Cover Image

Not for Sale



View/Hide Left Panel
Click for next page ( 45


The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page 44
44 on the type of contract and whether or not the bid was This section discusses actual transportation agency successful.463 For example, Connecticut requires that practices concerning protection of security information. local government agency bid documents for public The discussion is based on both agency responses to works construction projects (whether accepted or not) questions posed by the author and secondary research. be retained for 6 years after project completion or 6 The intent of this section is to allow transit agencies to years after filing if the project is not built, and then consider approaches adopted by other agencies as they destroyed; bid documents for public works ser- formulate their own policies. Given the sensitivity of vice/supply projects (whether accepted or not) be re- the topic, this section uses anonymous titles for transit tained for 3 years after the audit and then destroyed; agencies that provided responses directly to the author. and construction documents be retained for the life of the structure.464 State statutes may specifically cover A. Transit Agency A468 retention of state DOT records.465 Record retention guid- Agency A is a bus-only transit system located in ance may specify how documents are to be disposed of Northern California. The agency operates 15 weekday after the required retention period. Montana, for ex- local bus routes and 3 weekend/holiday local bus routes, ample, specifies that contract protest records are to be as well as commuter routes, serving a population of shredded 4 years after the protests are resolved.466 Fed- almost 250,000. Agency A addresses SSI under the eral requirements for disposal of SSI should be followed agency's safety and security plan. The agency has es- if they are more stringent than state record disposal tablished an internal audit system of its SSI control requirements. procedures. The increasing use of electronic storage of informa- The safety and security plan treats SSI consistent tion presents special challenges, as it is not always as with the guidance in FTA's Sensitive Security Informa- clear what electronically stored information constitutes tion (SSI) Designation, Markings, and Control docu- public records as it is for information on paper. ment. Previously the agency relied on the Recom- mended Practices from the American Public IV. TRANSIT AGENCY PRACTICES Transportation Association's Emergency Management Program Standards. The agency does not protect infor- A thorough understanding of requirements for han- mation other than SSI from disclosure based on secu- dling security information is needed both to ensure that rity grounds. procurement personnel treat such information appro- The agency's SSI practices were formulated by the priately and that they include appropriate safeguards chief executive officer, chief operating officer, and direc- in bidding and contract requirements. Developing effec- tor of administrative services. The SSI practices do not tive procedures is a critical element; ensuring appropri- directly address procurement. However, the chief oper- ate implementation is perhaps both more critical and ating officer and the agency's procurement officer dis- more difficult.467 cuss SSI requirements, if applicable, when they develop procurement documents. This analysis is limited to se- 463 See, e.g., N.M. CODE, 1.19.8.109, Capital Project Files curity-related bid and contract documents. The practice [Fiscal or contractual documents (bids, quotes, agreements, is to exclude SSI from procurement documents to the contracts, etc.): 10 years after completion of project; Technical extent feasible, limiting inclusion of SSI in contract documents (e.g. blueprints, architectural drawings, soil tests or specifications to the bare essentials required to allow a analyses, engineering specifications, etc.): permanent; All other meaningful response to the solicitation. documents: 2 years after close of fiscal year in which project Agency A has had a very low volume of security pro- completed], jects and thus has had limited experience in deploying www.nmcpr.state.nm.us/nmac/parts/title01/01.019.0008.htm; Washington State Archives, Office of the Secretary of State, its SSI practices. To the extent necessary, the agency Local Government Common Records Retention Schedule would deploy one or more of the following methods for (CORE) Version 1.0 (December 2008), 1.4 con- controlling contractor access to SSI in the procurement tracts/agreements, process, depending on how detrimental to transporta- www.secstate.wa.gov/_assets/archives/RecordsManagement/CO tion safety it would be to allow the information in ques- RE10.pdf. tion to be made public: 464 Office of the Public Records Administrator (Connecticut State Library), Municipal Records Retention Schedule M9, Performing background checks. Public Works, www.cslib.org/publicrecords/retpbworks.pdf. Charging a fee to receive the documents. 465 E.g., Nevada, NEV. REV. STAT. 239.085 State records: Restricting review of contract documents to the re- Disposition by Department of Transportation, questor. www.leg.state.nv.us/NRS/NRS-239.html#NRS239Sec073. Requiring the requestor to sign a nondisclosure 466 Montana record retention schedule for purchasing pro- form. curements: http://sos.mt.gov/Records/forms/state/State_Schedule4.pdf. 467 See Office of the New York State Comptroller, Metropoli- www.osc.state.ny.us/audits/allaudits/093006/06s6.pdf. 468 tan Transportation Authority: Controls Over Security- The description of Agency A's security/procurement prac- Sensitive Information for the Capital Projects Program, Report tices is based on responses from the agency to questions posed 2006-S-6, by the author. Responses are maintained in the author's files.