1743 - KEEPING AND DESTROYING RECORDS
Issuing Office: OA/OMA 496-2832
PART 5 INFORMATION, COMMUNICATIONS AND TRAINING
Section 8000
Section 8000
A. Public Affairs, Publications and Communications
Records created or used in providing information about NIH to outside audiences.
EXCLUDED from this section are:
Records of Communication services (see section 1700-C).
Audiovisual materials such as photographs, graphic art work, motion pictures, video
tapes (see section 8100).
8000-A-1 Formal informational releases
and publications, such as press releases, press conference transcripts,
official speeches, graphic progress presentations and indexes thereto,
and the NIH Record. One complete set will be retained.
Located in offices responsible for issuance.
a. Official file.
Disposition: PERMANENT. Cut off file annually. Transfer to Federal Records
Center when 5 years old. Offer to National Archives when 15 years old.
b. All other copies.
Disposition: Destroy no later than 1 year after year in which published or
presented.
8000-A-2 NIH Basic Data Book,
fiscal history data, bibliographies and biographies of NIH Directors.
Located in Office of Program Planning and Evaluation.
Disposition: PERMANENT - Offer to National Archives when 20 years old or when no
longer needed for reference.
8000-A-3 Speeches, graphic
presentations, reports and compilations prepared in response
to requests for information and which do not affect program or policy
decisions.
Located in Office of Program Planning and Evaluation.
Disposition: Destroy when 10 years old. Earlier disposal is authorized if no
longer needed for reference.
8000-A-4 Publications
prepared and issued by NIH components. Disposition instructions
apply to one record copy of each publication maintained by the issuing
office.
a. Located in public affairs and communications offices (see item 8000-A-1).
b. Located in CC, Office of Clinical Reports and Inquiries, including publications such
as Clinical Center Close-up, Director's Update and others.
Disposition: PERMANENT. Offer to the National Archives when 15 years old.
c. Located in NLM.
Disposition: PERMANENT. Offer to the National Archives when 20 years old.
d. Located in CIT, Office of the Director (excluding technical publications).
Disposition: PERMANENT. Offer to the National Archives when 20 years old.
8000-A-5 Background materials
for publications and informational releases.
a. Background material including correspondence.
Located in public affairs and communications offices.
Disposition: Destroy when no longer needed for reference or when record set of
publication is transferred to Federal Records Center.
b. Source files for reference use in responding to inquiries and preparing articles,
speeches and reports.
Located in Office of Program Planning and Evaluation.
Disposition: Destroy when obsolete or when no longer needed for reference.
c. Working papers, justifications, and other materials accumulated prior to
publication.
Located in NLM.
Disposition: Destroy 2 years after publication is released.
d. Working papers, justifications and other material accumulated prior to publication.
Located in CIT, Office of the Director.
Disposition: Destroy 2 years after publication is released.
e. Manuscripts of articles, speeches, and other publications, including related
clearances and other papers.
Located in CIT branches and laboratories.
Disposition: Destroy one year after speech is delivered or when material is
published.
8000-A-6 Daily press service
teletype news
Located in public affairs and communications offices.
Disposition: Destroy when 3 months old. Earlier disposal is authorized.
8000-A-7 Bibliographies, check
lists and indexes of NIH publications and news releases, except
those described in item 1 for formal informational releases.
Located in public affairs and communications offices.
Disposition: Destroy when obsolete, superseded, or no longer needed for
reference.
8000-A-8 Requests for information
or publications
a. Located in CIT, NLM.
Disposition: Destroy when 3 months old.
b. Requests for information about toxicological information and information systems.
Located in NLM.
Disposition: Destroy when 2 years old.
c. Acknowledgement and transmittals of inquiries and requests that have been referred
elsewhere for reply.
Disposition: Destroy 3 months after acknowledgement and referral.
8000-A-9 International Conferences
and Meetings files consisting of official proceedings of international
conferences and meetings sponsored, conducted or coordinated by
FIC and published in the FIC Proceedings series or other
form.
a. FIC copy.
Disposition: PERMANENT. Transfer official file to Federal Records Center 3 years
after publication. Offer to National Archives when 20 years old after transfer.
b. Other copies.
Disposition: Destroy no later than 2 years after year in which published.
Earlier disposal is authorized.
8000-A-10 Visitors Program
files - Case files of individual or group visits to NIH to tour
the facility, visit research areas, or for other informational purposes.
a. Located in FIC.
Disposition: Destroy case file 2 years after FY in which summary fiscal report
is prepared. Hold cross reference name and country cards until no longer needed for
administrative or historical reference.
b. Other copies.
Disposition: Destroy 1 year after year in which visit occurred.
8000-A-11 Agency histories
and selected background materials. Narrative agency histories
including oral history projects prepared by agency historians or
public affairs officers or by private historians under contract
to the agency. Some background materials (such as interviews with
past and present personnel) generated during the research stage
may also be selected for permanent retention. Excluded are electrostatic
copies of agency documents made for convenient reference.
Disposition: PERMANENT. Offer to National Archives in 5 year blocks when 20
years old (e.g., offer 1970-74 block in 1995).
8000-A-12 Public Affairs, Publications and Communications
Electronic copies created on electronic mail and word processing systems.
Disposition: Delete when dissemination, revision, or updating is completed.
B. Bibliographic and Other Reference Materials
Files and other aids in any form created and maintained in order to provide a
comprehensive data base for reference locating information on a given subject, for
example, bibliographic data bases and finding aids to record material.
EXCLUDED from this section are:
(1) Management information systems used for oversight, review and control of NIH
programs (see appropriate subject/function headings);
(2) Data systems that are created and used in conjunction with specific programs (see
appropriate subject/function heading);
(3) Information systems acquired from outside sources (see section 8000-H);
(4) Requests for information (see item 8000-A-8).
(5) Critically evaluated scientific reference data (see section 3000-K).
(6) Correspondence control systems (see item 1700-C-2).
8000-B-1 Contract files,
relating to research and development and equipment contracts involving
biomedical information systems, containing materials such as technical
reports, correspondence, performance evaluations, and other matters
pertaining to the technical aspects of contract administration.
Located in NLM.
Disposition: Destroy 6 years after completion of contract.
8000-B-2 Technical subject
files, relating to staff work done in developing systems, contracts
with other libraries, professional meetings, development of data
bases, analyses of equipment, testing, and other aspects of biomedical
information systems.
Located in NLM.
a. Records containing data continuously needed for management of on-line systems.
Disposition: Destroy when 7 years old, or when superseded, as appropriate.
b. All other records.
Disposition: Destroy when 5 years old.
8000-B-3 Subject files relating
to toxicological information systems and other specialized information
services, containing correspondence with contractors, performance
reports, systems evaluations, committee work, Congressional inquiries,
planning papers, and related data.
a. Records containing data continuously needed for management of information systems.
Disposition: Destroy when 3 years old.
8000-B-4 Indexing records,
concerning the preparation of bibliographical citations for introduction
into MEDLARS system, based on the scanning of articles in medical
journals.
Located in NLM.
a. Forms and worksheets relating to the determination of vocabulary entries and subject
headings for input into MEDLARS data bases.
Disposition: Destroy when 1 year old.
b. Correspondence relating to index operations, concerning bibliographic requests from
the public and foreign countries, prospective journal entries, and routine matters.
Disposition: Destroy when 2 years old.
8000-B-5 Bibliographic and
Other Reference Materials
Electronic copies created on electronic mail and word processing systems.
Disposition: Delete when file copy is generated or when referencing or
updating is completed.
C. Audiovisual Materials (See section 8100
- Audiovisual Records)
D. Library Records Records related to the operations and programs
of libraries.
EXCLUDED from this section are:
(1) Library holdings of books, journals, papers, etc. (See section 8000-H);
(2) NLM program planning and review records (see item 1100-C-3a and C-12a);
(3) Minutes of the NLM Board of Regents (see item 1100-G-10);
(4) Agreements on use of information services (see item 1100-J-6 and 7);
(5) Library files of routine administrative records (see item 1100-M-1d).
8000-D-1 Library program correspondence
files, involving professional activities such as meetings, relations
with other institutions, and other professional and technical matters.
Include working papers preliminary to final reports.
Located in NLM.
Disposition: Destroy when 8 years old.
8000-D-2 Library operations
subject files, relating to the management of library services
and programs. Include correspondence, reports, evaluations, working
papers, reference materials and related papers. These records reflect
relations with other libraries, publishers, intra-library staff,
other Government agencies, contractors, and professional associations.
Relate to matters such as computer operations and routine administrative
functions such as procurement, personnel and the like. (Excluding
administrative files related to common housekeeping functions; see
item 1100-M-1.)
Located in NLM.
a. Records containing data continuously needed in technical bibliographical and
reference operations.
Disposition: Destroy when 6 years old, or when superseded, as appropriate.
b. All other records.
Disposition: Destroy when 3 years old.
8000-D-3 Statistical reports
relating to various aspects of library operations.
Located in ORS, Library Branch.
Disposition: Destroy when 2 years old.
8000-D-4 Reader Registration
Cards and application forms used to identify and register library
users.
a. Located in NLM.
Disposition: Destroy when patrons are re-registered.
b. For permanent employees.
Located in ORS, Library Branch.
Disposition: Destroy when 2 years old.
c. For temporary employees.
Located in ORS, Library Branch.
Disposition: Destroy on termination of temporary appointment.
d. For Clinical Center patients.
Located in CC, Patient Activities Department.
Disposition: Destroy when patient is discharged.
8000-D-5 Registration logs
of library patrons, used for daily statistical purposes and as a
record of patrons arriving.
Located in NLM.
Disposition: Destroy when 3 years old.
8000-D-6 Reader Request Forms
a. Located in NLM.
Disposition: Destroy 1 calendar year after month of receipt.
b. Located in ORS, Library Branch.
Disposition: Destroy when 1 year old.
8000-D-7 Borrower sign-out
logs, showing materials borrowed, names of borrowers, and related
information.
Located in NLM Library.
Disposition: Destroy when 2 years old.
8000-D-8 Transaction History
Files: Computer listings of loan transactions.
Located in NLM Library.
Disposition: Destroy when 3 months old.
8000-D-9 Interlibrary Loan
Requests
a. Located in NLM.
Disposition: Destroy 1 calendar year after month of receipt.
b. Located in ORS, Library Branch.
Disposition: Destroy when 2 years old.
8000-D-10 Correspondence
received from the public for bibliographical or other information.
Located in NLM.
Disposition: Destroy 1 year after end of current year.
8000-D-11 Library serial
records: Manual recordings of the receipt of serial publications.
Located in NLM.
Disposition: Destroy when serial recording procedure is converted to a machine
readable system.
8000-D-12 Requests for translating
services and related papers.
Located in ORS, Library Branch.
Disposition: Destroy when 2 years old.
8000-D-13 Library Records
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. Freedom of Information Act Requests
Inquiries, replies, reports, appeals case files and related correspondence accumulated
in carrying out the provisions of the Freedom of Information Act (FOIA).
EXCLUDED from this section is: The official file copy of any records requested under
FOIA (see appropriate subject/function heading).
8000-E-1 FOIA Reports Files:
Recurring reports and one-time information requirements relating
to the agency implementation of the Freedom of Information Act,
EXCLUDING annual reports to the Congress at the departmental or
agency level.
Disposition: Destroy when 2 years old.
8000-E-2 NIH Implementation
of FOIA: Administrative records relating to the general agency
implementation of the FOIA, including notices, memoranda, routine
correspondence, and related records.
Disposition: Destroy when 2 years old.
8000-E-3 FOIA Control Files:
Files maintained for control purposes in responding to requests,
including registers and similar records listing date, nature and
purpose of request, and name and address of requester.
a. Registers or listing.
Disposition: Destroy 6 years after date of last entry.
b. Other files.
Disposition: Destroy 6 years after final action by the agency or after final
adjudication by courts, whichever is later.
8000-E-4 FOIA Requests when
access is granted to requested record, including the original
request, a copy of the reply and related supporting papers excluding
the official file copy of the requested records.
Disposition: Destroy 2 years after date of reply.
8000-E-5 FOIA Requests when
access is denied to all or part of the requested records, including
the original requests, a copy of the reply and related papers excluding
the official file copy of the requested records.
Disposition: If there is no appeal, destroy 6 years after date of reply. If the
case is appealed, see item 8000-E-7.
8000-E-6 FOIA Requests for
records which do not exist, or containing inadequate information
about the records, or when reproduction fees are not paid: Original
request, a copy of the reply and related papers excluding the official
file copy of requested records.
Disposition: If there is no appeal, destroy 2 years after date of reply. If the
case is appealed, see item 8000-E-7.
8000-E-7 FOIA Appeal Files
created in response to administrative appeals under the FOIA for
release of information denied by the agency, consisting of the appellant's
letter, a copy of the reply thereto, and related supporting documents,
(EXCLUDING the official file copy of the records under appeal--see
item 8000-E-8).
Disposition: Destroy 6 years after final determination by agency, 6 years after
the time at which a requester could file suit, or 3 years after final adjudication by
courts, whichever is later.
8000-E-8 Official File Copy
of Records Subject to FOIA Request
Disposition: Keep either a) according to disposition instructions for the records found
in appropriate section of this schedule, or (b) as long as the records of the FOIA appeal
(see item 8000-E-7), whichever is later.
F. Privacy Act Requests
Inquiries, replies, reports, appeals case files and related correspondence accumulated
in carrying out the provisions of the Privacy Act.
8000-F-1 Official File Copy
of Records subject to a request for access under the Privacy
Act. (Does not apply to cases where the request is for amendment
of records about individuals: See items 8000-F-9 through F-10.)
Disposition: Dispose of in accordance with approved NIH disposition instructions
for the related records, or with the related Privacy Act request, whichever is later.
WARNING: Records subject to the Privacy Act must be maintained and disposed of in a manner
which protects the privacy of individuals (see DHHS, GAM 45-13).
8000-F-2 Privacy Act Report
Files: Recurring reports and one-time information requirement
relating to agency implementation, including annual reports to the
Congress of the United States, the Office of Management and Budget,
and the Report of New Systems.
Disposition: Destroy when 2 years old.
8000-F-3 NIH Implementation
of the Privacy Act: Administrative files related to general
NIH implementation of the Privacy Act, including notices, memoranda,
routine correspondence and related records.
Disposition: Destroy when 2 years old or sooner if no longer needed for
administrative purposes.
8000-F-4 Privacy Act Accounting
of Disclosure Files maintained under the provisions of 5 U.S.C.
552a(c) for an accurate accounting of the date, nature, and purpose
of each disclosure of a record to any person or to another agency,
(except if the disclosure is to an employee of HHS who has a need
for the information in the conduct of official business or if the
information is released under FOIA) including forms for showing
the subject individual's name, requester's name and address, purpose
and date of disclosure, and proof of subject individual's consent
when applicable.
Disposition: Dispose of in accordance with the approved disposition instructions
for the related subject individual's records, or 5 years after disclosure for which the
accountability was made, whichever is later.
8000-F-5 Privacy Act Control
Files maintained for control purposes in responding to requests,
including registers and similar records listing date, nature of
request, and name and address of requester.
a. Registers or listings.
Disposition: Destroy 5 years after date of last entry.
b. Other files.
Disposition: Destroy 5 years after final action by the agency or final
adjudication by courts, whichever is later.
8000-F-6 Privacy Act Requests
for Records which contain inadequate or inaccurate information,
or for records which do not exist, or when reproduction fees are
not paid, including the request, a copy of the reply and related
records except the official file copy of requested records (see
item 8000-F-1).
Disposition: If there is no appeal, destroy 2 years after date or reply. If the
case is appealed, see item 8000-F-11.
8000-F-7 Privacy Act Requests for Records when access is granted
including the request, a copy of the reply and related records except the official file
copy of requested records (see item 8000-F-1).
Disposition: Destroy 2 years after date of reply.
8000-F-8 Privacy Act Request for Records when access is denied including
correspondence and supporting documents (excluding official copy of records requested).
a. Request not appealed.
Disposition: Destroy 5 years after date of reply.
b. Request appealed. Disposition: Dispose of according to disposition instruction for
the records requested, or 3 years after final adjudication by the courts, whichever is
later.
8000-F-9 Privacy Act Requests
to Amend Records when the request is granted, including the
requests, copies of replies and related records.
Disposition: Dispose of in accordance with the approved disposition instructions
for the related subject individual's record or 4 years after agency's agreement to amend,
whichever is later.
8000-F-10 Privacy Act Requests
to Amend Records when the request is denied, including requests,
copies of replies, statements of disagreement, NIH justification
for refusal to amend and related records.
Disposition: Dispose of in accordance with the approved disposition instructions
for the related subject individual's record; 4 years after final determination by agency,
or 3 years after final adjudication by courts, whichever is later.
8000-F-11 Privacy Act Appeals
Case Files for all appeals of denials of access to records or
denials of requests to amend records under the Privacy Act.
Disposition: Dispose of in accordance with the approved disposition instructions
for related subject individual's record or 3 years after final adjudication by courts,
whichever is later.
G. Training and Educational Programs
Textbooks, manuals and other training aids and other records related to training or
educational programs developed and offered by NIH.
EXCLUDED from this section are:
(1) Training materials and related documents created by other organizations, both
government and private. These materials are non-record and should be destroyed as soon as
they are obsolete or superseded.
(2) NIH employee's training records (see section 2300-410).
(3) Training film strips, slides, motion pictures, and video recordings. (See items
8100-B-3, 8100-D-1, 8100-D-8, 8100-E-1, 8100-E-4, 8100-E-11).
8000-G-1 Clinical Center Training
administrative files, consisting of correspondence, memoranda,
and reports pertaining to training techniques, plans, materials,
and related matters.
Disposition: Destroy when 3 years old.
8000-G-2 NLM Library associate
training program records related to a training program dealing
with various aspects of library information systems, communications
networks, and medical librarianship. Contain applications, references,
and related correspondence.
a. Files for successful applicants who later join the Library staff.
Disposition: Forward to the Office of Personnel Management for placement in the
Official Personnel Folder.
b. All other files.
Disposition: Destroy 6 months after close of files.
8000-G-3 On-Line Bibliographic
Systems Training Records containing lists of students, lesson
plans, and related papers.
Disposition: Destroy after 1 year.
8000-G-4 Files relating to
computer training for potential users, comprising nomination
forms, course materials, schedules, and related papers.
Located in CIT.
Disposition: Destroy when 4 years old, or when training materials or other data
are superseded or obsolete, as appropriate.
8000-G-5 Training of NIH personnel
in radiation safety principles, standards and techniques.
Located in ORS, Radiation Safety Branch.
Disposition: DISPOSAL NOT AUTHORIZED.
8000-G-6 Other NIH Training and
Educational Programs manuals, syllabi, textbooks and any other training
aids developed by NIH units.
Disposition: Record Copy - DISPOSAL NOT AUTHORIZED.
Extra Copy - Destroy when superseded or obsolete.
8000-G-7 General Files on
NIH Training Programs including correspondence, memorandum agreements,
authorizations, reports, requirement reviews, plans, and objectives
relating to the establishment and operation of training, courses
and conferences.
Disposition: Destroy when 5 years old or 5 years after completion of a specific
training program.
8000-G-8 Background
and Working Papers for NIH training programs.
Disposition: Destroy when 3 years old.
H. Reference Materials
Materials maintained solely for reference purposes for employees of NIH in the
performance of their official functions. They may be books or other publications, laws,
Executive Orders, regulations, directives, guidelines, or bulletins. Copies of NIH records
maintained solely for purposes of reference outside of the official file are also in this
category.
Reference materials are not government records.
EXCLUDED from this category are copies of records, books, laws, directives or any
documentary materials whatsoever that are maintained as part of an official file.
For example, a copy of a Public Law maintained in the legislative history files of the
Office of Legislative Policy and Analysis is an NIH record and must be maintained
according to the disposition instruction which applies to that file. A copy of the same
law maintained in the Office of Management Assessment for reference use when NIH
regulations are developed is non-record. Similarly, scientific journals maintained by NIH
laboratories for consultation by laboratory staff are reference materials, but a copy of a
journal article authorized by an NIH investigator as a result of research conducted at NIH
must be maintained as part of the official files on that research.
Disposition: Reference materials should be kept no longer than necessary.
Destroy when superseded, obsolete or no longer needed.
|
