**Center for Information Technology (CIT)**

**POLICY AND PROCEDURES**

**Communications Clearance**

**Contact: Planning, Evaluation, and Communications Office, Executive
Office, CIT**

**Supplements:** NIH Policies:

NIH Manual Chapter 1183 - NIH Publications and Audiovisuals: 
Preparation, Review, Approval, and Distribution 

<http://www1.od.nih.gov/oma/manualchapters/management/1183/>

NIH Manual Chapter 1184 - Scientific, Technical, and Other Professional
Information Presented by NIH Employees:  Review, Approval, and
Distribution 

<http://www1.od.nih.gov/oma/manualchapters/management/1184/>

This directive establishes CIT policy and procedures for requesting and
approving clearance of CIT communications.

A.  Purpose

B.  Scope

C.  Authorities

D.  Background

E.  Guidelines

F.  Clearance Requirements and Procedures

G.  Evaluation and Management Controls

Appendix 1 -- General Guidelines for CIT Messages

Appendix 2 -- CIT Template for Messages to NIH Staff

A. PURPOSE

This directive establishes CIT policy and procedures for requesting and
approving clearance of CIT communications.

**B. SCOPE**

CIT clearance requirements, which largely originate from Federal and
agency regulations and policies, are implemented based on content and
**intended** distribution of the communication materials. The following
modes of communication are listed for illustrative purposes; they do not
drive the clearance requirements.

**NIH Publications and Audiovisuals**

NIH policy at [NIH Manual Chapter
1183](http://www1.od.nih.gov/oma/manualchapters/management/1183/)
applies to any document that carries NIH approval. The document can be
in the form of a book, chapter of a book or textbook, booklet, brochure,
bibliography, collection of abstracts, fact sheet, publication, index,
leaflet, manual, monograph, newsletter, pamphlet, review, periodical,
proceedings, recurring report, statistical compendium, Internet
document, audiovisual, or the like prepared by any NIH component,
directly or by contract. It applies to information disseminated in print
form, on the websites of NIH and its components, or through any other
medium.

**Scientific, Technical, and Other Professional Information Presented by
NIH Employees**

NIH policy at [NIH Manual Chapter
1184](http://www1.od.nih.gov/oma/manualchapters/management/1184/)
applies to the review, approval, and release of any scientific,
technical, or other professional information related to the official
duties of NIH employees to the public regardless of the medium used for
dissemination, e.g., web, print, audio or video broadcast, etc. These
materials include:

-   written or electronic reports, lectures, books, chapters,
    editorials, reviews, proceedings, or abstracts;   

-   broadcast scripts, audio or video tapes; 

-   prepared (i.e., not extemporaneous) formal speeches, oral
    presentations, interviews or commentaries for publication or
    broadcast;

-   official letters-to-the-editor; and  

-   official correspondence submitted for publication.

Materials are related to the employee\'s official duties if they:

-   Report on or describe work performed as an official duty; 

-   Draw conclusions, advocate or oppose professional practices or
    stances on subjects related to NIH activities or mission; 

-   Evaluate, summarize, or review work by others in an area related to
    a position or official duty at NIH; or 

-   State or comment on Federal or agency policies or practices that
    might be construed as reflecting an official position of the Federal
    government.

**Criteria**

Communications that meet the following criteria are subject to review
and clearance, in accordance with NIH and higher-level requirements:

-   **Policy Material:** Communications prepared for dissemination by an
    employee that includes any discussion of Federal policy, has policy
    implications, or makes public health practice recommendations must
    be approved in the Office of the Director, NIH, through the CIT
    Director.

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-   **Official NIH Publications and Audiovisuals:** Publications and
    audiovisuals must comply with the provisions of [NIH Manual Chapter
    1183](http://www1.od.nih.gov/oma/manualchapters/management/1183/)
    even if some or all of the contents may have been approved under the
    provisions of [NIH Manual Chapter
    1184](http://www1.od.nih.gov/oma/manualchapters/management/1184/).

-   **Non-policy Material:**

> Professional statements/correspondence or materials on a subject
> related to the official duties of **staff at or above** the CIT
> Office/Division Director level requires approval by the CIT Director,
> Deputy Director, Scientific Director, or Executive Officer, as
> appropriate.
>
> Professional statements/correspondence or materials on a subject
> related to the official duties of **staff below** the CIT
> Office/Division Director level requires approval by the respective
> Office/Division Director; additional clearances may be warranted on a
> case-by-case basis at the Office/Division Director's discretion. If
> there is any question about whether the material has policy
> implications, staff should contact the CIT Planning, Evaluation, and
> Communications Office (PECO) at <citcommoffice@mail.nih.gov>. CIT PECO
> staff will coordinate with the Office of the Director, NIH. 

-   **Other communications:**

> All presentations to high-level groups (e.g., NIH Executive Officers,
> Scientific Directors, IT Management Committee (ITMC), IT Working
> Group, Management and Budget Working Group, Management Analyst Working
> Group) and materials produced in collaboration with any external
> non-NIH entity (Federal or private) require PECO review and subsequent
> clearance by the CIT Director, Deputy Director, Executive Officer,
> and/or Office/Division Director before they are disseminated (contact
> PECO at <citcommoffice@mail.nih.gov>).
>
> All materials disseminated or intended for dissemination by any
> external non-NIH entity (Federal or private) referencing CIT, NIH, or
> HHS (e.g., vendor press releases, contractor newsletters) require
> review by PECO. PECO will determine additional clearance requirements
> (contact PECO at <citcommoffice@mail.nih.gov>).

**Types of Communications include, but are not limited to, the
following:**

-   Presentations (both within and outside NIH)

-   Data Calls/Surveys

-   Published Interviews/Articles

-   Keynote Addresses

-   Panel Discussions

-   Scientific Papers/Posters

-   Marketing/Customer Service (e.g., posters/brochures/tent
    cards/postcards)

-   Webinars (seminars presented on the web)

-   Web Presence (websites and Web 2.0\--including initial establishment
    of wikis, blogs, and collaborative, virtual sites)

-   Email Announcements

-   Press Releases (from or about CIT)

-   Media Stories: Newspaper, TV, radio, web

**Exclusions:**

-   Routine business communications within and between CIT
    organizational components, and between CIT and customers. Routine
    business communications are normally one-on-one or informal
    presentations involving internal business discussions (e.g.,
    communications to CIT Directors, Chiefs, and Officers; CIT Executive
    Committee; NIH Help Desk Advisory Group; brown bag meetings, such as
    the Infrastructure Contacts Group and the Remedy subcommittee) and
    creation of knowledge base articles. Note: Formal presentations to
    high-level groups, described within the stated criteria above,
    require clearance as stated.

-   Time-sensitive communications to the NIH community sent **in
    established** formats (e.g., NIH Hot News updates; Continuity
    Assurance Program notices via Hot News; building or IC distribution
    lists). Note: CIT staff should consult with PECO in developing
    **new** formats for these messages.

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-   Urgent communications from the Director, Deputy Director, Executive
    Officer, Chief Administrative Officer, and Communications Office,
    CIT (e.g., notification to all NIH staff regarding emergency
    disruption of IT services).

C. AUTHORITIES

U.S. Office of Management and Budget (OMB) Guidelines for Ensuring and
Maximizing the Quality, Objectivity, Utility, and Integrity of
Information Disseminated by Federal Agencies

<http://www.whitehouse.gov/omb/fedreg/reproducible.html>

HHS Guidelines for Ensuring and Maximizing the Quality, Objectivity,
Utility, and Integrity of Information Disseminated to the Public, Part I
-- HHS Overview, and Part II, Section I -- NIH

<http://www.hhs.gov/infoquality/part1.html>

<http://aspe.hhs.gov/infoquality/Guidelines/NIHinfo2.shtml>

HHS Guidelines on Section 508 (Accessibility)

<http://www.hhs.gov/web/508/>

and

NIH Guidelines on Electronic and IT Accessibility

<http://irm.cit.nih.gov/policy/access.html>

HHS Office of the Assistant Secretary for Public Affairs

Public Affairs Style Guide and Press Release Clearance Process

<https://my.nih.gov/portal/server.pt?open=17&objID=6758&DirMode=1&parentname=Dir&parentid=1&mode=2&in_hi_userid=1572926&cached=true>

NIH Manual Chapter 1183 -- NIH Publications and Audiovisuals: 
Preparation, Review, Approval, and Distribution 

<http://www1.od.nih.gov/oma/manualchapters/management/1183/>

NIH Manual Chapter 1184 -- Scientific, Technical, and Other Professional
Information Presented by NIH Employees:  Review, Approval, and
Distribution 

<http://www1.od.nih.gov/oma/manualchapters/management/1184/>

NIH Manual Chapters 1760-1762 -- NIH Correspondence Handbook

<http://execsec.od.nih.gov/> and

Guidelines for Using Plain Language at NIH
<http://execsec.od.nih.gov/plainlang/guidelines/index.html>

NIH Manual Chapter 2400-01 -- Introduction to Government Ethics at the
NIH

<http://www1.od.nih.gov/oma/manualchapters/ethics/2400-01/>

NIH Manual Chapter 2803 -- NIH Staff E-Mail List Policy

<http://www3.od.nih.gov/oma/manualchapters/management/2803/>

NIH Manual Chapter 2805 -- NIH Web Page Privacy Policy

<http://www3.od.nih.gov/oma/manualchapters/management/2805/>

NIH Manual Chapter 1825 -- Information Collection from the Public

<http://www1.od.nih.gov/oma/manualchapters/management/1825/>

NIH Manual Chapter 6308 -- Acquisition of Printing Requirements at the
NIH <http://www1.od.nih.gov/oma/manualchapters/contracts/6308/>

NIH Manual Chapter 1743 -- Keeping and Destroying Records,
<http://www1.od.nih.gov/oma/manualchapters/management/1743/>

NIH Manual Chapter 1130 -- Delegation of Authority

-   Program: General No. 3, Publish Articles and Results of Scientific
    Research <http://delegations.od.nih.gov/DOADetails.aspx?id=1637>

-   Program: General No. 4, Availability of Records for Examination or
    Copying

> <http://delegations.od.nih.gov/DOADetails.aspx?id=1638>.

Office of Communications and Public Liaison Resources

<http://www.nih.gov/icd/od/ocpl/resources/>

NIH Public Access

<http://publicaccess.nih.gov/>

World Wide Web NIH Guidance

<http://irm.cit.nih.gov/policy/guideli2.html>

Federal and HHS Printing Management Documents \
<http://www.hhs.gov/ocio/policy/printingmanagement/printing.html>

NIH RFP Directory

<http://oa-intranet.nci.nih.gov/workform/DGS_rfp_workform_8262008.doc>

**D. BACKGROUND**

NIH policies require that all NIH documents and audiovisuals be prepared
in accordance with professional and ethical standards, as well as
generally accepted standards of good taste. They must be appropriate for
dissemination by NIH and must undergo appropriate review and approval
prior to release. NIH must adhere to the laws and regulations applying
to publications and audiovisuals, including OMB Information Quality
Guidelines, the HHS Printing Handbook, and relevant NIH policy manual
issuances. NIH efforts to ensure and maximize information quality begin
at the preparation stage, and continue through the review and approval
stages. Existing NIH policies developed in concert with Federal computer
security laws provide appropriate security safeguards to ensure
integrity of NIH documents, i.e., that the information is protected from
unauthorized access, revision, corruption, or falsification.

NIH policies also apply to the review, approval, and distribution of
scientific, technical, and other professional information by individual
employees (including intramural, extramural, and OD staff). Materials
include written, electronic, or oral presentations. Scientific and
professional information presented by NIH employees must be considered
differently from information presented in other professional settings
(e.g., information presented by academic or industry scientists at
public forums). 

A clear distinction must be made between the presentation of scientific
data and the presentation of opinion that may be construed as the
position of the agency.  It is important to follow the review, approval,
and distribution guidelines with your supervisors in order to ensure
compliance.  PECO will determine clearance requirements for official
distribution of scientific, technical and professional information.
Employees writing, presenting or otherwise distributing materials in
their personal capacities should consult PECO for advice on any issues
related to ethics rules, including those requiring prior approval and
limiting the use of title or NIH affiliation. Clearance is not required
for non-work-related and private writing, speaking, and publishing by a
CIT employee, unless the employee\'s CIT responsibilities are likely to
be regarded as influencing the content. CIT employees are reminded that
they may not use their public office for their own private gain, for the
endorsement of any product, service or enterprise.

**E. GUIDELINES**

**Public Access to Scientific Research**

CIT scientists must submit final peer-reviewed journal manuscripts
supported by NIH funds to PubMed Central
([[http://www.pubmedcentral.nih.gov/]{.underline}](http://www.pubmedcentral.nih.gov/)).
Refer to NIH policy at <http://publicaccess.nih.gov/>, which ensures
that the public has access to the published results of NIH-funded
research via PubMed Central to help advance science and improve human
health.

**Publications by NIH Contractors**

Each publication or audiovisual prepared and distributed for an NIH
component by a contractor must: 

-   meet all of the requirements of this chapter, including the HHS and
    NIH identifications;

-   be free of advertising and all identification with the contractor
    that is not relevant to the publication or the publication contract;
    and

-   be copyright free and mailed separately from other materials
    produced by or identified with the contractor.

**Plain Language**

Federal agencies must use plain language in all communications with the
public. Plain language is writing that is geared to the target audience
(i.e., a plain language document for a scientific audience may be
different from a plain language document for the public). Using plain
language ensures that your audience can find and understand the
information you provide. Plain language is grammatically correct, with
accurate word usage. It is also clear and expresses exactly what readers
need to know without unnecessary words. Hallmarks of plain language
include:

-   common, everyday words, except for necessary technical terms;

-   "we," "you," and other personal pronouns;

-   active voice;

-   logical organization; and

-   easy-to-read and understand design features, such as bullets and
    tables.

Requirements and guidelines for NIH implementation of plain language are
provided at <http://execsec.od.nih.gov/plainlang/guidelines/index.html>.

**Logos and Templates**

The HHS, NIH, and CIT logos must be used on all CIT presentation
materials.

-   **HHS and NIH Logos**

> <http://www.nih.gov/icd/od/ocpl/resources/graphicsandlogos.htm>

-   CIT Logo

> <http://cit.nih.gov/About/Resources/Logo.htm>

-   CIT Standard Template

> <http://www.cit.nih.gov/NR/rdonlyres/D53DF13F-1907-4ECC-982D-AE35D5A6D5D8/0/CITStandardtemplate.ppt>

**CIT Message Template**

The CIT message guidelines and template (Appendices 1 and 2) should be
used for all messages to NIH staff.

**General Guidelines**

-   Communications cleared for publication in one medium (e.g., the
    Internet) do not require clearance for publication in another medium
    with equivalent access (e.g., a brochure). However, items available
    for internal access only (e.g., CIT Portal) must be cleared through
    PECO before being distributed for external access (e.g., posting on
    the Internet or general distribution).

-   During the review stages of the clearance process (see Section F.
    below), content reviewers (Office/Division Directors, Executive
    Office (EO)/PECO, Scientific Director, etc.) are required to forward
    their recommendations (i.e., acceptable, acceptable with changes,
    unacceptable) with comments, via email to the originating office
    contact person and EO/PECO (<citcommoffice@mail.nih.gov>). This will
    document the completion date of their review and assist in tracking
    the progress of the clearance.

-   EO/PECO will provide a written explanation when clearance is denied.

Quality Assurance

-   The information is accurate and worthy of publication.

-   The information is consistent with existing CIT, NIH, and HHS
    policies and principles.

-   The information does not risk security of information or infringe on
    the privacy of, or reflect unfairly on, any person, institution, or
    agency.

-   Written permission to use copyrighted material is obtained.

-   Conclusions are valid and supported by reference to facts.

**Accessibility**

All communications must comply with all applicable IT accessibility
requirements. Detailed information is available in the HHS Guidelines on
Section 508 (Accessibility) at

<http://www.hhs.gov/web/508/> and in the NIH Guidelines on Electronic
and IT Accessibility at <http://irm.cit.nih.gov/policy/access.html>.

**F.** **CLEARANCE REQUIREMENTS AND PROCEDURES**

Clearance requirements and procedures are provided below. In addition,
case-by-case content reviews can be requested for any type of
communications at any staff member's request; this can be especially
useful in meeting lead times and deadlines. All reviews are coordinated
by PECO.

**Clearance Requirements**

Communications require clearance by the respective CIT Office/Division
Director and the respective senior CIT/Office of the NIH CIO official,
as follows:

-   Scientific (Approved by CIT Scientific Director).

-   Information Technology Management/Policy or Technical (Approved by
    NIH CIO/Deputy CIO; and/or CIT Director/Deputy Director). Review
    requirements will be made by PECO on a case-by-case basis to ensure
    CIT communications with NIH policy implications are appropriately
    reviewed.

-   Enterprise Architecture (Approved by NIH Chief IT Architect in the
    Office of the NIH CIO).

All surveys must be coordinated centrally and periodically reviewed by
PECO. These include CIT point-of-service surveys (e.g., NIH Help Desk
and other information collection for measuring customer satisfaction of
CIT services); special trans-NIH issues (e.g., pandemic flu, American
Customer Satisfaction Index); and internal CIT event surveys (e.g., Town
Hall). Surveys must be Section 508 compliant; CIT staff should consult
PECO, who has purchased licenses for compliant survey tools for CIT's
use.

Material with NIH-wide or greater impact subject matter require specific
clearances, which will be coordinated by PECO. Examples include
technical conferences, vendor fairs, and related announcements,
invitations, and brochures.

Note**:** Acquisition-related communications should be coordinated with
EO/PECO to ensure compliance with mandates. Examples include the
following: Section 507 of P.L. 104-208 mandates that contractors funded
with Federal dollars, in whole or in part, acknowledge Federal funding
when issuing statements, press releases, requests for proposals, bid
solicitations and other documents. This requirement is in addition to
the continuing requirement to provide an acknowledgment of support and
disclaimer on any publication reporting the results of a contract funded
activity. The contractor must acknowledge the support of NIH whenever
publicizing the work under this contract in any media by including an
acknowledgment substantially as follows: \"This project has been funded
in whole or in part with Federal funds from the \[IC\], National
Institutes of Health, U.S. Department of Health and Human Services,
under Contract No.XX.\"

**Clearance Process**

Staff should submit clearance requests for final materials as early as
possible, with special consideration to deadlines and lead times
required to obtain all necessary internal and external clearances.

1.  Customers without final materials are asked to submit a request for
    assistance with creation of a new message or review of a draft
    message to PECO, with a cc to the respective Office/Division
    Director.

> Next steps for assistance:
>
> Provide PECO with the type and purpose of the communication, intended
> audience, and desired distribution/presentation date; include any
> related background information (if requesting that PECO prepare a new
> document) or the draft document (if requesting PECO's review).
>
> Submissions should be sent via email to <citcommoffice@mail.nih.gov>.

1.  PECO will acknowledge receipt of all materials within one business
    day. PECO will obtain any additional information required for
    clearance and will advise of next steps.

2.  PECO will provide final draft to the customer and respective
    Division Director, generally within 5 days of receipt. Following
    their approval, PECO will obtain any additional required clearances.
    EO/PECO will either distribute the approved communication (e.g.,
    emergency, general, or new service announcements to CIT or NIH
    staff) or forward to the originating office for distribution.

**Special Clearance Requirements**

For publications and speeches, EO/PECO will submit an additional request
to NIH using the NIH Request for Public and Speech Clearance, [Form NIH
1616‑1](http://forms.nih.gov/adobe/procurement/NH1616_1.PDF).

For audiovisual publications, EO/PECO will submit an additional request
to NIH using HHS Audiovisual Clearance Request Form,
[HHS-524A](http://www.nih.gov/icd/od/ocpl/resources/audiovisual.htm).

For all media interview requests, EO/PECO will coordinate the clearance
process with the NIH Office of the Director, Office of Communications
and Public Liaison. Contact PECO at citcommoffice@mail.nih.gov.

EO/PECO will forward internal and external communication materials to
the NIH Office of Ethics and/or NIH Office of the General Counsel (OGC)
for review and opinion regarding approval, as appropriate. CIT
components are free to consult with OGC and Ethics and keep EO/PECO
informed.

**G. EVALUATION AND MANAGEMENT CONTROLS**

The CIT Executive Officer will periodically assess this program to
ensure effectiveness and compliance with regulatory and policy
requirements.

**APPENDIX 1**

**General Guidelines for CIT Messages**

**Clearances:**

-   Ensure concurrence by CIT Division Director(s) and concept
    awareness/concurrence by appropriate leadership.

    -   Scientific (Approved by CIT Scientific Director).

    -   Information Technology Management/Policy or Technical (Approved
        by NIH CIO/Deputy CIO; and/or CIT Director/Deputy Director).
        Review requirements will be made by PECO on a case-by-case basis
        to ensure CIT communications with NIH policy implications are
        appropriately reviewed.

    -   Enterprise Architecture (Approved by NIH Chief IT Architect in
        the NIH Office of the CIO).

-   Formal clearances exclude standing data calls (periodic mandatory
    reporting) from CIT or OCIO to NIH Executive Officers and IC CIOs,
    e.g., IT Budget, E-Gov, Critical Infrastructure Protection.

-   Communication material submitted to EO/PECO should be as complete as
    possible. EO/PECO will facilitate the clearance process and provide
    editorial and formatting assistance as appropriate. EO/PECO staff
    members are not subject matter experts.

**Basics:**

-   Use the format from the \"CIT Template for Messages to NIH Staff\"
    (Appendix 2).

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-   Answer the questions: Why are you sending this to me? How does this
    affect me? What am I supposed to do? What happens if I don't?

```{=html}
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-   Explain new concepts; define technical terms.

-   Provide definitions and URLs.

-   Use headings and bullets.

-   Keep it short and concise.

-   Close with contact information.

**Style tips:**

-   Use correct titles and names.

-   Refer to Executive Secretariat for writing guidelines.

    -   Official Correspondence Guidelines
        <http://execsec.od.nih.gov/help/index.html>

    -   Plain Language
        <http://execsec.od.nih.gov/plainlang/guidelines/writing.html>

    -   Organization of material
        <http://execsec.od.nih.gov/plainlang/guidelines/displaing.html>

-   Use parallel construction.

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-   Be direct; use active voice, action verbs, and present tense.

**Word Choices:**

-   Use common, everyday words.

-   Use \"you\" and other personal pronouns; avoid gender-specific
    terminology.

-   Use \"must\" instead of \"shall.\"

-   Use positive rather than negative words.

> **APPENDIX 2**

**CIT Template for Messages to NIH Staff**

**FROM:**  \[e.g., CIT Communications; CIO, NIH; Director, CIT\]

**TO: ** \[e.g., NIH Staff List; NIH Executive Officers; NIH ITMC\]

**SUBJECT:** \[Specify action required and due date; indicate
criticality, if needed and as

> appropriate (e.g., Urgent; Important; Information Only)\]

***Asterisked items are required; other items should be addressed as
appropriate to message. Headings are not required but may be used at
sender's discretion for clarity in conveying voluminous/complex
information.***

**\*Purpose:** Summarize action required, why it is required, and due
date.

**\*Affected audience:** How does this apply to you?

**\*Action required:** What do you need to do? Provide specifics.

**Definitions:** What is xxx? What do you need to know? Define any new
concepts, terminology, processes.

**\*Impact:** How will this affect you? What happens if action is not
taken?

**Risk:** Address any risk (low/medium/high), outside interest, and/or
sensitivity related to issue.

**Process:** How will this process work?

**Implementation:** How will xxx be implemented?

**Background/Additional Information:** Can be provided here, after the
closing, as a URL, or as an attachment.

**\*Contact info:** How can you get help?

> Please contact the NIH Help Desk with any questions or requests for
> assistance:  
>
> [[http://ithelpdesk.nih.gov]{.underline}](http://ithelpdesk.nih.gov/)
>
> 301-496-4357
>
> 866-319-4357 (toll free)
>
> 301-496-8294 (TTY)
>
> \[If applicable, include other contact mechanisms, e.g., for wikis,
> "To foster collaboration, we have created an NIH Wiki site:
> [http://kiwi.cit.nih.gov](http://kiwi.cit.nih.gov/)[."\]]{.underline}

**\*Closing:** Thank you for your support and cooperation in this
important effort.

/S/

Name & Title