1743 - KEEPING AND DESTROYING RECORDS

1743 - KEEPING AND DESTROYING RECORDS
Issuing Office: OA/OMA 496-2832
Release Date: 2/98

1. How to locate records within this schedule:

a. Order: The NIH Records Control Schedule follows the basic order of the table of contents of the NIH Manual (NIH Manual 1001-1004). Section headings (4 digit numbers) are identical to those in the NIH Manual with two additions: Section 7000 is added to cover records accumulated by NIH activities with responsibilities for protection from biohazards, contaminants, pollutants and research risks. Section 8000 is added to cover records used in information, communications and training activities. For convenience, the sections are grouped into five parts. A quick scan of the part titles in the table of contents should help to identify where records of a given type are located. The section titles give more specific indications.

Each section is divided into sub-sections which generally follow the order of the NIH Manual. Sections are numbered with capital letters consecutively starting with A in each section, except for section 2300 (Personnel) where sections are given the numbers used in the Federal Personnel Manual.

b. Scope: At the start of parts, sections and sub-sections there are descriptions of the types of records included, along with specific identification of related records which are not included in that part, chapter or section. For convenience, the location of those records elsewhere in the schedule is given.

2. How to interpret items in this schedule: Item entries in this schedule may contain 3 elements: (a) description, (b) location and (c) disposition.

a. Description:   Each item begins with a description of a category of file and, when appropriate, a list of the types of records commonly found in such files. Descriptions also indicate if the records are subject to the Privacy Act.

b. Location:   Many items specify where the records are located. In such cases, the disposition instructions are meant to apply only in those components listed. If a location is specified, but the function and related records have been transferred to another component, the disposition applies in the new location. If no location is given, the disposition instruction applies anywhere in NIH where the official file is located.

c. Disposition:   The disposition instruction for each item is a legally binding regulation which mandates how long the records described must be kept by NIH components, and either when they must be destroyed or when they should be offered to the National Archives if they are permanent records.

3. How to apply this schedule:

The disposition instructions in this schedule are mandatory. Records keeping in all offices in NIH must follow these disposition instructions. The most efficient way of implementing the disposition instructions is to tie them to the filing system in your office.

First, take the file plan of your office. If you do not have a file plan, create one by making a list of each type of official file that is kept by your office (see NIH Manual 1763). For each category of file, find the appropriate disposition in this schedule.

Second, create file breaks in the office file corresponding to the retention periods specified in the schedule. Then, when the retention periods end, the files may be removed easily from the office for destruction, transfer to the Federal Records Center, or offer to the National Archives, as indicated in the disposition instructions.

Third, to facilitate application of the disposition instructions, a reminder (tickler) system or list should be created which indicates in chronological order what files should be removed and what should be done with them. Special care should be taken to insure that no records which have been designated permanent are destroyed, damaged or removed from government custody.

4. What to do if you have difficulty finding any type of record in this schedule: Try again. If you still cannot find the appropriate information, contact your IC Records Officer.

5. What to do if you are in doubt about the interpretation of any item, in this schedule: Consult your IC Records Officer.

6. What to do if you have records which are not identified anywhere in this schedule: Consult your IC Records Officer or the NIH Records Management Officer.

7. What to do if you have records which are listed in this schedule but which are not authorized for disposal: If the disposition for any item is "Disposal not authorized," then there is no legal authority for disposing of the records described. In such cases, specific authorization must be obtained from the National Archives before the records can be destroyed, or transferred to a Federal Records Center, or removed from government custody. Consult your IC Records Liaison Officer or the NIH Records Management Officer.

8. How to transfer inactive records to a Federal Records Center: see NIH Manual 1742, "Transfer, Withdrawal, Destruction, and Retrieval of Records at the Washington National Records Center."

9. How to dispose of records which are authorized for destruction: If the records are located in a Federal Records Center, the Center will take care of actual disposal. If the records are in the custody of NIH, the official responsible for the records should ensure that records are removed from active files and disposed of at the times specified in the NIH Records Control Schedule. If the records are subject to the Privacy Act, witnessed disposal is required. If the public interest would be served, records which are authorized for disposal may be donated to an eligible recipient. Any donation of records must be approved in advance by the National Archives. Consult the NIH Records Management Officer.

10. How to transfer records to the National Archives: Consult your IC Records Management Officer. See the yellow pages of the NIH Telephone and Service Directory or http://www1.od.nih.gov/oma/icdrmo.htm