Sample Chapter Format

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  **Instructions: Follow format below and replace information within
  brackets {} according to your specific chapter. Insert header on each
  page and section headings and content as appropriate.**

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**NIH MANUAL {chapter number} Page {1}**

**DATE: {MM/DD/YY}**

**REPLACES: {}**

**ISSUING OFFICE: {Organization ACRONYM} {phone number}**

**{CHAPTER TITLE}**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

A.PURPOSE:

B.BACKGROUND:

C.POLICY:

D.REFERENCES:

E.DEFINITIONS:

F.RESPONSIBILITIES:

G.PROCEDURES:

H.RECORDS RETENTION AND DISPOSAL: All records (e-mail and non-e-mail)
pertaining to this chapter must be retained and disposed of under the
authority of NIH Manual 1743,\"Keeping and Destroying Records, Appendix
1, \"NIH Records Control Schedule,\" Item {insert as appropriate or
check with your IC Records Officer.}

[NIH e-mail messages.]{.underline} NIH e-mail messages (messages,
including attachments, that are created on NIH computer systems or
transmitted over NIH networks) that are evidence of the activities of
the agency or have informational value are considered Federal records.
These records must be maintained in accordance with current NIH Records
Management guidelines. Contact your IC Records Officer for additional
information.

All e-mail messages are considered Government property, and, if
requested for a legitimate Government purpose, must be provided to the
requester. Employees\' supervisors, NIH staff conducting official
reviews or investigations, and the Office of Inspector General may
request access to or copies of the e-mail messages. E-mail messages must
also be provided to Congressional oversight committees if requested and
are subject to Freedom of Information Act requests. Since most e-mail
systems have back-up files that are retained for significant periods of
time, e-mail messages and

**NIH MANUAL {chapter number} Page {2}**

**DATE: {MM/DD/YY}**

**REPLACES: {}**

**ISSUING OFFICE: {Organization ACRONYM} {phone number}**

**{CHAPTER TITLE}**

attachments are likely to be retrievable from a back-up file after they
have been deleted from an individual\'s computer. The back-up files are
subject to the same requests as the original messages.

**I. MANAGEMENT CONTROLS:** The purpose of this manual issuance is to
{you describe the purpose}.

**(1) Office Responsible for Reviewing Management Controls Relative to
this Chapter** (you must insert the name of the issuing office):

{You list the issuing office and any other offices that will share
responsibility for coordinating the review procedure to ensure
appropriate management controls are in place for the chapter. If an
office outside of the issuing office is given responsibility for
reviewing management controls, the issuing office must have
documentation of the other office\'s concurrence.}

**(2) Frequency of Review (in years):**

{You state how often the review will be required. This will be dependent
on the level of risk posed if the chapter were not accurately followed
(generally between 1-5 years). The preferred option is to have controls
"built into" automated systems so there is an ongoing control/reporting
capability. (The issuing component should confer with DQN in developing
the review schedule.)}

**(3) Method of Review:**

{You determine the type of review that most appropriately provides the
program area the necessary documentation to show that the ICs are
generally in compliance with manual chapter.}

**Type of Review** (you describe): \[For example, an issuing component
may decide to initiate an internal Risk Assessment (RA). If the findings
of the RA were low risk, a 3-5 year follow-up review would be
appropriate. However, if the findings indicated a medium or high risk, a
1-2 year follow-up review would be appropriate. Again, the preferred
review option is to have controls built into automated systems, such as
the NIH Business and Research Support System, so there is an ongoing
review of the ICs compliance with the chapter. Reviews conducted should
include a small sample of IC activities related to the chapter to ensure
they are in compliance. When appropriate, reviews conducted by the
OIG/GAO or program area may be used as an alternative management control
review. Issuing components should confer with DQM for additional
guidance.\]

**(4) Review Reports are sent to:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

{Reports are sent to the NIH senior official responsible for the area
covered by the chapter, i.e., Deputy Director for Management (DDM) for
management/general administration, Deputy Director for Extramural
Research (DDER) for extramural research, Deputy Director for Intramural
Research (DDIR) for intramural research, NIH Chief Information Officer
for information technology policy, NIH Deputy Chief Finance Officer for
finance and travel policy, and Director of Human Resources, NIH, for
human resource policy. A copy of all review reports must also be
forwarded to the DDM. If a chapter review covers more than one of these
areas, a copy must be sent to the senior official for each of these
areas.}