1743 - KEEPING AND DESTROYING RECORDS
Issuing Office: OA/OMA 496-2832
PART 1 ADMINISTRATION
Section 1700 Management Services
1700 MANAGEMENT SERVICES
Records related to such services as studies and analyses of administrative procedures
and operations, office procedures, correspondence, communications, printing and
distribution services.
EXCLUDED from this section are:
(1) Directives and manual issuances. (See section 1100-F.)
(2) Records related to Privacy Act requests. (See section 8000-F.)
(3) Library records. (See section 8000-D.)
A. Management Appraisal
Records related to management analyses, studies, reviews, audits and investigations.
EXCLUDED from this section are:
(1) Program planning and review records. (See section 1100-C or appropriate program
heading.)
(2) Personnel evaluations. (See item 2300-430.)
1700-A-1 Management Analyses,
Studies, and Projects aimed at improving operations; simplifying
procedures, organizing activities, programs or systems; increasing
efficiency or productivity, determining costs, impacts, etc. Files
include correspondence, interim reports, final drafts, final reports
and working papers, e.g., notes, supporting documentation and data.
a. Management analyses, studies, and projects that are NIH-wide, IC-wide, or that
cover major programs, and that result in recommendations for significant changes in
policies and procedures.
Disposition: PERMANENT. Cut off when no further corrective action is necessary.
Transfer to National Archives 10 years after completion of the project.
b. Management analyses, studies, and projects, that do not result in recommendations
for significant changes in policies or procedures, or whose scope is limited to sub-units
of an Institute/Center or of the Office of the Director, NIH, or which relate to staff or
service functions such as personnel, fiscal accounting, procurement, timekeeping, etc.
Disposition: Official File - Cut off when no further corrective action is
necessary. Destroy 2 years after cutoff. If essential for continuing operations reference,
may be held up to 3 additional years.
c. Other copies
Disposition: Destroy when superseded or discontinued or no later than 1 year
after cutoff.
d. Electronic copies of records that are created on
electronic mail and word processing systems and used solely to generate
a recordkeeping copy of the records covered by other items in this
schedule. Also includes electronic copies of records created on
electronic mail and word processing systems that are maintained
for updating, revision, or dissemination.
Disposition: Delete when recordkeeping copy has been created.
1700-A-2 Reserved
1700-A-3 Research Integrity
Files:
Inquiry and Investigative Case Files: These case files contain copies of
records, located in all NIH (Office of the Director and IC) offices, related to or
collateral to pending, current, or completed allegations, inquires, investigations or
findings of research misconduct, and/or to actions that the Office of Research Integrity
(ORI) has taken in connection with such allegations, inquiries, investigations and
findings. Files consist of all documents used in the inquiry and investigation including
reports, copies of research data, proposals, publications, correspondence, transcripts,
final reports prepared by the institute or ORI, and other supporting documents. After the
case has been closed (when there has been a final agency action), the records are
separated into Misconduct/Administrative Action Files and No-Misconduct Files.
NOTE: After the case is closed, immediately forward all original documents that were
used in the inquiry or investigation, received in or generated by the office, to ORI which
maintains the official file.
a All other copies:
After the case is closed, destroy NIH IC copies of files, excluding the final ORI
report or other decision documents for those cases with a finding of
Misconduct/Administrative Actions.
b Final ORI Reports:
Destroy the Misconduct/Administrative Action final ORI Report or other decision
documents when 3 years old or after termination of the administrative action or when no
longer needed for administrative purposes, whichever is later.
c. Electronic copies of records that are created on electronic
mail and word processing systems and used solely to generate
a recordkeeping copy of the records covered by other items in
this schedule. Also includes electronic copies of records created
on electronic mail and word processing systems that are maintained
for updating, revision, or dissemination.
Disposition: Delete when recordkeeping copy has been created.
1700-A-4 Investigative/Audit Case Files documenting
surveys, reviews, and audits of specific problems or allegations of impropriety or
malfeasance.
a. Investigative case files located in all NIH (Office of the Director and
IC) offices consisting of documents describing the inception, nature, scope and purpose of
each project; all documents used in the inquiry and investigation including significant
correspondence (including e-mail), working papers, working drafts, preliminary draft
report, final draft report, final advisory report, and report related materials; comments
or reactions from concerned NIH officials and/or from individuals or organizations subject
to review or investigations; and related follow-up documents.
1. Historically Important case files documenting any case which, in
consultation with the Director, Office of Management Assessment (OMA) is historically
important because it resulted in major change in NIH or DHHS policy or procedure;
was involved in extensive litigation; received widespread publicity in news media or
scientific journals; or received considerable attention from the Congress or the Executive
Office of the President. Records include: significant correspondence
(including e-mail), preliminary draft report, final draft report, final advisory report,
and supporting work papers for preliminary and subsequent drafts; case file including the
allegation, opinions and IC follow-up response; and comments or reactions from concerned
NIH officials and/or from individuals or organizations subject to review or
investigations; and related follow-up documents.
Disposition: PERMANENT. Place in inactive file after final agency action has
received OMA concurrence. Transfer to the Federal Records Center after 1 year in inactive
file or when no longer administratively needed. Transfer to the National Archives 30 years
after final agency action.
2. Minor Infractions case files documenting investigations of minor
infractions or improprieties (for example, improper expenditure of public funds
less than $5,000), reviews of minor management problems or projects in which the final
recommendation is that no action be taken. Records include: significant
correspondence (including e-mail), preliminary draft report, final draft report,
final advisory report, and supporting work papers for preliminary and subsequent drafts;
case file including the allegation, opinions and IC follow-up response; and comments or
reactions from concerned NIH officials and/or from individuals or organizations subject to
review or investigations; and related follow-up documents.
Disposition: Place in inactive file after final agency action. Transfer to the
Federal Records Center after 1 year in inactive file. Destroy 5 years after final action
on the project.
3. All other investigative case files: except those that are unusually
significant or documenting ethical standards by NIH officials or others.
Disposition: Place in inactive file after final agency action. Inactive
files may be retired to the Federal Records Center 1 year after final action. Destroy 20
years after final action on the project.
b. Audit case files consisting of internal audits of NIH programs, operations,
and procedures, and of external audits of contractors and grantees. Files consists of
supporting working papers.
Disposition: Place in inactive file when case is closed. Cutoff
inactive file at end of fiscal year. Transfer to the Federal Records Center after 1 year
in inactive file. Destroy 8 years after cutoff.
c. All other correspondence working papers, working drafts, and report related
materials for audits and investigations.
Disposition: Destroy 1 year after final agency action has received OMA
concurrence.
d. Electronic copies of records that are created on electronic mail
and word processing systems and used solely to generate a recordkeeping
copy of the records covered by other items in this schedule. Also
includes electronic copies of records created on electronic mail
and word processing systems that are maintained for updating, revision,
or dissemination.
Disposition: Delete when recordkeeping copy has been created.
1700-A-5 Project Control Files.
Memoranda, reports documenting assignments, progress and completion
of projects.
Disposition: Destroy 1 year after the year in which the project is closed.
1700-A-6 Feasibility
Studies and Systems analyses conducted before the installation
of any technology or equipment associated with information management
systems, such as word processing, copiers, micrographics, and communications.
Studies and system analyses for the initial establishment and major
changes of these systems. Such studies typically include a consideration
of the alternatives to the proposed system and cost/benefit analysis,
including an analysis of the improved efficiency and effectiveness
to be expected from the proposed system.
Disposition: Destroy when the completed study is 5 years old.
i. Records related to implementation of OMB Circular A-76 by
the NIH or any of its components
1700-A-7 OMB Circular A-76,
organizational assessments of organizations included under A-76
inventory, including final reports; related correspondence and other
papers documenting implementation of final report.
a. Located in Office of Management Assessment.
Disposition: Destroy after completion of subsequent organizational assessment,
or if organization is abolished, then destroy 3 years after abolition.
b. Located in organization subject to assessment.
Disposition: Destroy 6 months after final action.
1700-A-8 Inventories of A-76 activities including paperwork
necessary for the final inventory such as description of the activities and relevant cost
materials.
a. Located in Office of Management Assessment.
Disposition: Destroy when superseded or obsolete.
1700-A-9 Correspondence pertaining to routine administration,
internal procedures, and other materials relating to OMB Circular A-76.
Located in Office of Management Assessment.
Disposition: Destroy after 5 years, or sooner if no longer needed.
1700-A-10 IRM Triennial Review Files.
Reports required by the General Services Administration concerning reviews of
information resources management (IRM) practices. Included are associated correspondence,
studies, directives, feeder reports, and monitoring surveys and reports.
Disposition: Destroy when 7 years old.
1700-A-11 Information Collection Budget Files.
Reports required by the Office of Management and Budget under the Paperwork Reduction
Act about the number of hours the public spends fulfilling agency reporting requirements.
Included are associated feeder reports, report exhibits, correspondence, directives, and
statistical compilations.
Disposition: Destroy when 7 years old.
1700-A-12 Management Control Records.
Records created in accordance with procedures mandated by OMB Circular A-123,
Management Accountability and Control Systems, and Pub.L. 97-255, the Federal Managers'
Financial Integrity Act. Under these authorities, agencies are required to perform
evaluations of their accounting and administrative controls to prevent waste, fraud, and
mismanagement.
a. Policy, procedure, and guidance files.
Copies of internal directives maintained by the agency's internal control staff (but
not those copies maintained in the agency's official file of internal directives);
external directives such as OMB Circular A-123; and correspondence outlining policy and
procedure for performing management reviews.
Disposition: Destroy when superseded.
b. Management control plans.
Comprehensive plans documenting the agency's efforts to ensure compliance with OMB
Circular A-123.
Disposition: Destroy when superseded.
c. Risk analyses.
Reports and supporting materials used to document review of program areas for
susceptibility to loss or unauthorized use of resources, errors in reports and
information, and illegal and unethical actions.
Disposition: Cut off closed files annually. Destroy after next review cycle.
d. Annual reports and assurance statements created by organizational
components below the agency (department or independent agency) level and compiled by the
agency into a single unified report for direct submission to the President or Congress.
[See note after item 14d.]
Disposition: Cut off closed files annually. Destroy after next reporting cycle.
[NOTE: This item does not cover the consolidated final reports submitted directly to
the President or Congress. The final reports must be scheduled by submitting an SF 115 to
NARA.]
e. Tracking files.
Files used to ensure the completion and timeliness of submission of feeder reports,
including schedules of evaluations, interim reporting, lists of units required to report,
and correspondence relating to the performance of the reviews.
Disposition: Destroy 1 year after report is completed.
f. Review files. [See note after item 14f(2).]
Correspondence, reports, action copies of audit findings, and
other records that identify program internal control weaknesses, and corrective actions
taken to resolve such problems. Since A-123 provides for alternative internal control
reviews under OMB Circulars A-76, A-127, or A-130, this item also applies to copies of
these reviews, provided they are identified as alternative reviews in the management
control plan.
(1) Office with responsibility for coordinating internal control functions.
Disposition: Cut off when no further corrective action is necessary. Destroy 5
years after cutoff.
(2) Copies maintained by other offices as internal reviews.
Disposition: Cut off when no further corrective action is necessary. Destroy 1
year after cutoff.
[NOTE: Alternative reviews such as computer security reviews and management and
consultant studies may need to be kept longer than provided in item 14f(2). This item
applies only to copies maintained as internal reviews.]
B. Records Management
This section covers files created in development, improvement, standardization and
management of methods, programs and directives for efficient and effective creation, use,
distribution, filing, retrieval and disposition of records at NIH.
1700-B-1 Records Disposition
Files: Descriptive inventories, disposition authorizations,
records schedules and reports.
a. Basic documentation of records description and disposition programs, including SF
115, Request for Records Disposition Authority, SF 135, Records Transmittal and Receipt
and related documentation, SF 258, Request to Transfer, Approval, and Receipt of Records
to National Archives of the United States; and related documentation.
Located in Office of Management Assessment.
Disposition: Destroy when related records are destroyed or transferred to the
National Archives, or when no longer needed for administrative or reference purposes.
b. Extra copies and routine correspondence and memoranda.
Disposition: Destroy when no longer needed for reference.
c. Working papers and background material.
Disposition: Destroy 6 months after final action on project, after completion of
report, if no action is taken.
1700-B-2 Records Holdings
Files: Statistical reports on records holdings by NIH required
by GSA, including feeder reports from all offices and data on volume
of records disposed of.
Disposition: Destroy when 1 year old.
1700-B-3 Records Management
Files: Documents related to all aspects of managing records
of NIH, including management of files, forms, correspondence, mail,
reports, microfilm, machine-readable records and all other aspects
of records management not covered elsewhere in this schedule.
Disposition: Destroy when 6 years old.
1700-B-4 Forms Management
Files
a. One record copy of each form created by an agency with related instructions and
documentation showing inception, scope and purpose of the form.
Disposition: Destroy 5 years after related form is discontinued, superseded, or
canceled.
b. Working papers, background materials, requisitions, specifications, processing data,
and control records.
Disposition: Destroy when related form is discontinued, superseded, or canceled.
1700-B-5 Reports
Control Files: Memoranda, reports, and other records documenting
assignments, progress, and completion of projects.
Disposition: Destroy 1 year after the year in which the report is closed or
discontinued.
C. Correspondence
Included in this section are general correspondence files not related to any specific
subject or functional heading; and also correspondence tracking and control systems.
EXCLUDED from this section are:
(1) Correspondence files related to specific subjects or functions; (See appropriate
subject/function section.)
(2) Copies of correspondence files together with related papers. (Apply disposition
instructions applicable to the file in which the correspondence is kept.)
1700-C-1 Correspondence with
the Public
a. Information Requests Files. Requests for information and copies of replies
thereto, involving no administrative actions, no policy decisions, and no special
compilations or research and requests for and transmittals of publications, photographs,
and other information literature.
Disposition: Destroy 3 months old.
b. Acknowledgment Files. Acknowledgements and transmittals of inquiries and
requests that have been referred elsewhere for reply.
Disposition: Destroy 3 months after acknowledgement and referral.
c. Commendation/Complaint Correspondence Files. Anonymous letters, letters of
commendation, complaint, criticism and suggestions and replies thereto, excluding those on
the basis of which investigations were made or administrative action taken and those
incorporated in individual subject files or personnel records.
Disposition: Destroy when 3 months old.
d. Letters of complaint or other matter involving prospective litigation, including
administrative claims.
Disposition: Destroy 6 years after calendar year in which response is made or
file is closed.
1700-C-2 Correspondence Control
System of the NIH Executive Secretariat. These electronic files
provide a correspondence locator, follow-up control and subject
reference for correspondence received in the Office of the Director.
The file contains listings of names of individuals who request information
from NIH, document numbers assigned to correspondence, dates and
subjects. Input is from incoming and outgoing correspondence on
a daily basis. Completed files are retired from the master file
to the history file when 60 days old.
Disposition: Delete records after the expiration of the retention period
authorized by the GRS and/or the NIH RCS, or when no longer needed for updating or
referencing, whichever is later.
NOTE: Official files in the Director's File Room are specifically identified
by subject in this schedule.
1700-C-3 Information copies of
correspondence, reports, minutes of meetings and other documents.
a. Located in OD files for source reference for the Director and staff.
Disposition: Destroy all files when 10 years old, except those which are needed
for reference with active projects. Earlier disposal is authorized.
NOTE: Official files in the Director's File Room are specifically identified by subject
in this schedule.
b. Located in all other offices.
Disposition: Destroy when no longer needed for reference, not later than 1 year.
1700-C-4 Tickler, follow-up
or suspense copies of correspondence.
Disposition: Destroy when action in each case is completed, or when 1 year old,
whichever is sooner.
D. Communication Services
Included are records on messenger service, telecommunications service control and
operations, summaries of long distance telephone reports, postal and related records which
pertain to the movement of messages as physical units.
EXCLUDED from this section are:
(1) Messages and communications in any media (See section 8000, or appropriate
subject/functional sections),
(2) Control and tracking systems used by the Executive Secretariat or by offices
sending, receiving or responding to communications (See section 1700-B or appropriate
subject/functional section).
1700-D-1 Messenger Service
Files: Daily logs, assignment records and instructions, dispatch
records, delivery receipts, route schedules, and related records.
Disposition: Destroy when 2 months old.
1700-D-2 Communications correspondence
and related records pertaining to internal administration and operation
of communications services.
Disposition: Destroy when 2 years old.
1700-D-3 Telecommunications
general files including plans, reports and other records pertaining
to equipment requests, telephone service and similar matters.
Disposition: Destroy when 3 years old.
1700-D-4 Telecommunications
Statistical Reports including cost and volume.
Disposition: Destroy when 1 year old.
1700-D-5 Telecommunications
Reference Vouchers Files.
a. Reference copies of vouchers, bills, invoices, etc.
Disposition: Destroy when 1 fiscal year old.
b. Records relating to installation, change, removal and servicing of equipment.
Disposition: Destroy 1 year after audit, or when 3 years old, whichever is
sooner.
1700-D-6 Copies of Agreements
for telecommunication services with background data and other related
records.
Disposition: Destroy 2 years after expiration or cancellation of agreement.
1700-D-7 Telecommunication
Operation Files
a. Message registers, logs, performance reports, daily load reports and related similar
records.
Disposition: Destroy when 6 months old.
b. Copies of incoming and originals of outgoing messages including SF-14, Telegraphic
Message maintained by communications offices and excluding the copies maintained by the
originating program office.
Disposition: Destroy when 2 years old.
NOTE: Master files and data bases created to supplement or replace the
records covered in 1700-D-7 are not authorized for disposal. Such files must be
scheduled on an SF-115.
1700-D-8 Telephone Use Records
Initial reports of use of telephone lines (e.g., telephone calls
facsimile transmissions and electronic mail) during a specified
period provided by a telephone company, the General Services Administration,
or a private sector exchange on an agency's premises, as well as
records generated from initial reports from administrative, technical,
or investigative follow-up. Excluded are records accumulated
in connection with substantive investigations and audits.
Disposition: Destroy when 3 years old. Initial reports may be destroyed
earlier if the information needed to identify abuse has been captured in other records.
1700-D-9 Postal Records:
Post Office forms supporting papers, exclusive of records held by
the United States Postal Service.
a. Records related to incoming or outgoing registered mail pouches and registered,
certified, insured and special delivery mail, including receipts.
Disposition: Destroy when 1 year old.
b. Application for postal registration and certificates of declared value of matter
subject to postal surcharge.
Disposition: Destroy when 1 year old.
c. Reports of loss, delay, wrong delivery, or other improper treatment of mail matter.
Disposition: Destroy when 1 year old.
1700-D-10 Mail Delivery Control
Files.
a. Records of receipt and routing of mail and items handled by private delivery
services such as United Parcel Service. (Does not apply to records used as indexes to
correspondence files.)
Disposition: Destroy when 1 year old.
b. Statistical reports of postage on outgoing mail and fees for private delivery.
Disposition: Destroy when 6 months old.
c. Requisitions for stamps (does not apply to copies used to support payment vouchers).
Disposition: Destroy when 6 months old.
d. Statistical reports and data on mail handling and volume of work performed.
Disposition: Destroy when 1 year old.
e. Records on checks, cash, stamps, money orders or other valuables remitted to NIH by
mail.
Disposition: Destroy when 1 year old.
f. Records of and receipts for mail and packages received through the
Official Mail and Messenger Service.
Disposition: Destroy when 6 months old.
g. General files including correspondence, memoranda, directives, and guides
relating to the administration of mail room operations.
Disposition: Destroy when 1 year old or when superseded or obsolete, whichever
is applicable.
h. Locator cards, directories, indexes, and other records relating to mail
delivery to individuals.
Disposition: Destroy 5 months after separation or transfer of individual or when
obsolete, whichever is applicable.
1700-D-11 Metered Mail Report Files: Official metered mail
reports and all related papers.
Disposition: Destroy when 6 years old.
1700-D-12 Postal Irregularities
File: Memoranda, correspondence, reports and other records relating
to irregularities in the handling of mail, such as loss or shortage
of postage stamps or money orders, or loss or destruction of mail.
Disposition: Destroy 3 years after completion of investigation.
1700-D-13 Telephone and Service
Directory: Correspondence, forms and other records related to
the compilation of the NIH Telephone and Service Directory.
Disposition: Destroy 2 months after issuance of directory.
E. Printing and Reproduction
Records relating to printing, binding, duplicating and distribution located throughout
NIH.
EXCLUDED from this section are:
(1) Record copy of each publication, directive, form, press release and similar
material maintained in issuing office. (See section 8000-A or appropriate
subject/functional headings).
(2) Accountable officer's accounts and other GAO records. (See section 1900-A.)
1700-E-1 Stocks of publications,
except record copy retained in issuing office, maintained solely
for distribution.
Disposition: Destroy when superseded, obsolete or no longer needed.
1700-E-2 Administrative
Correspondence Files: Correspondence files pertaining to the
administration and operation of the unit responsible for printing,
binding, duplication and distribution matters, and related papers.
Disposition: Destroy when 2 years old.
1700-E-3 Project
Files: Job or project records containing all papers and data
pertaining to the planning and execution of printing, binding, duplication,
and distribution jobs.
a. Files pertaining to the accomplishment of the job, containing requisitions, bills,
samples, manuscript clearances, and related papers exclusive of (1) requisitions on the
Public Printer and related records; and (2) records relating to services obtained outside
the agency.
Disposition: Destroy 1 year after completion of job.
b. Files pertaining to planning and other technical matters.
Disposition: Destroy when 3 years old.
1700-E-4 Control Files:
Control registers pertaining to requisitions and work orders.
Disposition: Destroy 1 year after close of fiscal year in which compiled or 1
year after filling of register, whichever is applicable.
1700-E-5 Mailing
Lists.
a. Correspondence, request forms and other records relating to changes in mailing
lists.
Disposition: Destroy after appropriate revision of mailing list or after 3
months, whichever is earlier.
b. Card lists.
Disposition: Destroy individual cards when canceled or revised.
1700-E-6 JCP Reports
Files: Reports to Congress and related records.
a. Agency reports to Joint Committee on Printing regarding operation of Class A and B
Plants and inventories of printing, binding, and related equipment in Class A and B Plants
or in storage.
Disposition: Destroy when 3 years old.
b. Copies in subordinate reporting units and related work papers.
Disposition: Destroy 1 year after date of report.
1700-E-7 Internal Management
Files: Records relating to internal management and operation
of the Printing and Reproduction Branch.
Disposition: Destroy when 2 years old.
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