of absence documentation, Military papers, Overtime requests/authorization, Payroll documentation ‐ Requests for leave, Personnel leave or separation sheet, Personnel status and data change sheet, Position description. Promotional rating form, Provisional or temporary extension , Reallocation back pay form, Resignation letter, Retirement incentive records, Retroactive pay adjustment, Special payment request form, Shutdown documentation, Telecommuting approval form, Training records ‐ asbestos/blood borne pathogens/right to know/safety and health related, W ‐ 4 form, Employee Action Form (EAF), Personnel Appointment Form (PAF). THIS APPLIES TO ALL CATEGORIES OF EMPLOYEES ‐ FULL TIME, PART TIME, STUDENT WORKER, INTERN, SUMMER HIRES, ETC.

29 CFR 1627; 29 CFR 1602.31; 29 CRF 825.500


105STATE EMPLOYEE EMPLOYMENT HISTORY CARDS

29 CFR 1602.31 None 100 State Archive Transfer

106EMPLOYEE PAYROLL DOCUMENTATION

This supporting documentation could include time sheets, leave documentation, various pay adjustments and authorization forms to support the payroll processing function but is NOT the payroll process itself.


Human ResourcesLabor and Management Relations

107EMPLOYEE RELATED LAWSUIT FILE(S)

Lawsuits alleging violations of state/federal anti‐discrimination laws and corresponding settlement agreements; Human Resources lawsuits in general.

Employee Related

Lawsuit Rule Securely Dispose

108 EMPLOYEE INVESTIGATIONS Final Disposition Date 6 Securely Dispose

Human ResourcesPosition and Organization

109GENERAL OFFICE EMPLOYEE LISTS AND ROSTERS


Date0 Dispose

110

JOB AUDIT STUDY DOCUMENTATION FOR AGENCIES WITH DELEGATION

Formerly known as Job Audit Files, Job Audit Correspondence, Job Audit Form

None 4 Dispose

111 POSITION DESCRIPTIONA document summarizing the duties and the knowledge, skills and abilities required to perform satisfactorily in a specific position.

2


0 Dispose



Disposition


112POSITION FILE (RECRUITMENT AND SELECTION MATERIALS)

Also known as Vacancy Filling or Recruitment and Selection Materials ‐This file may include but is not limited to: Applicant Roster, Audit Analysis, Audit Cover Sheet, Bid/Interest Bid/Expression of Interest, Candidate Roster, Claimer Request, Class Option Action Form, Class Specification, Classification Notice, Employee Transaction Form (ET Form), Employment Verification Check (Background Information and Release Authorization), Employment Verification Checks Results, Hay Evaluation Quality Assurance Summary (Form 385), Interagency Request for State Employee Services, Intergovernmental Transfer Agreement, Internship Agreement, Internship Application, Interview Questions ‐ Final, Interview Scores, Job Offer Letter, Justification Memo, Layoff List, Monitoring the Hiring Process Form, Notice of Hire

29 CFR 1602.31 Personnel Action Date 4 Securely Dispose

113EMPLOYEE SELECTION ASSESSMENT TOOLS AND ANSWER KEYS

Pertains to examination data gathered through the hiring process. Additional assessments in terms of testing; i.e., written exams, inbox/outbox assessments).



114ORGANIZATIONAL CHARTS AND NARRATIVES

Organization hierarchy and structure. Supersession/Obsolete


115COMMISSIONERS TRANSITION PACKETS

Transition packages are developed to support organizational transitions and reorganizations.



Human ResourcesTraining and Certification

116

CONSTRUCTION INSPECTION AND CERTIFICATION TEST SCORES

These records are generated by a construction inspection certification program.

None 2 Dispose

117

CONSTRUCTION INSPECTION CERTIFICATION CLASS ATTENDANCE RECORDS

These records are generated by a construction inspection certification program.

None 2 Dispose

118CERTIFICATE OF ON ‐ THE ‐ JOB TRAINING HOURS FOR FEDERAL AID PROJECT


119TRAINING COURSE MATERIALS

All records relating to training course materials not otherwise classified. Course Curricula.


Date0 Dispose

120EMPLOYEES TRAINING RECORDS

Employee specific training recordsMN Rules 5206.0700 subd (d) (hazardous materials training)

Separation Date 4 Dispose

121FHWA FELLOWSHIP PROGRAM APPLICATION

Program End Date 1 Dispose

122FHWA TRAINING PARTICIPANTS LIST

Course Completion

Date1 Dispose

123 TUITION REIMBURSEMENTThe request, approval and record of classes taken and reimbursed through the program.

None 10 Dispose

124 CLASS TRAINING RECORDSRecords about a specific training class such as attendees, applications, schedules, etc.

MN Rules 5206.0700 subd (d) (hazardous materials training)

None 3 Dispose

Human Resources Workers Compensation 125WORKER'S COMPENSATION FILES

Completion Date 7 Securely Dispose

Human ResourcesWorkforce Management and Skill

126EMPLOYEE PERFORMANCE REVIEW

All records relating to a specific employees performance. None 4 Securely Dispose



Disposition


Human ResourcesWorkplace Safety and Health

127MnDOT MOTOR VEHICLE ACCIDENT REPORTS

This is a database tracking MnDOT Vehicle Accidents. None 10 Securely Dispose

128 CHEMICAL DATA FILESThese are sent to MnDOT by the Dept. of Health upon our request. The information is used while doing research on sites.

None 25 Dispose

129EMPLOYEE PRIMARY MEDICAL RECORDS

File could include: Insurance Applications, Report of Workability, Supervisor's Incident Investigation Report, Incident Description form, FMLA documentation, Return to Work Form, Fitness for Duty, Medical Exam Evaluation Results, Medical Referral and Authorization.

29 CFR 825.500 Separation Date 4 Securely Dispose

130PRE‐EMPLOYMENT PHYSICAL EXAM

Personnel Action Date 1 Securely Dispose

131

EMPLOYEE EXPOSURES, MONITORING, EVALUATION AND RELATED MEDICAL RECORDS

Records monitoring the use of a toxic substance or harmful physical agent, and related medical records concerning the health status of an employee. See separate record series for lead exposure.

29 CFR 1910.1020Toxic Substance Exposure Rule

Securely Dispose

132HEARING CONSERVATION ‐ AUDIOMETRIC TEST

29 CFR 1910.95(m)(3) Separation Date 0 Securely Dispose

133 EMPLOYEE LEAD EXPOSURE Monitoring of employee lead exposure. 29 CFR 1910.1025(n)(1)(iii)

Lead Exposure Rule Securely Dispose

134MnDOT SAFETY AUDIT/INSPECTION REPORTS

All audits or inspections related to safety or security not used elsewhere.


135COMMERCIAL DRIVER DRUG AND ALCOHOL TESTING

Includes alcohol test results of 0.02 or greater, positive controlled substance test results, documentation of refusals to take tests, driver evaluation and referrals, calibration information, testing program administration records, and annual summary.

49 CFR 382.401(b)Commercial Driver Drug and Alcohol Testing

Rule Securely Dispose

136HEARING CONSERVATION ‐ NOISE EXPOSURE

29 CFR 1910.95(m)(3) None 2 Securely Dispose

137COMMERCIAL DRIVER DRUG AND ALCOHOL TESTING PROCESS

Records related to the alcohol and controlled substances collection process (except calibration of testing devices).

49 CFR 382.401(b) None 2 Securely Dispose

138 SAFETY DATA SHEET (SDS) Previously Materials Safety data Sheets (MSDS) End of Use Date 30 Dispose 139 OSHA 300 LOGS 29 CFR 1904.33 None 6 Securely Dispose

140PERMIT REQUIRED CONFINED SPACES

None 1 Dispose

141 RESPIRATORS ‐ FIT TESTS 29 CFR 1910.134(m)Supersession/Obsolete


142CHEMICAL LAB HYGIENE PLAN


Date0 Dispose



Disposition


Infrastructure Airport 143 FLIGHT CHECK REPORTFederal Aviation Administration (FAA) inspection of radio navigation aids.

End of Service Date 7 Dispose

144AIRPORT LICENSING AND CORRESPONDENCE FILE

For public/private and personal use airports. Closed Date 5 Dispose

145 AIRCRAFT FLIGHT LOGS Log of every flight None 3 Dispose

146 PINE CREEK AIRPORT FILEFor Pine Creek Airport records ONLY. Special issue as it is jointly owned by USA and Canada.


Infrastructure Bicycle 147 BIKEWAYS INVENTORY Files about bike system as a whole both proposed and current. Supersession/Obsolete

Date0 Dispose

Infrastructure Bridge 148 BRIDGE FILES

Records relating to a specific bridge and to the waterway, including but not limited to pile driving reports; bridge survey; structural metals fabrication; testing reports; quality control reports; certificate of compliance; construction plans; as‐built plans.


149BRIDGE SUFFICIENCY RATING

A method of evaluating highway bridge data by calculating four separate factors to obtain a numeric value which is indicative of bridge sufficiency to remain in service.


150BRIDGE RATINGS FOR COUNTIES AND MUNICIPALITIES


Infrastructure Drainage Structure 151DRAINAGE SYSTEM DESIGN, CONSTRUCTION, AND OPERATIONS

Records related to drainage systems that include drainage area maps, calculations, model outputs, construction and maintenance information.

Removal Date 0 Dispose

152 DRAINAGE INSPECTION Inspections of drainage structures Removal Date 0 Dispose

InfrastructureInterchange, Intersection and Section

153INTERSECTION FILES (LONG‐TERM)

Intersection files including cabinet prints, ramp metering, signalized intersections, schedules, etc.


154

SIGNAL SHOP AND TRAFFIC SIGNAL MAINTENANCE REPORTS (10 YEAR INTERSECTION FILES)

May include but is not limited to system turn on or turn off, retroreflective data, signal maintenance reports for intersections, source of power.

None 10 Dispose

Infrastructure Rail Crossing 155 RAIL CROSSING FILE LIST

This is the filing system/indexing for rail crossing “D” and “F” files, railroad agreement files related to Trunk Highway construction projects and Railroad right of way files that do not have parcel numbers assigned to them.


Date0 Dispose

156RAILROAD ‐ HIGHWAY GRADE CROSSING DATA SHEET


InfrastructureRight Of Way and Contaminated Property

157 APPRAISAL RECORD Records relating to the appraisal of property for right of way. None Perm Perm

158 SKETCHES OF BUILDINGS Infrastructure Removal

Date0 Dispose

159 CONDEMNATION FILES All records related to the condemnation of property for Right of Way. None Perm Perm

160 PROJECT TURNBACK FILE All records relating to the turn back of MnDOT right of way. None Perm Perm

161CONVEYANCE/RECONVEYANCE

None Perm Perm

162RIGHT OF WAY PROPERTY SALES

This relates to the transaction itself. None Perm Perm



Disposition


163PLAN APPROVALS (PLANS AND GRADE)

None Perm Perm

164RIGHT OF WAY CERTIFICATION

None Perm Perm

165RAIL ABANDONMENT STATUS FILE

This file contains information about contacts made to shippers on lines that a railroad company plans to abandon. It also contains notifications to municipalities, counties, and legislators.

None Perm State Archive Transfer

166BUILDING REMOVAL CONSTRUCTION PLANS

All documents relating to building removal. Hazardous waste and remediation are classified elsewhere.

None Perm Perm

167PUBLIC LANDS SURVEY RECORDS

Records of the Public Lands Survey System (PLSS) corner monuments None Perm State Archive Transfer

168BUILDING BOOKS AND LEDGERS

None Perm Perm

169 DITCH FILES None Perm Perm

170 PARCEL FILE

All records relating to the purchase or sale of a parcel of land for MnDOT Right of way unless otherwise classified. May include Remediation, appeals, appraisals, Tax assessments, Certificate of title, Settlements, Easements, Encroachments, Offer Letter, Warranty Deed, Quit Claim Deed, Hardship, Legal Description, Abstracts, Torrens, long term parcel specific permits (Army Corps of Engineers, DNR, etc.).

None Perm Perm

171LAND MANAGEMENT WORK ORDERS

All records related to land management work ordersRequired by Legislative Auditor

Work Complete Date 4 Dispose

172 RELOCATION All records related to the relocation off MnDOT Right of Way. None Perm Perm

173RIGHT OF WAY PROJECT REVIEW FILES

Right of Way project review files. None Perm Perm

174 UTILITY COORDINATION

Central Office records include Notice & Orders (N&O); N&O Letters; other correspondence between Central Office and utility owners. District records include: Utility Identification Letters; Utility Meeting Letters; Requests for Relocation Plans; Verification Letters; Previously Issued N&O Letters; Easement questionnaires and responses; other correspondence between District and utility owners; relocation plans received from utility owners.

None Perm Perm

Infrastructure Roadway 175 CONTROL SECTION FILES All information regarding a control section on the highway system. None 100 Admin Review

176 TRAFFIC FORECAST Traffic forecast reports. None 20 Admin Review

177FUNCTIONAL CLASSIFICATION REPORTS AND STUDIES

Functional classification reviews and reports; truck weight and vehicle classification studies


178GREAT RIVER ROAD INFORMATION (LONG TERM)

Great River Road records needed for long term such as Grant in Aid Records, FHWA Authorizations, Historic Records, and road slides.


179GREAT RIVER ROAD INFORMATION (SHORT‐TERM)

Information about the Great River Road which is short term in nature, such as correspondence, Contact reports, etc.


180

MUNICIPAL AND COUNTY STATE AID HIGHWAY MILEAGE REPORTING AND CERTIFICATION

Municipal State Aid Street (MSAS) and County State Aid Highway (CSAH) mileage for reporting to the Federal Highway Administration (FHWA).


181 PAVEMENT HISTORY Previously called Roadway History or Road Life Cards. None 100 Admin Review



Disposition


182INTERSTATE HIGHWAYS FILES

Short term information and reports on the Interstate highways. None 10 Dispose

183 LOG POINT LISTINGSequential listing of Local and Trunk Highway landmarks one crosses when driving along the roadway in the increasing (reference post) direction.


Date0 Dispose

184SYSTEM ANALYSIS FOR REST AREAS ALONG TRUNK HIGHWAYS


Date0 Dispose

185 ROAD CHANGES UPDATES Supersession/Obsolete

Date0 Dispose

186FEDERAL ROUTE DESCRIPTIONS


Date0 Dispose

187HIGHWAY PERFORMANCE MONITORING SYSTEM


188CONTROL SECTIONS, BRIDGE AND JOB NUMBERS AND CODES

This is the numbering system for control sections on the highway system, for bridges, and for projects.


Infrastructure Safety Feature 189LIGHTING MAINTENANCE RECORDS

None 7 Dispose

190NOISE WALL ANALYSIS REPORTS


191TRAFFIC SAFETY PROGRAM STUDIES AND REPORTS

Includes traffic safety programs such as the Highway Safety Improvement Program (HSIP) and Toward Zero Deaths (TZD).

None 10 Dispose

Infrastructure Sidewalk 192AMERICANS WITH DISABILITIES ACT (ADA) REPORTING

Information on improvements and compliance with the Americans With Disabilities Act (ADA).

None 5 Dispose



Disposition


Planning, Programming, and Projects

Construction Project 193AIRPORT CONSTRUCTION PROJECT NUMBERS

Assignment of state project numbers for airport construction projects. None 100 Admin Review

194 BRIDGE PROJECT FILE The final project documentation for a bridge project. 49 CFR 18.42 FHWA Rule Dispose

195RADIO SITE AND TOWER CONSTRUCTION DOCUMENTATION

Radio site and tower construction information. End of Life Date 0 Securely Dispose

196ENVIRONMENTAL PROJECT RECORD

None 11 Dispose

197DISTRICT ENGINEER CONSTRUCTION PROJECT FILE

Construction project documentation that is retained in the District. 49 CFR 18.42 FHWA Rule Dispose

198 PUBLIC HEARING RECORDSPublic hearing information related to transportation projects such as notices, correspondence, transcripts, etc.

Final Payment Date 7 State Archive Transfer

199CONSTRUCTION PROJECT FILES (FINAL)

The final documentation of a State Project (SP) or State Aid Project (SAP), retained by the Central Office.


200RAIL PROJECT FILES (CONTRACTS INCLUDING STATUS REPORTS)


201CONSTRUCTION PROJECT WORKING FILES

Temporary documents that would not be submitted to the final project file.

None 1 Admin Review


Cost Estimating, Cost Management and General Project Management

202PROJECT PLANNING AND SCOPING

Includes project planning lists and reports, scoping reports, project summary reports, total project cost estimates, etc.



Design Exception 203 DESIGN MEMORANDUMThe Design Memo documents the design standards and the design exceptions, if any, for a highway project.



Environmental Process 204ENVIRONMENTAL ASSESSMENT WORKSHEETS AND DOCUMENTATION


205

ENVIRONMENTAL MONITORING DOCUMENTATION AND DATA

MnDOT environmental monitoring of air, water, noise, etc. None 25 Dispose

206 CULTURAL RESOURCESCultural Resources ‐ Documentation to support the Cultural Resources Unit's (CRU) findings for MnDOT or local agency projects and includes reviews of historic and archeological sites.

None 20Data Practices, State Archive Transfer

207ENDANGERED SPECIES CONSULTATION

Records related to endangered species as part of the Environmental Review Process includes items such as correspondence, biological opinions and biological reports.


208FORESTRY AND VEGETATION PLAN AND ASSESSMENT

The planning and valuation of vegetation on MnDOT ROW and includes items such as forestry plans, tree valuations, vegetation reviews, etc.

None 8 Dispose

209

CATEGORICAL EXCLUSION DETERMINATION (FORMERLY PROJECT MEMO)

Environmental document required for minimal impact projects. Typically used when an EA or EIS is not required.

None 10 Dispose



Disposition


210CONTAMINATED MATERIAL INVESTIGATIONS ‐ CONSTRUCTION

Contaminated soil or groundwater investigations conducted for construction projects. Critical documents include Phase I Environmental Site Investigation and Phase II (drilling) investigation. Other documents may include: MnDOT correspondence, regulatory agency correspondence, response action plans, corrective action plans, site safety plans, implementation reports, deed restrictions, meeting notes, handwritten notes, telephone logs, storage tank removal reports, petrofund reimbursement applications.


211WATER QUALITY PROJECT FILES

These files contain information about water quality testing for various sites in Minnesota.

None 30 Dispose

212ENVIRONMENTAL IMPACT STATEMENT

All records that are a part of the Environmental Impact statement such as Final Scoping decision, Interagency statements, MnDOT decisions, Final, section 4(F), section 6(f), determinations, etc.


213BUILDING AND BRIDGE DEMOLITION

Assessment, removal and management of regulated materials for bridge demolition or rehabilitation, and building demolition or relocation.


214WETLAND CONSERVATION ACT AND PROJECT FILES

All data, forms, permits and financial transactions documenting wetland development whether it impacts or creates a wetland and compliance.

None 25 Dispose


Geometric Layout 215DESIGN COMPUTATIONS ‐ BRIDGE

Structure Removal Date 0 Securely Dispose

216BRIDGE DESIGN WORKING FILES

Temporary documents that would not be submitted to the final project file.

Final Payment Date 1 Securely Dispose

217 MUNICIPAL CONSENT FILES

Includes the Municipal Consent submittal package (transmittal, request, copy of staff approved layout (the staff approved layout record is retained separately), project report, and city cost share estimate); City Council Resolution; other official correspondence including changes, new layouts, or appeals as applicable.


218 STATE AID PLANSCounties and municipalities send original copies of plans to State Aid for approval.


219SHOP DRAWING AND TRACING FILES

Structure Removal Date 11 Dispose

220 CONSTRUCTION PLANSThis could include Original Construction Plans, Original Consultant Plans, As Built Construction Plans or As Let Plans.

None Perm Perm

221ORIGINAL LAYOUTS AND PROFILES

Original signed layout and profile Final Payment Date 40 Dispose

222 STAFF APPROVED LAYOUTS Signed staff approved layout and profile. None 40 Admin Review

223

PLANS BY OTHER AGENCIES FOR WORK ON TRUNK HIGHWAYS (COOPERATIVE WORK)

Filed with road plans or scanned for plan file or State Aid. None 100 Admin Review

224HIGHWAY SIGNING LAYOUTS

None 5 Dispose

225 SIGN DRAWINGSSign Inventory keeps sign panel designs. Stored in Sign Inventory Management System (Signcad). It is kept for history.



Information Technology (IT) Project

226BUSINESS APPLICATION DEVELOPMENT INFORMATION

Business Application Development includes project plans, design documentation, use process and service flow charts, prototype screens, case diagrams and specifications, test cases, plans and results, etc.


Date0 Dispose



Disposition


227IT PROGRAM AND PROJECT TRACKING

None 3 Dispose

228INFORMATION TECHNOLOGY PROJECT FILES

Pertains to a design/plan for the use of new software systems. Could contain, but is not limited to, documents such as Project plan, Charter, Request, planning documentation, service level agreements, etc.

None 7 Dispose


Project Scheduling 229 PROJECTS REJECTED Includes all types of rejected projects that are not classified elsewhere. None 3 Dispose

230 PROGRAM PLANSVarious program plans such as DBE Program Plan, Title VI Program Plan, and others.


Date0 Dispose

231FEDERAL PROJECT STATUS RECORDS


232INTERSTATE STATUS REPORTS


233 MONTHLY BRIDGE REPORTThese bridge reports contain information about design, who did the plans, who built it and why changes were made. Referred to when information is needed about the bridge project.

None 20 Dispose

234PROJECT TRACKING AND ACTIVITY INFORMATION

Any records relating to the tracking or activities of a project such as Status Updates, Activity reports, etc.

None 5 Dispose

235HISTORICAL ROADWAY PLANS/CONCEPTS

Original plans and concepts of roads that have been built in the past. A concept shows how a road was intended to be built.



Research Project 236RESEARCH PROJECT FILE (FINAL DELIVERABLE)

Deliverables, such as final reports, from formal Research Projects. None 100 State Archive Transfer

237RESEARCH PROJECT FILE (WORKING DOCUMENTS)

Project management documentation for a specific Research Project. Project Completion

Date2 Dispose

238

COMPLETED RESEARCH EVALUATION AND IMPLEMENTATION RECORDS

None 5 Admin Review


Transportation Investment Management

239APPLICATIONS & PROPOSALS FOR STATE AND FEDERAL AID GRANTS

All records relating to the application and proposal to State and Federal Aid grants not covered elsewhere.


240

BRIDGE REPLACEMENT AND REPAIR‐IMPROVEMENT PROGRAM FILES

This is all information on bridges to be repaired or replaced and their condition


241MAINTENANCE PRESERVATION PROGRAM

Includes Bridge and Road Conditions (BARC). None 10 Securely Dispose

242STATEWIDE MODAL TRANSPORTATION PLANS

Major multimodal and modal (transit, rail, highway, bike, etc.) investment plans and transportation plans, including planning reports that are legislatively or federally required.


243RELEASES (HIGHWAY PLANNING)


244RAIL, PORTS AND WATERWAYS PROGRAM STUDIES AND PRIORITIES

Related to freight, waterway, rail, and/or corridor matters. None 5 Admin Review



Disposition


245 DEVELOPMENT REVIEWS

Site development reviews, planning documents and development proposals that are submitted by local units of government (LGUs) that affect or potentially affect a State or U.S. Highway or Interstate Highway; and MnDOT’s review and responses.

None 10 Dispose

2463 YEAR CONSTRUCTION PLAN


Date0 Dispose

247COMPREHENSIVE PLAN OF CITIES

Any comprehensive plan submitted by the cities such as the Comprehensive Annual Financial Report (CAFR), Budget, Water, Sewer,Land use, etc.


Date10 Dispose

248FOREST HIGHWAY SYSTEMS AND PROGRAM


249PLANNING STUDIES AND REPORTS

This include items such as Highway Bypass, Transit and other general planning studies.

None 10 Dispose

250METROPOLITAN PLANNING ORGANIZATIONS

Metropolitan Planning Organization Unified Planning Work Program (UPWP), Metropolitan Planning Organization Long Range Transportation Plan (LRTP), etc.

None 7 Admin Review


Value Engineering 251VALUE ENGINEERING PROGRAM

Program documents and value engineering studies performed on federal‐aid highway projects.

None 10 Dispose



Disposition


Recorded Events Archive 252HISTORICALLY SIGNIFICANT BRIDGES

When a bridge reaches end of life and the bridge files are up for disposition, if MnDOT or Minnesota Historical Society deem it historically significant it can be reassigned to this record series.


253HISTORICAL ROAD AND BRIDGE PHOTOGRAPHS

Includes indexes, prints, negatives, control photos, etc. None 100 State Archive Transfer

Recorded Events Commodity Movement 254 RAILROAD TIME TABLESMay include schedule and status for commercial rail, commuter rail, light rail transit


Date0 Dispose

255RAIL CARRIER CLASS I, II ANNUAL REPORTS AND COMMODITY STATISTICS


Recorded Events Construction Diary 256CONSTRUCTION PROJECT LOG AND PROGRESS RECORDS


Recorded Events Crash and Accident 257AVIATION ACCIDENT INFORMATION

Accident summary reports (annual), national transportation safety board accident file and notice of accident information.


258MOTOR CARRIER ACCIDENT INFORMATION FILES


259RAILROAD ACCIDENT REPORT

Railroad/highway grade crossing accident/incident reports filed by railroad companies.


260RAILROAD ACCIDENT ACCUMULATION

Also includes Federal Rail Administration accident forms. None 1 Dispose

261RAILROAD ACCIDENT INVESTIGATION FILE

None 5 Dispose

Recorded Events Data Practices 262DATA PRACTICES REQUESTS AND RESPONSES

Data Practices; Requests, correspondence, responses, and any other data requested or supplied under the Minnesota Government Data Practices Act.


Recorded EventsEmergency Management

263BACK UP MEDIA USED FOR DISASTER RECOVERY

Storage media holding copies of data created as part of a business continuation or recovery process.

None 0.08 Dispose

Recorded Events Global Sensor 264DAILY ROAD AND WEATHER CONDITION REPORTS

This is the 511 public info service for road conditions. None 7 Dispose

265WEATHER OBSERVATION AND ACCESS PROGRAM INFORMATION

This includes National and Minnesota weather observation and access programs, including correspondence and contracts with cities and the FAA.

Program End Date 3 Dispose

Recorded Events Maintenance Activity 266ACCOMPLISHMENT REPORTS

Reports of maintenance activities completed. None 3 Dispose

267BRIDGE INSPECTION, RATING, MAINTENANCE AND REPAIR REPORTS

Structure Removal Date 0 Securely Dispose

268 AIRPORT INSPECTION FILE Inspection of airport pavement, building facilities, safety, etc. Supersession/Obsolete

Date0 Dispose

269STATE RAIL ADMINISTRATION INSPECTION

None 10 Dispose

270PHOTOGRAPHIC TRACK CONDITION INSPECTION

Slides and Prints of Rail track conditions None 3 Admin Review

271 RAIL HAZARD RATING None 1 Dispose

272 LANDSCAPING RECORDS All landscaping records such as plans, materials list, data sheets, etc. Final Payment Date 1 Dispose



Disposition


273PESTICIDE APPLICATION RECORD

There is a legal requirement to maintain pesticide application records. M.S. 18B.37 Subd. 2 None 20 Dispose

274

TRAFFIC CONTROL DOCUMENTATION FOR MAINTENANCE OPERATIONS

Includes the information necessary to substantiate that due diligence was used in planning traffic controls for maintenance work zones such as lane closures.

None 0.08 Dispose

Recorded Events Material Testing 275PROJECT MATERIAL INSPECTION AND CERTIFICATIONS

All project material inspections and certification material not otherwise classified such as deflectometer, friction test, recommendations, materials exception summary report, etc.


276FOUNDATIONS AND GEOLOGIC REPORTS

Foundation recommendations and reports, including calculations, boring logs, piezometer logs; Geologic reports


277 INDEPENDENT ASSURANCE SAMPLING & TESTING (IAST)

Information on project materials sampling and testing, used by Independent Assurance reviewers to verify that the testers and equipment are trained and calibrated.


278VIBRATION MONITORING DATA

Information on the noise and vibration analysis and reports from specific projects.


279 PROCTOR TEST Sieve analysis, field moisture, and relative density test reports None 100 Admin Review

280LIQUID LIMIT ‐ PLASTICITY LIMIT DETERMINATION


281BITUMINOUS QUALITY MANAGEMENT PROJECT

Bituminous testing is generally done by the contractor. None 10 Dispose

282CONCRETE TEST BEAM DATA


283LAB TEST AND INSPECTION REPORTS

All data and reports for lab tests. None 100 Admin Review

284

MATERIALS REPORTS OF RECORD SAMPLING AND TESTING NOT OTHERWISE CLASSIFIED

Materials samples and reports not otherwise classified. None 10 Dispose

285 ROCK CORE SAMPLESAll rock core tested in MnDOT. Send representative Physical Material samples to DNR after testing.

Test Completion Date 0 Transfer or Dispose

286STRUCTURAL METALS TEST AND CERTIFICATIONS

This includes structural metals test and certifications (metallurgical, chemical, physical, pilings, radiographs and mills.

Structure Removal Date 0 Dispose

Recorded EventsTraffic Count, Traffic Monitoring and Weight

287

AUTOMATIC TRAFFIC RECORDER DATA AND SUMMARIES (CONTINUOUS DATA)

This is continuous data, as distinguished from short duration data. None 20 Admin Review

288TRAFFIC VOLUME COUNT DATA (SHORT DURATION)

This is short duration data as distinguished from continuous data. None 20 Admin Review

289TRUCK WEIGHT AND VEHICLE CLASSIFICATION STUDIES (TRAFFIC DATA)

Records relating to traffic truck weight and vehicle classification data. None 20 Admin Review

290

VEHICLE CLASSIFICATION COUNT DATA (SHORT DURATION) AND DATA SUMMARIES


291SPEED DATA AND SPEED DATA SUMMARIES


292TRUCK WEIGHT DATA FROM WEIGH IN MOTION (WIM) SENSORS

Includes studies and data summaries. None 17 Dispose



Disposition


293 TRAFFIC CAMERA VIDEOVideo imagery recorded from public access highway and freeway traffic management monitoring.

None 0.01 Admin Review

Recorded Events Traveler Information 294TRAVEL INFORMATION CENTER REPORTS

None 4 Dispose

295WELCOME TO MINNESOTA AND GUESTBOOK

None 1 Dispose

Recorded Events Video Log 296 VIDEO LOGVideo images collected along the entire length of all Trunk Highways in Minnesota.

None 20 Dispose



Disposition


Regulatory Aircraft Registration 297AIRCRAFT REGISTRATION BILLING RECEIPT INFORMATION

Tracks aircraft registration billings and amounts received.Required by Legislative Auditor

None 4 Dispose

298AIRCRAFT REGISTRATION INFORMATION

This includes but not limited to Aircraft Registration Application, Affidavits Of Aircraft Licenses Lost & Duplicated, Insurance Certification Registration Certificate (Alpha & Numeric Sort).


Life of Airplane 4 Dispose

RegulatoryCommercial Vehicle Regulation and Inspection

299

MOTOR CARRIER AUTHORITY CANCELLATION AND SUSPENSION ACTIVITIES

Includes suspension or cancellation or revocation letters to carriers. None 7 Dispose

300MOTOR CARRIER OPERATING AUTHORITY FILES.

May include but is not limited to: applications and credential issuing operating authority.

Expiration Date 30 Securely Dispose

301DRIVER/VEHICLE INSPECTION REPORTS

Reports from inspections of commercial vehicles. None 6 Securely Dispose

302 OPERATOR WAIVERS

Waiver Applications (Deaf/Hard‐of‐Hearing, Insulin‐Dependent Diabetic, Physical and Vision): Application/checklist, DOT medical examination report, medical certification (health card), physician’s examination report, front/back copy of driver’s license, motor vehicle driving record, and waiver reporting requirements from driver for duration of waiver


Date5 Dispose

RegulatoryCommissioner's Orders and Resolution

303COMMISSIONER'S DECLARATION OF EMERGENCY ORDERS


304COMMISSIONER'S INTERNAL MEMOS AND OFFICE DIRECTIVES

None 5 Admin Review

305 COMMISSIONER'S ORDERS None Perm State Archive Transfer

306 OMBUDSMAN CASE FILESAll records relating to pending, current, and past resolutions of issues that came before the Ombudsman.

None 5 Dispose

RegulatoryComplaint and Investigation

307RIGHT OF WAY APPEAL LISTING

None 0.08 Securely Dispose

308

CHIEF COUNSEL DUE PROCESS HEARINGS AND INFORMAL ADMINISTRATIVE HEARINGS

Chief Counsel Due Process Hearings and Informal Administrative Hearings – These include informal hearings related to railroad clearance variances, speed limit determinations, rail safety complaints, and establishing or changing railroad grade crossings; also administrative reconsideration hearings pursuant to 49 C.F.R. Part 26.

None 10 Dispose

309CIVIL RIGHTS EXTERNAL INVESTIGATIONS

MnDOT investigates external parties; scope could include Title VI, Title VII


Investigation Close date 4 Securely Dispose

310PRODUCT/SERVICE COMPLAINT MANAGEMENT

Includes public issues/complaints and responses Final Disposition Date 7 Dispose



Disposition


311

TRANSPORTATION REGULATION PROCEEDINGS (TRP) AND CONTESTED CASE HEARINGS

Transportation Regulation Proceedings (TRP) and Contested Case Hearings – (post‐ July 1, 1996) These are hearings required under MN Statutes, Chapter 14 or other law. (Transportation Regulation Board (TRB) statutory powers and responsibilities were transferred to the Commissioner of Transportation on July 1, 1996, when the TRB was abolished. Historical information from the TRB, pre‐July 1, 1996, is heldby the Minnesota Historical Society, State Archives. Any historical information from the Railroad and Warehouse Commission that is held by MnDOT is included in this record series.)These include hearings on outdoor advertising device permit denials, prevailing wage determinations, permit and medical waiver denials by the Office of Freight and Commercial Vehicle Operations, and decisions related to railroad crossings, bridges or track and structure clearances. Documents may include the following: Commissioner’s orders and memoranda, Supporting documentation, evidence and exhibits for commissioner’s orders, Recommendation of the Administrative Law Judge (ALJ), ALJ hearing record and exhibits, Court documents, briefs of the parties and judgments.


312 CONDEMNATION PROCESS

The Condemnation Process may include: Petition, Notice of Hearing, Request for Dismissal Memo, Order for Dismissal with Prejudice, Stipulation for Award (Legal Settlement Letter), ADMIN Settlement (Letter), Notice of Award, Notification Regarding Appeal.


313FALSE CLAIM INVESTIGATION

Includes records of the panel review, the recommendation, and the current status of individual investigations

Investigation Close


314 SPILL INVESTIGATIONInvestigation of hazardous or non‐hazardous environmental spills on the right of way.


315ATTORNEY GENERAL'S OFFICE LAWSUITS

Attorney General's Office Lawsuits ‐ Copy; Attorney General's Office retains originals per their retention schedule. May include: Court Filings; Court Findings; Supporting Materials.


316AUDITOR SPECIAL INVESTIGATIONS/REVIEWS (EXTERNAL)


317 DAMAGE CLAIM All documentation related to a damage claim.Required by Legislative Auditor

Collection or Write‐off Date

4 Securely Dispose

318LEGISLATIVE CLAIM RECORDS


Final Disposition Date 4 Dispose

319 JUDGMENTS Collection or Write‐off

Date7 Dispose

Regulatory Delegation Of Authority 320DELEGATION OF AUTHORITY (COMMISSIONER)

This is the instrument by which the Commissioner delegates authority to individuals. The Secretary of State's Office has permanent archives of them.


Date0 Dispose

RegulatoryDispute Resolution and Settlement

321LITIGATION HOLD DATA REVIEWED AND PRODUCED

Litigation hold material reviewed for public or not public status and produced through discovery.

Hold Lift Date 2 Dispose



Disposition


Regulatory Enforcement 322MOTOR CARRIER ENFORCEMENT RECORDS

Enforcement of state and federal regulations on motor carriers of passengers and property. Includes but is not limited to: complaint files, complaint forms, investigations, dock audits, safety reviews, compliance reviews. Complaint form contains confidential data.

49 CFR 1220.6 Final Disposition Date 5 Securely Dispose

323CIVIL RIGHTS FEDERAL REPORTS

None 10 Dispose

RegulatoryEqual Employment Opportunity (EEO) and Title VI

324TITLE VI PROGRAM REVIEWS

Reports submitted to the federal government about MnDOT's Title VI activities.

None 3 Dispose

325WORKFORCE CONTRACT COMPLIANCE

For the monitoring of employment opportunities on federal‐aid and state‐aid projects. Includes the following documents: Annual Title 6 Report; Annual Title 7 Report; Certification of on‐the‐job‐training hours EEO 6; Compliance data report EEO 16; Compliance Review Interview EEO 10; Compliance Review Questions EEO 11; Contractor Employment Data EEO 12; Contractor Workforce Analysis EEO 7; Corrective Action Plan EEO 24; Compliance Review Report Total Company Workforce EEO 8; Determination Letter; EEO Officer List; EEO Special Provisions; Indian Employment Special Provisions; Indian Employment Tracking Form; Investigative Summary; Monthly Employment Compliance Report EEO 13; Notification of award of county or municipal state‐aid project EEO 2; Notification of EEO compliance or noncompliance review; On‐the‐job Training Program Approval Form and Instructions EEO 14; On‐the‐job Training Program Approval Letter; On‐the‐job Training Program Denial Letter; On‐the‐jobTraining Program Reminder Letter; On‐the‐job Training Program Trainee Assignment EEO 5; On‐the‐job Training Program Trainee Termination Form; Onsite employment review EEO 9; Preconstruction letter; Questions for project engineer/foreman EEO 25; Tribal Employee Rights Ordinance (TERO) contact list

Contract Completion


Regulatory Internal Audit 326

FINANCIAL AND OPERATIONAL AUDIT REPORTS, FOLLOW ‐ UP, AND CORRESPONDENCE

Includes recommendations, requests for responses, and responses. None 7 Securely Dispose

327FINANCIAL AND OPERATIONAL AUDITS (INTERNAL)

Records that are created during the audit of an organizational unit within MnDOT.

None 7 Dispose

328 FINAL AUDIT FILESAudit done at the close of professional technical contracts and some grants.

None 20 Dispose

Regulatory Legislative 329LEGISLATIVE BILLS AND DOCUMENTATION

Proposed legislation, position papers, briefing reports Supersession/Obsolete

Date7

Data Practices, State Archive Transfer

330FISCAL & LEGISLATIVE INFORMATION

Fiscal Notes and legislative summaries and analysis None 7 State Archive Transfer

331INFORMATION PACKETS FOR CONGRESSIONAL AND STATE POLITICIANS

Information packets made for government leaders may show the use and needs of the Transportation System or any division thereof.


Date0 Dispose



Disposition


332

RULEMAKING, UNDER THE ADMINISTRATIVE PROCEDURES ACT, CHAPTER 14

Rulemaking, under the Administrative Procedures Act, Chapter 14 ‐ (Formerly known as Chapter 14 Rulemaking Case File, Rule Proceeding Case File, Rules for State Transit or Rules Reports). This file may contain the following documents: Publications in the State Register pertaining to the rule; all documents received by MnDOT or the Administrative Law Judge; Statement of Need and Reasonableness (SONAR); official transcript of the hearing, if applicable; Administrative Law Judge (ALJ) report; required modifications; approval or disapproval; any documents required by statute or rules of the Office of Administrative Hearings (OAH); MnDOT's Order Adopting Rules; Reviser's certificate approving the form of the rules; a copy of the adopted rule, stamped by the Secretary of State with the words "Filed with the Secretary of State".

Retention and disposition of the original of the adopted rule is the responsibility of the Secretary of State. MnDOT, Office of Chief Counsel, is the official record holder of all other documents listed above.


333

STATE‐AID DESIGNATION RESOLUTIONS BY CITY COUNCILS AND COUNTY BOARD

All resolutions or executive orders for designation of a state aid road. Also includes backup documentation.


RegulatoryPermit and Authorization

334AVIATION COMMERCIAL OPERATIONS LICENSE FILE

MnDOT licenses commercial operations in the aviation industry. Final Disposition Date 5 Admin Review

335APPLICATION FOR COUNTY HIGHWAY CONSTRUCTION PERMIT


336PERMIT APPLICATIONS SUBMITTED BY MnDOT TO OTHER AGENCIES

All permits submitted by MnDOT including DNR, Corps of Engineers, Pollution Control, watersheds, etc.


337OVERSIZE/OVERWEIGHT PERMITS

Includes the permit data that is used to authorize the movement of loads that exceed legal size and weight limits on Trunk Highways.

None 7 Dispose

338RIGHT OF WAY (ROW) PERMIT

Any permit dealing with MnDOT right of way including Utility, Drainage, Obstructions, Mowing‐Haying, temporary, access, rail bank, outdoor advertising permits, etc.


339STORM WATER POLLUTION PREVENTION PROGRAM (SWPPP)

All information about storm water pollution and prevention such as storm water pollution plans, Municipal Separate Storm Sewer System (MS4), inspections, etc.


340TALL TOWER/STRUCTURE PERMITS

Permits for tall towers or buildings that are potential air navigation obstructions.

None 3 Dispose

Regulatory Policy 341 BUSINESS RECOVERY PLANS

Also referred to as DISASTER RECOVERY PLAN or Continuity of Operations Plan (COOP) ‐ Establishes procedures and assigns ownership of responsibilities for the recovery from a disaster throughout the agency.


Date0

Data Practices, State Archive Transfer

342 STRIKE PLANSEstablishes procedures and responsibilities for management in preparation for and during a union strike.


Date1

Admin Review, Securely Dispose

343EMERGENCY AND EVACUATION PLANS


Date0 Dispose



Disposition


344AGENCY‐WIDE POLICIES AND PROCEDURES

MnDOT Policy and Governance Supersession/Obsolete

Date5 Dispose

345STANDARDS AND GUIDELINES ‐ SHORT TERM

Standards and guidelines which have a short term effect on MnDOT and are continuously updated.


Date10 Dispose

346STANDARDS AND GUIDELINES ‐ PERMANENT

Standards and guidelines which have a significant impact on MnDOT's business, i.e. the various Engineering Manuals, Standard Specifications for Highway Construction, etc.


347DESIGN ADVISORY COMMITTEE REVIEW AND APPROVAL FILE

Comments and approval of standards from the Design Advisory Committee.


348

DEVELOPMENT AND BACKGROUND FILES FOR POLICY, PROCEDURES, STANDARDS AND GUIDELINES

All records relating to pending or current policy, procedures, standards or guidelines

Final Acceptance Date 2 Admin Review

Regulatory Prevailing Wage 349LABOR AND PREVAILING WAGE INVESTIGATION COMPLAINT FILE

Labor Compliance for Prevailing Wage may include Determination Letter, Demand Letter, Order Letter; other related documentation.



350PROJECT CERTIFIED PAYROLLS

This is completed by the resident office and is kept in the project file unless an investigation is required. It is then submitted to Labor Compliance Unit (LCU).


Regulatory Records Retention 351RECORDS CENTER INVENTORY


Date0 Dispose

352RECORDS MANAGEMENT PROJECT FILES

None 4 Dispose

353APPROVED RETENTION SCHEDULE

MnDOT Retention Schedule was migrated to MnDOT Retention and Disposal Schedule (RADS) in 2009 from an Access database which was used from 2005 to 2009. Prior to that time the Schedule was in paper format and other unknown media formats.


Date0 Dispose

Regulatory Security 354REQUEST FOR SECURITY ACCESS

Access Expired Date 10 Securely Dispose

355LOG ‐ ON ID, SYSTEMS AND DATA ACCESS REQUEST FILES

All requests for data from the central warehouse Access Expired Date 1 Securely Dispose

356LOGON TRACKING INFORMATION


357EMPLOYEE INTERNET USE LOGS AND ACCESS VIOLATIONS

Logs created to monitor Internet use by employees, and reports on password or data access violations.

None 0.5 Securely Dispose

358VISITOR AND TEMPORARY ID BADGE LOG

A listing of ID badges issued to MnDOT employees awaiting badges or those who've forgotten or lost their badge.

None 0.25 Dispose

359 ID BADGES/KEYCARDSRecords of persons given proximity access cards to access an agency or building.

Separation Date 0 Dispose

RegulatorySmall Business Contracting

360MENTOR‐PROTEGE PROGRAM

Establishes business partnerships between prime contractors and Disadvantage Business Enterprise (DBE) firms. May include the following: Mentor and/or Protégé' Application, Agreement Follow‐up, Agreement Letter, Interview Questions, Memorandum, Pledge, Program, Minnesota Unified Certification Mentor/Protégé' Directory, etc.




Disposition


361DEBARMENTS AND SUSPENSIONS

Debarments and Suspensions ‐ May include debarment orders, suspension orders, suspension extensions, and certification regarding debarment and suspension.


Date5 Dispose

362

SMALL BUSINESS CONTRACTING (DBE, TGB, VETS) CONTRACT CLEARANCE AND DBE GOALS

To ensure that a prime contractor is making good faith efforts to use DBE/TGB/Vets (Disadvantaged Business Enterprise/Targeted Group Business/Veterans) subcontractors for federal‐aid and state‐aid projects. May include the following: Bidders list; Certificate of Good Faith Efforts; Good Faith Efforts Affidavit; Contract Clearance correspondence; Contractor Payment Form; DBE Description of Work (Exhibit A) and Field Monitoring Report; DBE Participation; DBE Total Payment Affidavit; Final Clearance Document; On‐the‐job Training Acknowledgment EEO 28

Contract Final Payment


363UNIFIED CERTIFICATION PROGRAM (UCP)

DBE Certification, DBE Denials, DBE Appeals. Documents to certify a business as Disadvantaged Business Enterprise (DBE). Covers the following documents: Application Cover Letter; Application for Certification as a DBE; Application Returned Letter; Application Status Tracking Sheet; Contact List; Cover Letter to Request Documents; Facsimile Transmittal Sheet; Personal Net Worth Statement; No Change Affidavit of DBE Eligibility; Recertification Application DBE; Removal of DBE Eligibility from the Minn. UCP

Removal from DBE Program Date

7 Securely Dispose

Regulatory Speed Limit Authority 364SPEED LIMIT AUTHORIZATIONS AND ZONING

Speed limit studies, authorizations and zoning.. None 100 Admin Review

Regulatory Tariff 365 MOTOR CARRIER TARIFFS Household Goods TariffsRequired by Legislative Auditor


4 Dispose

Regulatory Tort Claim 366 TORT CLAIMS FILES Information that may be used for potential tort cases. Incident Date 7 Securely Dispose



Disposition


Spatial Boundary 367 PUBLISHED MAPSOfficial published maps, including but not limited to State Highway, County, Municipality, Right of Way, Metro Street, County Bike, Drainage Maps and others.


368 MAP PRODUCTION FILESComputer Aided Design (CAD) and Geographic Information Systems (GIS) Files used to produce maps.


Date0 Dispose

369 PROJECT MAPPING Mapping for Construction Projects Final Payment Date 7 Dispose

Spatial Coordinate‐based 370TRAFFIC COUNT LOCATION MAPS

Traffic Count Location Maps None 20 Admin Review

Spatial Feature Offset 371 AERONAUTICS CHARTS None 100 State Archive Transfer

SpatialImagery and Remote Sensor

372AERIAL PHOTOGRAPHS AND INDEXES

Photos and photo indexes from aerial survey photography. None 100 State Archive Transfer

373AERIAL PHOTOGRAPHY ‐ WORK ORDERS AND CASH SALES

All documentation related to aerial photography requestsRequired by Legislative Auditor

None 4 Dispose

Spatial Linear Referencing 374 TRAFFIC FLOW MAPSTraffic flow maps, Metro Area grid (street series) flow maps, Municipal flow maps and other historical flow maps.




Disposition


Supporting Assets Administrative 375 INFORMAL PROJECT FILES For projects not classified elsewhere. None 1 Admin Review

376SPECIAL MANAGEMENT PROJECT INFORMATION FILES

Special commissioner/multiple division project files Project Completion

Date1 Admin Review

377COUNCILS, COMMITTEES, COMMISSIONS, ETC. (10YR)

Committees that work on governance and development of policies andguidelines such as the Governance Council, Local Road Research Board, Highway Program Coordinating Committee, etc.

None 10 Dispose

378COUNCILS, COMMITTEES, COMMISSIONS, ETC. (2YR)

Committees that have a short term records retention requirement. None 2 Dispose

379COUNCILS, COMMITTEES, COMMISSIONS, ETC. (PERMANENT)

Committee records that have a long term effect on MnDOT such as Control Section Committee, Regional Development Commission, etc.


380GENERAL CORRESPONDENCE

This is for general correspondence not classified elsewhere. None 1 Admin Review

381FORMS, TEMPLATES AND BOILERPLATES

These are general blank forms, templates and boilerplates. These are work product which can be reused time and time again.


Date0 Dispose

382INTERNAL AND EXTERNAL CONFERENCE REPORTS

These files contain reviews, reports, notes, attendance, etc. from management, technical and professional conferences and meetings.

None 3 Dispose

383INTER ‐ LIBRARY LOAN RECORDS

Records of materials borrowed from or loaned to other libraries. None 2 Dispose

384REFERENCE AND SUBJECT FILES

A source of information to be used for general reference such as publications from other organizations.

None 1 Admin Review

385MISCELLANEOUS, FORMS, REPORTS, STUDIES AND PRESENTATIONS

General office and administrative documents not classified elsewhere. For example Monthly and Yearly Snow and Ice Reports.

None 1 Admin Review

386 INSURANCE RECORDS Coverage End Date 1 Dispose

387 RISK REGISTER ‐ MONTHLY Monthly snapshot of Risk Register data. Supersession/Obsolete

Date0 Dispose

388RISK REGISTER ‐ SEMI‐ANNUAL

Data, trends, program development None 10 Dispose

389SERVICE REQUESTS AND WORK ORDERS

General requests for service not classified elsewhere; includes motor pool, reprographics requests, courier requests, publishing services requests, etc.

None 1 Dispose

390AIR TRANSPORTATION REQUEST (STATE AIRCRAFT)

Both accepted and rejected None 3 Dispose

391STAFF MEETING AGENDAS AND MINUTES

Use this series for meetings and agendas unless stipulated somewhere else.

None 2 Dispose

392SHIPPING AND RECEIVING RECORDS

Records of mail and packages shipped and received. None 0.5 Dispose

393RETURNED CERTIFIED MAIL CARDS OR CARD BOOKS

Gets returned to the office that sent the certified mail. None 4 Dispose

394 TRANSITORY RECORDS

Information which is (1) not an integral part of administrative or operational records file, (2) not required to sustain administrative or operational functions, (3) not regularly filed under a standard records classification system, (4) not required to meet statutory obligations, and (5) recorded only for the time required for completion of actions or ongoing records associated with them.

None 0 Admin Review



Disposition


Supporting Assets Building and Facility 395REGULATED MATERIAL RECORDS

Building assessments and regulated material and waste management facility records.

None Perm Perm

396REGULATED MATERIAL INTERNAL AUDITS

Hazardous/Problem Waste Internal Audits ‐ Annual Spreadsheet Data (audit dates); Field Sheets (notes/related documents) and Findings Memos

None 7 Dispose

397CONTAMINATED MATERIAL INVESTIGATIONS ‐ FACILITIES

These are contamination investigations completed at sites owned by MnDOT, including district headquarters, truck stations, rest areas, storage yards and/or gravel pits. Contaminated Property Investigation files must contain Regulatory Agency Closure Letters, which are considered a critical document. Other Contaminated Property Investigation documents may include, but are not limited to: Correspondence; Consultant reports; Phase II investigation (Drilling Investigation); Site Investigation Work Plan which includes: Response Action Plan, Corrective Action Plan, Site Safety Plan, Quality Assurance Project Plan; Meeting notes; Memoranda; Handwritten notes; Telephone logs; Field reports; Contracts; Invoice summary sheets; Excavated contaminated soil remediation; Storage tank removal reports; PetroFund reimbursement application; Summary reports; Documents regarding: Fuel storage systems for either gasohol or diesel, Hydraulic lift systems, Deicing chemical storage, Motor oil or heating oil storage. Copies of this information will be given to new property owners when sold by MnDOT. MnDOT retains the originals.


398REGULATED MATERIAL EXTERNAL AUDITS

Hazardous/Problem Waste End Site Audits‐ Field Sheets (including Company questionnaire), Findings (approval/Rejection letters), Oil change locations, EPA ID #s


399STORAGE TANK MAINTENANCE AND COMPLIANCE

Aboveground storage tanks maintenance & management‐ State and Federal spill plans; bio‐fuels; propane tanks; guidance documents. District tank inventories ‐ underground storage tanks maintenance & management ‐ bio‐fuels; guidance documents; district tank inventories. District tank compliance manuals and tank website


400BUILDING AND STORAGE SITE RECORDS

Historical record of MnDOT buildings over time. Includes the building and the site it is on.


401BUILDING CONDITION ASSESSMENT REPORTS

Reports to satisfy Dept. of Administration statewide standards. None 100 Admin Review

402BUILDING MAINTENANCE PROJECTS

Maintenance Projects on MnDOT owned facilities such as headquarters buildings, truck station, etc.

End of Life Date 0 Dispose

403BUILDING EQUIPMENT PREVENTIVE MAINTENANCE SCHEDULES

None 4 Dispose

404FACILITY MAINTENANCE LOGS, REPORTS AND INFORMATION

Maintenance documentation for MnDOT owned buildings not listed elsewhere


405BUILDING CONSTRUCTION PROJECT FILES

Construction of MnDOT owned buildings only End of Life Date 5 Securely Dispose



Disposition


406PLANS AND SPECIFICATIONS FOR REST AREAS ON PRIMARY HIGHWAYS


407PRIMARY REST AREA FILES AND INVENTORY

Includes long term Rest areas files, plans, etc. None 100 Admin Review

408FACILITIES AND EQUIPMENT USE PERMITS

Permit to use MnDOT facilities for special use. Event Date 2 Dispose

409 WELL RECOMMENDATIONSData and specific recommendations for MnDOT rest areas and maintenance building wells.


Supporting Assets Consumable Inventory 410AGENCY CONSUMABLE INVENTORY INFORMATION

Includes documentation and reports None 4 Dispose

411AGENCY CONSUMABLE INVENTORY CATALOGS


Date0 Dispose

412LOST, STOLEN, DAMAGED, OR RECOVERED PROPERTY REPORT


None 4 Dispose

Supporting Assets Equipment 413EQUIPMENT ASSIGNMENT RECORDS

Documentation for MnDOT equipment assigned to employees, including cell phones and portable computing devices as well as large equipment

Return Date 1 Securely Dispose

414FIXED ASSET ITEM DOCUMENTATION


415FIXED ASSET INVENTORY REPORTS

None 4 Dispose

416

EQUIPMENT INSPECTION, MAINTENANCE, CALIBRATION AND CERTIFICATION

All documentation about equipment; maintenance, calibration, repair and certification not used elsewhere.


417MOBILE UNIT REPORTS BY UNIT OR INVENTORY NUMBER

None 1 Dispose

418TELEPHONE CALL RECORDING

Encrypted, digital recording of telephone conversations from customers and the general public on select telephone lines coming into MnDOT.

None 0.25 Dispose

419LIQUIDATION RECORD (ACCOUNTING)

None 5 Dispose

Supporting Assets Fleet 420AIRCRAFT MAINTENANCE RECORDS (INCLUDING CORRESPONDENCE)

Life of Airplane 0 Dispose

421PROJECT VEHICLE AND EQUIPMENT USAGE


422MOTOR VEHICLE APPLICATION, TITLE AND REGISTRATION


Supporting AssetsInformation Technology (IT) Inventory

423SYSTEM HARDWARE PERFORMANCE REPORTS

Reports usage and overall health of the system. None 2 Dispose

424BUSINESS APPLICATION SYSTEM DOCUMENTATION

All documentation required to carry out the successful maintenance of an application.




Disposition


425BUSINESS APPLICATION SYSTEM USER MANUALS AND PROCEDURES

All materials to successfully guide employees in use of an application. Supersession/Obsolete

Date5 Dispose

Supporting Assets Metadata 426INFORMATION TECHNOLOGY ARCHITECTURE

The Information Technology Architecture is made of multiple components that include but are not limited to the following: Data Management ‐ Similar to Data Dictionaries, PowerDesigner Glossary and Business Data Catalog and other glossaries of terms that are maintained in different IT areas; Data Models – Various Data Models exists at least in Business Solutions and PMO; Functional Models – Functional Hierarchy Diagrams has been developed for the agency; Technical Architecture – Generally developed for the “as is” and “to be” environments.



Supporting Assets Road Material 427CERTIFICATION OF MATERIALS

Includes aggregates and granular materials None 100 Admin Review

428 APPROVED PRODUCTS All approved or decertified materials products Supersession/Obsolete

Date0 Dispose

429 SOILS PROFILE Soils Borings, Analysis, profile logs and reports None 100 Admin Review

430MnDOT CONSTRUCTION MATERIALS INSPECTIONS

Materials inspections not separately listed. Final Payment Date 7 Dispose

431MINNESOTA ROAD RESEARCH PROJECT DATA

Contains information about a piece of road near Monticello. Special tests and research are being done to learn different ways to build roads.

None 20 Dispose

432 PROJECT PIT USAGEThis Includes Daily Street Diary (Bituminous Plant Mix), Pit Material Request and Pit Payroll Records.


433 PIT FILESIncludes aggregate source (quarry) data and analysis and pit withdrawals


434PAVEMENT SELECTION DATA AND REPORTS

The data and analysis which went into the selection of pavement. None 100 Admin Review

435ANNUAL MATERIAL ACQUISITION REPORTS

None 8 Dispose

436ANNUAL PAVEMENT CONDITION DATA

Contains analysis and/or pavement data and its current state on an annual basis


437

CONSTRUCTION PROJECT INVENTORY AND DISPOSITION OF SURPLUS AND SALVAGE MATERIALS

All materials relating to the disposition of surplus inventory and salvage for construction projects


438SAMPLE IDENTIFICATION CARD

Lab activity related to trial mix None 10 Dispose

439MATERIALS DISPOSITION FORM

None 10 Dispose

440LAB LETTER ‐ GRADING AND SURFACING

Includes grading and surfacing reports Final Payment Date 7 Dispose

441MATERIALS DESIGN RECOMMENDATIONS REPORT

Specifies for the contractor what is required on a project. Formerly referred to as the Soils Letter.


442

BITUMINOUS TRIAL AND JOB MIX DESIGNS (INTERNAL AND CONTRACTOR) AND DATA SHEETS

The job mix formula and the main recipe (trial mix) that the job mix formula is applied to.

None 50 Dispose



Disposition


443CONCRETE TRIAL AND JOB MIXES

The job mix formula and the main recipe (trial mix) that the job mixformula is applied to.


Supporting Assets Survey Control Network 444CONTROL SURVEY DATA FILES

Completed field survey data. None 10 Dispose

445 RIGHT OF WAY PLATSSurveys showing the parcel(s) that are owned by MnDOT. May include Monumentation, Certificate of correction, Right of way plats, Boundary data, railroad station.


446TRUNK HIGHWAY ‐ LOGPOINT LISTING


Date0 Dispose

447 CERTIFICATE OF SURVEY Long term surveying and certificates None Perm Perm

448SPECIFIC EASEMENT DESCRIPTIONS

Documentation on easements onto MnDOT right of way. May include Easement descriptions, Request form, Subdivision plat, and ROW boundary coordinates.


Supporting Assets Tower 449 FCC LICENSE Federal Communications Commission License (station authorization) Supersession/Obsolete

Date0 Dispose

450RADIO TOWER FEDERAL STUDIES (FAA AND FCC)

Various federal studies needed for compliance with Federal Aviation Administration (FAA) and Federal Communications Commission (FCC) rules.


Date0 Dispose


Date post:	28-Apr-2018
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