1743 - KEEPING AND DESTROYING RECORDS
Issuing Office: OA/OMA 496-2832
PART 1 ADMINISTRATION:
Section 1100 - General Administration
Part 1 covers records used in the administration and management of
NIH programs and activities, as well as administrative and management
services such as accounting, procurement, personnel and data processing.
EXCLUDED from this section are:
(1) Records which document NIH program activities (see Parts 2
to 4);
(2) Records used in providing information, communications or training
(see Part 5).
1100 GENERAL ADMINISTRATION
A. Legislation and Regulations Files
related to the development, formulation, laws and regulations governing
matters related to NIH's mission.
EXCLUDED from this section are: Records
related to implementation of or compliance with laws and regulations.
(See appropriate subject/functional sections.)
i. Legislative Liaison Records
- These records are created in the analysis of legislation related
to NIH programs and program needs, the development of legislative
proposals, and other legislative liaison functions.
1100-A-1 NIH Legislative History
Files of enacted legislation with supporting documents, including
legislative proposals, testimony before congressional committees,
appropriations and over-sight hearings, excerpts from the Congressional
Record and committee reports. Official file is in DHHS General
Counsel Office.
Disposition: Transfer case files of legislation to inactive
file when superseded or terminated. Destroy inactive file when
15 years old.
1100-A-2 Legislative proposals which have
not yet been enacted into law. Included are supporting documents
such as testimony before congressional committees and studies assessing
existing authorities to meet present and future program objectives.
Disposition: Review for disposal at least every 5 years
and destroy what is not needed for administrative reference. Earlier
disposal is authorized.
1100-A-3 Legislative Highlights, Summaries
of Congressional Activities with related Congressional Correspondence,
and other reports or analyses of legislative developments relevant
to NIH programs compiled for information purposes.
Disposition: Destroy when 5 years old or when no longer
needed for administrative purposes, whichever is later.
ii. Federal Register Documents
1100-A-4 Regulations files
created for the purpose of publishing NIH rules in the Federal Register.
a. Notices of Proposed Rule-Making and final Regulations,
together with pre-clearance documents, concurrence memoranda, public
comments on proposed rule-making, and other correspondence, studies,
reports or background material involved in the development of the
regulations.
Disposition: Official file - Transfer to Federal Records
Center 5 years after being superseded or revoked or the subject
activity is discontinued. Destroy 5 years after superseded, revoked
or discontinued.
Other copies - Destroy no later than 1 year after
being superseded or revoked or the subject activity is discontinued.
b. Summary statements, press releases, synopses of Federal
Register documents, Notices of Department Publications in the Federal
Register, and other required documents which are not essential
to development of the regulation.
Disposition: Destroy when pertinent Regulations files
are transferred to the Federal Records Center. Earlier disposal
is authorized if no longer needed for administrative reference.
1100-A-5 Program announcements,
statements of NIH policies or interpretations, notices of proposed
policies, and other general notices not specified below published
in the Federal Register, including the background material and
correspondence, press release, and memorandum showing PHS concurrence.
Disposition: Official file - File with appropriate program
file. Destroy when program file is destroyed or transferred to
the Federal Records Center.
Other copies - Destroy no later than 2 years after program
is discontinued or policy is superseded or discontinued.
1100-A-6 Statements of availability
of grants and/or contracts published in the Federal Register.
Included are the background correspondence and materials and the
memorandum showing PHS concurrence.
Disposition: Official file - File with appropriate program
files. Destroy when program file is destroyed or transferred to
the Federal Records Center.
Other copies - Destroy when no longer needed for administrative
reference.
1100-A-7 Notices
of Meetings
(a) Notices of meetings of public advisory groups and of chartering
or renewal of public advisory committees.
Disposition: File with appropriate committee case file.
Destroy when program file is destroyed or transferred to the Federal
Records Center.
(b) Notices of Meeting for seminars, workshops, conferences, and
other discussion groups.
Disposition: File with appropriate program file. Destroy
when program file is destroyed or transferred to the Federal Records
Center.
1100-A-8 Statements of organization,
functions and delegations of authority published in the Federal
Register. Included are transmittal memos, clearance documentation,
background correspondence, and the published statements.
Disposition: File with Organization, Functions and Delegations
of Authority files. Destroy when program file is destroyed or
transferred to the Federal Records Center.
1100-A-9 Legislation and Regulations Files/Legislative
Liaison Records
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when superseded or when referencing
or updating is completed.
B. Policy/Subject Files
1100-B-1 Policy Files
created in the Office of the Director to establish NIH policy and
in the IC's to establish internal program policies. Included are
statements of policy with recommendations, staff studies, presentations,
evaluations, reports and conclusions, and correspondence. This item
excludes policies which are published in the NIH Manual or the NIH
Guide for Grants and Contracts.
Disposition: Official File - PERMANENT. Transfer to
Federal Records Center when superseded, obsolete or no longer
needed. Offer to National Archives 10 years after superseded,
obsolete or no longer needed.
Other copies - Destroy no later than 1 year after related policy
is obsolete or discontinued.
1100-B-1a Subject Files created in
the Office of the Director and the offices of the IC Directors'
to document the Director(s)relationship with other NIH components,
DHHS Bureaus, the Assistant Secretary for Health, other government
agencies, and Congress. Also included are records relating to the
planning, development, and management of agency programs. Documents
include correspondence, memoranda, minutes of committee meetings,
briefing materials, position papers, reports, evaluations, and studies.
Disposition: PERMANENT. Review files at 5 year intervals
and transfer those which are no longer needed for reference to
the Federal Records Center. Offer to the National Archives when
20 years old.
1100-B-2 Clinical Center Central
Files related to general policy and procedures, admissions policies
and procedures, general administrative documents, or any other documents
related to the official duties of the Director, Clinical Center.
Location: CC, Office of the Director
a. Recordkeeping Copy:
Disposition: PERMANENT. Offer to National Archives when
7 years old.
1100-B-3 Policy/Subject Files
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when superseded or when referencing
or updating is completed.
C. Program Planning, Review and Evaluation
i. Program Planning Files -
Records created in the determination, development and establishment
of NIH programs and in the review of the effectiveness and need
for change in the statutory base of NIH activities.
EXCLUDED from this section are:
(1) Files related to planning individual biomedical research
projects or experiments; see items 3000-G through J.
(2) Files related to planning individual ADP applications; see
section 2800-A.
(3) Files related specifically and solely to budget planning;
see section 2100.
(4) Plans for management, housekeeping and other services not
specifically related to NIH programs; see appropriate subject/function
headings.
1100-C-1 Biomedical Resources: Studies,
analyses, reports and correspondence which analyze national manpower
and other resources for biomedical research, education and communication
and which state projected requirements for them.
a. Located in OER.
Disposition: PERMANENT. When a program becomes inactive
or records are no longer needed for reference, transfer to Federal
Records Center. Offer to National Archives 15 years after records
are no longer needed.
b. All other copies.
Disposition: Destroy when no longer needed for reference.
1100-C-2 NIH Program Operations:
Studies, analyses, reports, and correspondence which document current
and long-range plans for NIH's program operations. Included are
the Planning-Programming-Budgeting-System files, the Program and
Financial Plan files (Forward Plan), and the Annual Program Review.
a. Located in OSP.
Disposition: PERMANENT. Review files at 5 year intervals
and transfer those which are no longer needed for reference to
the Federal Records Center. Offer to National Archives 15 years
after records are no longer needed.
b. All other copies.
Disposition: Destroy when no longer needed for reference.
1100-C-3 IC Planning
Programs: Program planning files, including statements and definitions
of program objectives, parameters and projections for future activities,
for programs which support NIH's biomedical research, education
and communications mission.
Located in IC Directors' offices.
Disposition: PERMANENT. Transfer to Federal Records Center
when 7 years old. Offer to National Archives when 22 years old.
ii. Program Review and Evaluation
Records created in review, analysis and evaluation of NIH programs
and policies.
EXCLUDED from this section are:
(1) Management studies related to staffing, administration, work
methods and other topics not related to specific NIH programs;
see section 1700-A.
(2) Management studies and analysis of information systems; see
section 2800-A or 8000-C.
(3) Financial audits; see section 1900.
(4) Reports prepared solely for public information and not for
reporting to higher authorities; see section 8000-A.
1100-C-10 NIH Program Analysis
Files: Studies, analyses, reports, correspondence and statistical
data created in the continuing analysis of NIH programs and policies.
Included is the annual Research and Evaluation Plan (HEALTH) and
findings of Congressional or Presidential study groups such as the
President's Biomedical Research Panel.
a. Located in OSP.
Disposition: PERMANENT. Review files at 5 year intervals
and transfer those which are no longer needed for reference to
the Federal Records Center. Offer to National Archives when 15
years old.
b. All other copies.
Disposition: Destroy when no longer needed for reference.
1100-C-11 Reports on major
programs related to the NIH mission, including those to Congress
which are required by statute. These reports contain program status
information, scientific data, accomplishments and statistical information.
a. Reports not duplicated in another permanent file and not included
in a publications series as described by 8000-A-1.
Located in issuing office.
Disposition: PERMANENT. Transfer to Federal Records Center
at 5 year intervals. Offer to National Archives when 15 years
old.
b. All other copies.
Disposition: Destroy after 2 years. Earlier disposal is
authorized.
c. Feeder reports and other background information for 1100-C-11a.
Disposition: Destroy 2 years after consolidated report
is submitted.
1100-C-12 IC Program Analysis
and Review Files including progress reports, statistical compilations,
program audits and analyses of programs with comments and recommendations,
for specific programs which support NIH's biomedical research, education
and communications missions.
a. Located in IC Directors' offices.
Disposition: PERMANENT. Transfer to Federal Records Center
when 7 years old. Offer to National Archives when 22 years old.
b. Program records which document unique activities illustrating
the history of the Clinical Center. These may involve significant
events, policy matters not documented in the Clinical Center Central
File, or special or historic meetings. The records may include copies
of printed programs, and other varied materials.
Located in CC, Office of the Director.
1. Recordkeeping copy:
Disposition: PERMANENT. Incorporated into Clinical Center
Central File when 7 years old. File with other Clinical Center
Central File records scheduled for offer to the National Archives.
c. Program analysis and review files.
Located in all other offices.
Disposition: Destroy when no longer needed for reference
or when 5 years old, whichever is sooner.
1100-C-13 Project clearance
files of records required by the Paperwork Reduction Act.
Disposition: Destroy 5 years after related form is superseded
or terminated.
1100-C-14 Extramural Program
Special Project Files of studies, surveys and reports prepared
in the planning, evaluation and review and reporting on the extramural
program. Examples of subjects covered are peer review, centers survey,
research careers, and human subjects in research.
a. Located in Office of the Deputy Director for Extramural Research.
Disposition: Official File - PERMANENT. Transfer to Federal
Records Center at 10 year intervals. Offer to National Archives
when 25 years old.
b. All other copies of any part of this file.
Disposition: Destroy when no longer needed for reference
and no later than 5 years.
1100-C-15 Research Analysis
and Evaluation Files created in the planning, decision-making and
continuing evaluation of the extramural program. Included are documents
related to the analysis of trends and needs in scientific fields
and to reporting on the status of support and accomplishments.
a. Located in IC Extramural Program Offices.
Disposition: PERMANENT. Transfer to Federal Records Center
when 5 years old. Offer to National Archives when 25 years old.
b. All other copies.
Disposition: Destroy when no longer needed for administrative
reference.
1100-C-16 National Trends
in Health R & D Support: This machine-readable data system
contains data on national and Federal obligations for the support
of health research and development. The file includes information
on Federal health R & D by performance component (grants/contracts),
fields of science, and individual medical school or institution
of higher education, as well as summary data on industry, state
governments, and private non-profit health R & D by source and
performer. Interagency Reports are the source for Federal information,
and there are various sources in the other sectors for the national
data. The file provides data for the NIH Almanac and for the publication,
Dollars for Health R & D. Federal totals are updated annually,
with breakdown bi-annually. The data for the other sectors is updated
annually.
Disposition: Destroy when no longer needed for administrative
purposes.
1100-C-17 Reporting of DHHS
Obligations to Institutes of Higher Education and Other Non-Profit
Organizations: This is a system of data on obligations for all
DHHS agencies by recipient, object and fields of science for science
training grants, fellowships and R & D in universities and colleges.
Input is from IMPAC for NIH data, financial management and budget
offices for other DHHS agencies and from other sources. The system
serves as the DHHS portion of a government-wide annual review of
Federal obligations to institutions of higher education and other
non-profit organizations as required by the National Science Foundation
Act of 1950.
Disposition: All files - Destroy when no longer needed
for administrative purposes.
1100-C-18 Program Planning, Review and Evaluation
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when superseded or when referencing
or updating is completed.
D. Organization and Functions
1100-D-1 Organization and
Functions files consisting of functional statements, organizational
and staffing charts and reorganization studies of NIH and the IC's.
Included are official statements published in the Federal Register
with supporting correspondence and other records which document
successive changes at branch, section and lower-level organizations
and reasons therefore. These documents state the mission of the
agency and subordinate organizations; establish, reorganize, centralize
or decentralize, and discontinue programs and organizational structures;
or show organizational charts and codes; and include records created
in the development of and influencing decisions on these matters.
a. Located in CC, Office of the Director
Disposition: PERMANENT. Transfer a complete set
of superseded statements to Federal Records Center at 10-year
intervals. Offer to the National Archives 10 years after transfer
to the Federal Center.
b. Located in (1) Office
of Management Assessment. (2) Official files of all IC's.
Disposition: PERMANENT. Transfer a complete set
of superseded statements to Federal Records Center at 10 year
intervals. Offer to National Archives 10 years after transfer
to the Federal Records Center.
c. All other copies and correspondence or papers which are not
related to the decision process for determining organizational structures
and functions.
Disposition: Destroy when no longer needed for reference.
1100-D-2 Organization charts
submitted for the Secretary's Uniform System of Department-Agency
Organization Charts.
Disposition: Destroy 2 years after calendar year in which
submitted.
1100-D-3 Organization and Functions
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when file copy is generated or when
referencing or updating is completed.
E. Delegations of Authority
1100-E-1 Delegations of Authority
to the Director, NIH from DHHS officials. Included are official
statements published in the Federal Register with supporting
correspondence and other records which document successive changes
in authorities and reasons therefore. Also included are documents
re-delegating the authority of the Director to subordinates and
records created in the development of and influencing decisions
on these matters.
a. Located in Office of Management Assessment.
Disposition: PERMANENT. Transfer a complete set of superseded
statements to the Federal Records Center at 10 year intervals.
Offer to National Archives when 20 years old.
b. Copies filed in the ICs and all other copies and correspondence
or papers which are not related to the decision process for determining
delegations of authority.
Disposition: Destroy 1 year after being superseded or
becoming obsolete.
1100-E-2 Re-delegation of
authorities from OD and IC officials to subordinates within
their organizations.
Disposition: Official file - Destroy 10 years after being
superseded or discontinued. Earlier disposal is authorized when
no longer needed for administrative reference.
Other copies - Destroy when discontinued or superseded or no
later than 1 year thereafter.
1100-E-3 Delegations of Authority
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when superseded or canceled.
F. Directives
Manuals, guides, handbooks, circulars, and other issuances established
to announce or publish policies and procedures.
EXCLUDED from this section are:
(1) DHHS and PHS Manuals and directives.
(2) Manuals and directives received from other agencies such as
GAO, OPM, OMB and GSA.
Such directives from outside sources, unless they are incorporated
into case files, are not records of NIH. They should be destroyed
as soon as they are obsolete or superseded. Directives interfiled
with other materials should be disposed together with the rest of
the file.
1100-F-1 NIH Directives:
The NIH Manual, NIH Guide for Grants and Contracts, and other
directives for NIH-wide guidance.
a. Record set of current, superseded and obsolete directives maintained
by Office of Management Assessment.
Disposition: PERMANENT. Transfer to Federal Records Center
5 years after becoming superseded or obsolete. Offer to National
Archives 15 years after superseded or obsolete.
b. NIH Guide for Grants and Contracts: Record set maintained by
OER.
Disposition: PERMANENT. Transfer to Federal Records Center
5 years after becoming superseded or obsolete. Offer to National
Archives 15 years after superseded or obsolete.
c. Background documents for directives and issuances such as studies,
suggestions, reports, determinations of committees, instructions
from higher authority and other documents which result in establishment
of, revision to, or termination of policies and procedures.
Disposition: Official file - Destroy when related documents
are sent to the Federal Records Center.
Other copies - Destroy no later than 1 year after becoming superseded
or obsolete. Earlier disposal is authorized.
1100-F-2 Directives issued
at a IC or program level
a. Directives related to administration of program activities such
as intramural research, grants and research contracts. Examples
include the Clinical Center Medical Record Handbook, the
Center for Scientific Research Executive Secretaries' Handbook.
Disposition: PERMANENT. Offer to National Archives in
5 year blocks when newest record in block is 20 years old.
b. Directives issued for limited area of interest or within an
organization, which are for internal use, or which restate policy
already published at the NIH level or which relate to routine administrative
functions (e.g. personnel, payroll, procurement). Examples are Division
of Engineering Services Manual, NHLBI Administrative Procedures
Manual, NIH Committee Management Handbook, and similar
directives.
Disposition: Destroy individual chapters, pages, supplements,
etc., 5 years after being superseded or becoming obsolete and
the entire issuance 5 years after termination. Earlier disposal
is authorized.
c. Reference copies of directives and issuances.
Disposition: Destroy when superseded, obsolete or no longer
needed for reference.
d. Background documents for directives and issuances such as studies,
suggestions, reports, determinations of committees, instructions
from higher authority and other documents which result in establishment
of, revision to, or termination of policies and procedures.
Disposition: Official file - Destroy when related documents
are sent to the Federal Records Center.
1100-F-3 Directives
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when file copy is generated or when
referencing or updating is completed.
G. Committee Management: Chartered
Federal Advisory Committees
These files are created in carrying out the management and control
of advisory committees as required by The Federal Advisory Committee
Act (FACA), as amended, (5 U.S.C. Appendix 2). The term "advisory
committee" as defined by the FACA means any committee, board,
commission, council, conference, panel, task force, or other similar
group, or any subcommittee or other subgroup which is (1) established
by statute or reorganization plan or (2) established or utilized
by the President, or (3) established or utilized by one or more
agencies, in the interest of obtaining advice or recommendations
for the President or one or more agencies or officers of the Federal
Government. This term does not apply to any committee which is composed
wholly of full-time officers or employees of the Federal Government.
Federal advisory committee activities include the establishment,
appointment of members, and operation and termination of chartered
Federal advisory committees.
NOTE: Committee management records retrieved by individual
identifiers are part of a Privacy Act system of records 09-90-0059.
The Privacy Act of 1974 (U.S.C. Subsection 552a) gives the subject
individual right of access upon request and limits disclosure to
those routine uses allowed by law. Confidential Financial Disclosure
Reports (OGE 450) contain highly confidential information and shall
not be released to the public except by court order. Questions concerning
the Privacy Act or Freedom of Information Act should be addressed
to the IC Privacy or Freedom of Information Act coordinators.
1100-G-1 Directory of NIH Federal
Advisory Committees. Electronic listing of authority, function,
structure and membership of each NIH Federal advisory committee.
a. Located in the Office of Federal Advisory Committee Policy.
Disposition: All copies - Delete when superseded
or no longer needed for reference.
(NOTE: This item is a collection of information also found in items
1100-G-7 and 1100-G-8)
1100-G-2 Data files: These
are statistical data files containing information about the NIH's
Federal advisory committees. Documents include financial operating
plans and the President's Annual Report, annual report of closed
meetings, and other statistical reports on the number of committees,
types of committees, membership rosters and other related topics.
Located in the Office of Federal Advisory Committee Policy.
Disposition: All copies - Destroy when superseded or
no longer needed for reference.
1100-G-3 Approval documents
for committees members appointed by the Director, NIH, IC and Office
Directors. Documents include C.V.'s, Requests for Approval of
Nominee for Federal Advisory Committee-HHS Form 532, Individual
Nominee Data Sheet, and other papers related to the approval of
persons for committee membership. These records are subject
to the Privacy Act.
a. Located in IC Committee Management Office or NIH OD Committee
Management Liaison Office.
Disposition: Cut off and transfer to Federal Records
Center 1 year after member completes term of membership, the request
for approval is disapproved, or nominee declines the invitation.
Destroy 6 years after cut off.
b. All other copies.
Disposition: Destroy 1 year after the nominee(s) on
the nomination slate completes term of membership or the request
for approval is disapproved.
1100-G-4 Approval documents
for committees members appointed by the Secretary and the President
Documents include C.V.'s, Requests for Approval of Nominee for Federal
Advisory Committee- HHS Form 532, and other papers related to the
approval for persons for committee membership. These records
are subject to the Privacy Act.
a. Located in IC Committee Management Office or NIH OD Committee
Management Liaison Office.
Disposition: Cut off and transfer to Federal Records
Center 1 year after nominee completes term of membership, the
request for approval is disapproved, or nominee declines the invitation.
Destroy 6 years after cut off.
b. All other copies.
Disposition: Destroy 1 year after nominee(s) on the
nomination slate completes the term of membership or the request
for approval is disapproved.
1100-G-5 Appointment documents
for individual committee members including invitation letter, acceptance
or declination letters, memos, and other official papers related
to the appointment. These records are subject to the Privacy
Act.
a. Located in IC Committee Management Office or NIH OD Committee
Management Liaison Office.
Disposition: Cut off and transfer to Federal Records
Center 1 year after member completes the term of membership or
nominee declines the invitation. Destroy 6 years after cut off.
b. All other copies.
Disposition: Destroy 1 year after member completes the
term of membership or nominee declines the invitation.
1100-G-6 Confidential Financial
Disclosure Report (OGE 450), and Waivers. File current reports
and waivers, if applicable, separately from other documents in confidential
binders by committee. When member submits updated reports and waivers
or completes committee responsibility, file previous reports and
waivers alphabetically by name in separate confidential folders.
These records are subject to the Privacy Act.
a. Located in IC Committee Management Office or NIH OD Committee
Management Liaison Office.
Disposition: Destroy 6 years after the member
completes his/her committee responsibilities or resigns from the
committee, except that documents needed in an on-going investigation
will be retained until no longer needed in the investigation.
NOTE: File these confidential reports and any other
information obtained or prepared in connection with the forms or
waivers (for example, reports of telephone conversations, notes,
authorizations, and addenda) in a secure place and ensure confidentiality
and security of these records as required by the Privacy Act, NIH
and HHS regulations and policies.
1100-G-7 Charters of NIH Advisory
Committees. The original charter, all renewal charters and amended
charters, with supporting documentation, authorizing the initiation
or continuation of a committee.
a. Located in IC Committee Management Office or NIH OD Committee
Management Liaison Office.
Disposition: PERMANENT. Charters cannot be destroyed.
File in the individual committee file. When committee is terminated
or abolished, cut off and place in final individual file, which
contains only originals of charter(s) and supporting materials.
Transfer to Federal Records Center 2 years after cut off date.
Transfer to National Archives 20 years after cut off.
b. Located in the Office of Federal Advisory Committee Policy.
Disposition: Destroy when no longer needed or committee
is discontinued.
c. Other copies.
Disposition: Destroy when no longer needed or committee
is terminated.
1100-G-8 Individual Committee Meeting Records.
These records are maintained by the appropriate IC or NIH OD Office
for managing the operations of its advisory committees. Included
are membership lists and agendas. Also included, if applicable,
are meeting transcripts and any reports prepared by the committee.
These committee records are maintained for every chartered advisory
committee meeting held, including those held by telephone conference.
a. Located in IC Committee Management Office or office of the Designated
Federal Official (DFO) for the committee.
Disposition: PERMANENT. File by fiscal year. Place in
inactive file at end of fiscal year. Transfer to Federal Records
Center when 10 years old. Transfer to National Archives when 30
years old.
b. All other records including of report of meeting arrangement
sheets or lists that contain information regarding conflicts of
interest, individual pre-meeting and committee post-meeting Conflict
of Interest and Confidentiality Certification Forms and other supporting
papers pertinent to the meetings of the committee.
Disposition: File by fiscal year. Destroy when 10 years
old, except as needed in an ongoing investigation and until investigation
is completed.
c. Stenographers' notebooks and electronic recordings of meetings.
Disposition: Destroy after transcription is completed
and reviewed. As required by 42 USC 285a-4, Section 415(3)
of the Public Health Service Act, transcripts for the President's
Cancer Panel will be kept for each meeting.
1100-G-9 Minutes of NIH Advisory
Committees. The original/official set of minutes for each meeting
of every advisory committee meeting advertised in the Federal Register.
This includes minutes of every type of committee, Advisory Council,
Advisory Board, Program Advisory Committee, Board of Scientific
Counselors, Initial Review Group or a subcommittee not reporting
back to a parent committee. Meetings held by telephone conference
are included.
a. Located in IC Committee Management Office or office of the Designated
Federal Official (DFO) for the committee.
Disposition: PERMANENT. Minutes cannot be destroyed.
Place in inactive file at end of fiscal year. Transfer to Federal
Records Center when 10 years old. Transfer to National Archives
when 30 years old.
b. Other copies.
Disposition: Destroy when superseded, committee is terminated
or no longer needed, whichever is sooner.
1100-G-10 Federal Advisory Committee Policy
Records: Includes, for example, copies of Public Laws, OMB and
GSA policies, and Department and NIH policies and procedures related
to implementation of the Federal Advisory Committee Act. Records
also include audit reports and other reports of a policy nature.
Located in the Office of Federal Advisory Committee Policy.
Disposition: Destroy 10 years after being superseded
or discontinued. Earlier disposal is authorized when no longer
needed for administrative reference.
i. Committee Financial
Records
1100-G-20 Scientific Review
and Evaluation Award (SREA) Files maintained in the ICs to document
financial expenditures of committees funded by SREA. Included are
vouchers and receipts for expenses related to initial review of
application, site visits and other authorized committee activities.
This item does not cover copies of financial records maintained
by Office of Financial Management. These records are subject
to the Privacy Act.
Located in the office of the IC Scientific Review and Evaluation
Award (SREA) officer.
Disposition: Place in inactive file when final payment
of award is made. Maintain locally in the IC or transfer each
fiscal year file to the Federal Records Center after 1 year in
inactive file. Destroy 6 years and 3 months after inactivated.
1100-G-21 Financial
documents used to claim reimbursement for Special Government
Employee (SGE) committee members and non-member consultants for
expenses related to committee responsibilities and consultant fees.
This item does not cover copies of financial records maintained
by the Office of Financial Management or IC Administrative Offices.
These records are subject to Privacy Act.
Disposition: Place in inactive file when final payment
is made. Transfer each fiscal year file to Federal Records Center
after 1 year in inactive file. Destroy 6 years and 3 months after
inactivated.
1100-G-22 Committee Management: Chartered Federal
Advisory Committees
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when file copy is generated or when
referencing or updating is completed.
H. Committee Management: Other Organized
Groups
Committee Files created in the establishment, operation and documentation
of the activities of NIH committees, boards, commissions, ad hoc groups
and other appointed or organized bodies, and of outside groups with
which NIH operations interface. Included are charters or authorities,
membership lists, agendas, minutes, reports, directives, correspondence
and supporting papers related to the committee's operations. All of
the records named do not necessarily pertain to all committees.
EXCLUDED from this section are (1) Committee files maintained by
Committee Management Offices (see item 1100-G).
1100-H-1 Files of formally
established staff meetings and other committees or groups at the
NIH or IC level which plan, guide or advise on, report on, or
review effectiveness of overall policies and operations. Included
are OD Staff, Scientific Directors, Extramural Program Management
Committee, Executive Officers, and others.
Disposition: Official File - PERMANENT. Cut off file at
end of calendar year. Transfer to Federal Records Center3 years
after cut off date. Offer to National Archives 13 years after
cutoff.
Other copies - Destroy when 3 years old. Earlier disposal is
authorized.
1100-H-2 Files of technical
committees, staff groups or other organized or ad hoc meetings which
have advisory or operating responsibilities for programs related
to NIH's mission in biomedical research and communications or support
of activities directly related thereto. Examples are the Medical
Board, Research Contracting Committee, Grants Management Advisory
Committee, and Artificial Heart Assessment Panel.
Disposition: Official file - PERMANENT. Cut off file at
end of calendar year. Transfer to Federal Records Center 3 years
after cut off date. Offer to National Archives when 13 years
old.
Other copies - Destroy when 3 years old. Earlier disposal is
authorized.
1100-H-3 Files of committees
and staff groups which advise on, conduct, or review the administrative
operations of the agency. Examples are Administrative Training
Committee and Central Service Task Force.
Disposition: Official File - Destroy when 10 years old.
Other copies - Destroy when 3 years old or when no longer needed
for reference, whichever is sooner.
1100-H-4 EEO Advisory
Council files including minutes of meetings and supporting records
such as committee reports, correspondence discussing relevant issues,
recommendations of the council and other related records.
a. Located in EEO Office.
Disposition: Destroy when 5 years old.
b. Other copies.
Disposition: Destroy when no longer needed for reference
or no later than 5 years.
1100-H-5 Minutes of Meetings
maintained in the Clinical Center Central File.
Located in CC, Office of the Director
a. Recordkeeping copy:
Disposition: PERMANENT. Offer to National Archives when
7 years old.
1100-H-6 Committee Management: Other Organized
Groups
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when file copy is generated or when
referencing or updating is completed.
I. Emergency Planning Files
Files related to formulation and implementation of plans, such as
evacuation plans, for protection of life and property during emergency
conditions.
SEE ALSO:
(1) Safety (1300-B);
(2) Protection and Security Records (1300-C).
1100-I-1 NIH Emergency
Planning and Operations Manual, with related background papers.
a. Located in NIH Emergency Management Branch, Division of Public
Safety, Office of Research Services (ORS).
Disposition: PERMANENT. Cut off when superseded or obsolete.
Offer to National Archives, in 10 year blocks, when latest record
in block is 15 years old.
b. Located in all other offices.
Disposition: Destroy when superseded or obsolete.
1100-I-2 Emergency
Planning Directives, Plans and Related Case Files, including
background papers, reports and correspondence created in the development
of directives and plans.
Located in NIH Emergency Management Branch, Division of Public
Safety, Office of Research Services (ORS).
a. Case Files of plans and directives not issued as NIH Manual
chapters or Information and Instruction Memoranda.
Disposition: PERMANENT. Cut off when superseded or obsolete.
Offer to National Archives in 10 year blocks, when latest record
in block is 15 years old.
b. Case Files of plans and directives issued as NIH Manual chapters
or Information and Instruction Memoranda.
Disposition: Destroy 3 years after issuance of a new plan
or directive.
1100-I-3 Emergency
Preparedness Test Reports: Consolidated or Comprehensive reports
reflecting NIH-wide results of operational tests conducted under
emergency plans.
Located in files of the NIH Emergency Management Branch, Division
of Public Safety, Office of Research Services (ORS).
Disposition: PERMANENT. Cut off when related plan or directive
becomes obsolete or is superseded. Offer to National Archives,
in 10 year blocks, when latest record in block is 15 years old.
1100-I-4 Emergency Operations
Test Files such as instructions to participants, staff assignments,
messages, tests by communications and facilities, and copies of
test reports (excluding consolidated or comprehensive reports covered
by item 1100-I-3).
Located in files of the NIH Emergency Management Branch, Division
of Public Safety, Office of Research Services (ORS).
Disposition: Destroy when 3 years old.
1100-I-5 Emergency
Preparedness Administrative Correspondence Files relating to
administration and operation of the emergency preparedness program,
not covered elsewhere in this section.
Disposition: Destroy when 2 years old.
1100-I-6 Emergency
Directives Reference Files: copies of NIH directives and plans
(other than those maintained in case files described in Item 1100-I-1
above), as well as those issued by Federal Emergency Management
Administration (FEMA), other Federal agencies, State and local governments,
and the private sector.
Disposition: Destroy when obsolete or superseded.
J. Relationships with other Organizations, Agencies
and Governments
Files relating to formal arrangements between NIH and other institutions,
associations, agencies and governments concerning matters related
to NIH's mission.
EXCLUDED from this section are:
(1) Research grants and contracts files; (see sections 4000,
6000).
(2) Records concerning implementation of regulations imposed
by other Federal agencies; (see appropriate subject/function headings).
(3) Records relating to NIH responsibilities for establishing
and implementing standards and procedures applicable outside NIH;
(see section 7000).
(4) Records concerning liaison with Congress; (see items 1100-A-1
to A-3).
1100-J-1 Bilateral International
agreements with other countries for conducting collaborative
research and international cooperation. Official file is in FIC
unless requested by the State Department.
Disposition: PERMANENT. Transfer to Federal Records Center
2 years after completion of related activity or termination of
agreement. Offer to National Archives 12 years after completion
or termination.
1100-J-2 Gorgas Memorial
Institute of Tropical Diseases and Preventive Medical files
documenting FIC role in its operation and financing.
a. Statements of policy, congressional correspondence which affected
decisions on policy, instructions for conducting research programs.
Disposition: PERMANENT. Transfer inactive records to Federal
Records Center at 5 year intervals. Offer to National Archives
20 years after file becomes inactive.
b. Memoranda requesting payment, copies of allowance documents,
and copies of annual reports to congress.
Disposition: Destroy when 5 years old.
1100-J-3 Special Foreign Currency Program (P.L.
480) files documenting all NIH P.L. 480 projects in the biomedical
sciences.
a. The official case file for each foreign program containing the
signed agreement, award documents, a copy of each published document
and final reports or project summaries.
Disposition: Transfer to Federal Records Center 3 years
after fiscal year in which project is terminated. Destroy 3 years
after termination.
b. Progress reports, correspondence, statistical data, and copies
of payment records.
Disposition: Destroy 3 years after fiscal year in which
project is terminated. Earlier disposal is authorized for all
but payment records.
1100-J-4 Files on Scientific
and Educational Organizations which cooperate with and advise
NIH on manpower resources and training needs for biomedical research.
Included are statistical data, reports, speeches, correspondence
and other documents containing information used in NIH program considerations.
a. Files which influenced changes in NIH policy or procedures:
Disposition: PERMANENT. Review files every 3 years and
transfer inactive files to Federal Records Center. Offer to National
Archives 15 years after transfer.
b. All others
Disposition: Destroy when no longer needed for administrative
reference or no later than when 3 years old.
1100-J-5 Sponsoring agency
files relating to private organizations sponsoring clinical
patient volunteers containing copies of contractual agreements and
related reports and correspondence. (For records on individual volunteers,
see section 3000-E.)
Located in CC, Clinical Research Volunteer Program.
Disposition: Destroy 3 years after participation of sponsoring
agency ends.
1100-J-6 Agreements
and memoranda of understanding with foreign countries, relating
to biomedical information activities.
Located in NLM - Office of the Director.
Disposition: Destroy 3 years after agreement or memorandum
of understanding is no longer valid.
1100-J-7 Memoranda of
understanding and agreements with institutions concerning the
use of on-line bibliographical services.
Located in NLM.
Disposition: Destroy 3 years after memorandum or agreement
is no longer valid.
1100-J-8 Records related to associations,
foundations, institutions and other organizations, such as professional
societies, private research establishments, charitable foundations
and special interest groups which conduct, support or promote activities
relevant to NIH programs. Examples include the American Cancer Society,
the Cystic Fibrosis Foundation, the American Association of Medical
Colleges, the Federation of American Societies for Experimental
Biology, the National Society for Autistic Children, et al.
a. Records documenting substantial cooperation or interaction
between NIH and an outside organization in areas or activities directly
related to NIH programs. Examples of such interaction include joint
sponsorship of conference or research activities, or actions or
positions taken by outside organizations which result in changes
in NIH policies, procedures or programs.
Disposition: PERMANENT. Transfer to the Federal Records
Center when 5 years old. Offer to the National Archives when 20
years old.
b. Records of routine interaction, such as responses to requests
for information, participation of individual NIH employees in meetings,
conferences, committees, or other activities of outside organizations.
Disposition: Destroy when 3 years old, or when no longer
needed, whichever is sooner.
1100-J-9 Relationships with Other Organizations,
Agencies and Governments
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when file copy is generated or when
referencing or updating is completed.
K. Public Information
(See Part 5, section 8000.)
L. Patents, Inventions and Licensing
This section covers records developed and/or supported by NIH involved
in the implementation of the Federal Technology Transfer Act.
NOTE: Patents, Inventions and Licensing records retrieved
by individual identifiers are part of Privacy Act system of records
09-25-0168, "Inventions, Patent and Licensing Documents Submitted
to the Public Health Service by its Employees, Grantees, Fellowship
Recipients and Contractors, DHHS/NIH/OTT."
1100-L-1 Records of experimental
and statistical data: logs or notebooks used to record observations
and data which contain evidence for establishing patents or inventions
rights.
Located in intramural program files.
Disposition: Transfer records to Federal Records Center
upon issuance of patent. Destroy 30 years after issuance of patent.
1100-L-2 Employee Invention Reports
invention description submitted by scientists to OTT for review of
patentability.
a. Reports on which patent application will be filed.
Disposition: Incorporate into patent application file.
b. Reports on which patent application will not be filed.
Disposition: Destroy when 10 years old.
1100-L-3 Patent Application Files
containing copies of patent applications, drawings, evaluations, Notice
of Availability for Publication and Licensing, Summary of Invention
Data, published articles, progress/utilization reports and related
correspondence.
a. Located in Office of Technology Transfer.
1. Issued Patent files.
Disposition: Official File. Place in inactive file upon
issuance of patent. Transfer files closed in one fiscal year to
the Federal Records Center 5 years later or when no longer needed
for administrative purposes. Destroy 10 years after expiration of
patent.
2. Abandoned or Withdrawn Patent files.
Disposition: Place in inactive file when the application
is abandoned or withdrawn. Destroy 10 years after file becomes inactive.
b. Located in Division of Extramural Invention Reports.
Disposition: Official file. Place in inactive file upon
issuance of patent. Transfer
files closed in one fiscal year to the Federal Records Center one
year later or when no longer needed for administrative purposes.
Destroy 10 years after expiration of patent. EXCEPTION: Abandoned
cases and cases that involve a Publication Bar,
will be kept for one year upon receipt of notice from Contractor/Grantee.
c. Located in IC Technology Transfer Office
Disposition: Destroy when no longer needed for legal/
administrative activities.
1100-L-4 Foreign Patent Files containing
copies of an application for filing the invention, evaluations, copy
of the patent issued, inventor's assignment rights, correspondence
from domestic and foreign law firms, and other related material.
a. Located in Office of Technology Transfer.
1. Issued Patent files.
Disposition: Official File. Place in inactive file upon
issuance of patent. Transfer files closed in one fiscal year to
the Federal Records Center 3 years later or when no longer needed
for administrative purposes. Destroy 10 years after expiration of
patent.
2. Abandoned or withdrawn Patent files.
Disposition: Place in inactive file when the application
is abandoned or withdrawn. Destroy 10 years after file becomes inactive.
b. Located in IC Technology Transfer Office.
Disposition: Destroy when no longer needed for legal/administrative
activities.
1100-L-5 License Agreement Files.
Located in NIH Office of Technology Transfer
a. Patent-related. Domestic and foreign, exclusive and non-exclusive,
invention license agreements granted either by NTIS or OTT to the
licensee, and correspondence, including progress reports, royalty
reports, negotiations and inquiries.
Disposition: Destroy 10 years after the expiration of
the license agreement.
b. Non Patent-related. Biological Material Licensing Agreement.
Disposition: Destroy 10 years after the expiration of
the license agreement.
c. Other copies including Notice of Availability for Publication
and Licensing.
Disposition: Destroy when no longer needed for current
business.
1100-L-6 Cooperative Research and Development
Agreement (CRADA) between or among ICs and private industry, non-profit
organizations, academia, or other government agencies. Documents include:
original signature page, clearance forms and appendices; correspondence
including progress reports, financial reports, negotiations, and inquiries.
A. Executed Agreements
1. Located in IC Technology Transfer Office.
Disposition: Send to the Federal Records Center 1 year
after termination or expiration. Destroy after 10 years following
termination or expiration of the CRADA; or 10 years after expiration
of termination of any license under a CRADA, whichever comes later.
Media Neutral.
2. Located in NIH Office of Technology Transfer
Disposition: Destroy after 3 years following termination
or expiration of the CRADA. Media Neutral.
B. Non-executed Agreements
Located in IC Technology Transfer Office.
Disposition: Destroy 1 year after it is determined that
the Agreement will not be executed. Media Neutral.
1100-L-7 Staff Working Paper Files: technical
reference materials, publications, convenience copies of documents,
drafts and other working papers maintained for convenience of office
operations by staff members.
Disposition: All copies - Destroy when no longer needed
for current business.
1100-L-8 Chronological File consisting
of copies of documents signed or prepared in the office, and maintained
by date.
Disposition: All copies - Destroy when 5 years old.
1100-L-9 Data Files containing statistical
information about the Technology Transfer Program used for support
of administration functions.
Disposition: All copies - Destroy when no longer needed
for reference.
1100-L-10 Patents, Inventions and Licensing
Electronic copies created on electronic mail and word processing
systems.
Disposition: Delete when file copy is generated or when
referencing or updating is completed.
1100-L-11 Technology
Transfer Agreements Technology transfer agreements not covered
in another section. The agreements include, but are not limited to,
Material Transfer Agreements (MTAs), Simple Letter Agreements (SLAs),
Confidential Disclosure Agreements (CDAs), Clinical Trial Agreements
(CTAs), Letters of Collection (LOCs), and Memoranda of Understanding
(MOU).
NOTE: Disposition schedules for technology transfer agreements
negotiated on behalf of contractors are covered in Section 2600-A.
A. Executed Agreements:
1. The request letter, initial boiler plate PHS and/or NIH
version, outside party�s agreement (if used), marked-up versions
of the agreement documenting substantive changes, telephone logs
documenting negotiated points, correspondence, and any NIH or company
papers documenting STRONG controversy between the two versions,
maintained prior to the approval of the Agreement.
Disposition: Destroy 1 year after the date of execution.
2. The final executed Agreement and post execution correspondence
and documents.
Disposition:
a) For Agreements with a fixed expiration date: destroy 1 year
after expiration or termination of the agreement.
b) For Agreements without a fixed expiration date: destroy
1 year after notification by either party of termination OR
8 years after execution.
3. Copies of documents used for convenience of reference,
working drafts and correspondence requesting pen and ink type (e.g.,
grammatical, style, etc) changes, duplicate copies of documents.
Disposition: Destroy when the Agreement is signed.
B. Non-executed Agreements:
1. The request letter and all other related record material
including correspondence, documents, drafts and logs created.
Disposition: Destroy 1 year after it is determined the
Agreement will not be executed and the file is closed.
2. Copies of documents used for convenience of reference,
working drafts and correspondence requesting pen and ink type (e.g.,
grammatical, style, etc) changes, duplicate copies of documents.
Disposition: Destroy when the Agreement is closed.
C. Electronic copies created on electronic mail and word processing
systems
Disposition: Destroy when the Agreement is closed.
M. General Administrative Files at IC and Lower
Levels: This section covers records of routine internal
administrative and housekeeping activities. This includes correspondence,
memoranda, chronological files, reports, printed materials and other
records related to the administration of daily operations and routine
activities such as personnel; procurement; equipment, supplies and
facilities; budgeting and accounting, policies and procedures; conferences
and visits; dealings with outside organizations and with other IC's
and offices within NIH.
EXCLUDED from this section are:
(1) Official program files - see appropriate subject/function.
(2) Official files of service units such as personnel offices,
budget offices, procurement offices, maintenance and security
units, etc. - see appropriate functional heading.
(3) Any records specifically identified by type and office location
anywhere else in this schedule.
1100-M-1 Administrative Files
accumulated by individual offices that relate to the internal administration
or housekeeping activities of the office rather than the functions
for which the office exists. In general, these records relate to
the office organization, staffing, procedures, and communications;
the expenditure of funds, including training and travel; supplies
and office services and equipment requests and receipts; and the
use of office space and utilities. They may include copies of internal
activity and workload reports (including work progress, statistical,
and narrative reports which are prepared in the office and forwarded
to higher levels) and other materials that do not serve as official
documentation of the programs of the office.
a. Recordkeeping copy:
Disposition: Destroy the recordkeeping copy when
2 years old.
[NOTE: This schedule is not applicable to the record copies
of organizational charts, functional statements, and related records
that document the essential organization, staffing, and procedures
of the office--see appropriate subject heading.]
1100-M-2 Schedules of Daily
Activities. Calendars, appointment books, schedules,
logs, diaries, and other records documenting meetings, appointments,
telephone calls, trips, visits, and other activities of Federal
employees while serving in an official capacity. Materials determined
to be "personal records" are not subject to Federal records-keeping
requirements.
NOTE: High level officials include the Directors,
Scientific and Clinical Directors, Deputy Directors, Associate
and Assistant Directors of NIH and the IC's, as well as staff
assistants of these officials. Unique and substantive records
relating to the activities of these individuals must be scheduled
by submission of an SF 115 to NARA. Contact the NIH Records
Management Officer for assistance.
a. Records containing substantive information related
to the official activities, the substance of which has not been
incorporated into memoranda, reports, correspondence, or other records
included in the official files, excluding records relating to the
official activities of high level officials.
Disposition: Destroy or delete when 2 years
old.
b. Routine materials containing no substantive information
regarding the daily activities of other than high level officials
as defined in "a" above; records of all Federal employees
containing substantive information, the substance of which has been
incorporated into official files; and/or personal records of all
Federal employees relating to nonofficial activities.
Disposition: Destroy or delete when no longer needed for
convenience or reference.
1100-M-3 Suspense Files
Documents arranged in chronological order as a reminder that an
action is required on a given date or that a reply to action is
expected and, if not received, should be traced on a given date.
a. A note or other reminder to take some other action.
Disposition: Destroy after action is taken.
b. The file copy, or an extra copy of an outgoing communication,
filed by the date on which a reply is expected.
Disposition: Withdraw documents when reply
is received. (1) If suspense copy is an extra copy, destroy
immediately. (2) If the suspense copy is the file copy, incorporate
it into the official files.
1100-M-4 Transitory Files
Documents of short-term interest which have no documentary or evidential
value and normally need not be kept more than 90 days. Examples
of transitory correspondence are:
a. Requests for information or publications. Routine requests
for information or publications and copies of replies which require
no administrative action, no policy decision, and no special compilation
or research for reply such as requests for publications or other
printed material.
b. Letters of transmittal. Originating office copies of
letters of transmittal that do not add any information to that contained
in the transmitted material, and receiving office copy if filed
separately from transmitted material.
c. Quasi-official notices. Memoranda and other papers that
do not serve as the basis of official actions, such as notices of
holidays or charity and welfare fund appeals, bond campaigns, and
similar papers.
Disposition: Destroy when 3 months old.
1100-M-5 Tracking and Control Records.
Job control records, status cards, routing slips, work processing
sheets, correspondence control forms, receipts for records charge
out, and other similar records used solely to control work flow
and to record routine and merely facilitative actions taken.
Disposition: Destroy or delete when 2 years old,
or 2 years after the date of the latest entry, whichever is applicable.
1100-M-6 Finding Aids
Indexes, lists, registers, and other finding aids used only to
provide access to records authorized for destruction by the NIH
RCS or GRS or a NARA-approved SF 115, EXCLUDING records containing
abstracts or other information that can be used as an information
source apart from the related records.
Disposition: Destroy or delete with the related
records.
|