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HSPD-12


Grant and Control Records Schedule N1-307-88-2

Records created and maintained to administer granting of Government funds for the promotion of basic research, science information, science education, and other purposes. Included are internal records and reports, copies of certain fiscal records, individual case files of all proposals received, grant and contract awardee case files, published research findings, and finding aids to the various groups of records.

ITEM NO. 5
  1. Grant and Contract Records Program Offices.
Materials (paper and electronic) created and maintained to administer the granting of Government funds for the promotion of basic research, science information, and science education. Included are internal records and reports, copies of certain fiscal records, individual case files of all proposals received, grant and contract award case files, published research findings, and finding aids to the various groups of records.
Records relating to claims by or against the United States Government must be held until claim is settled or adjusted by the General Accounting Office.
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  1. Completed paper Proposal Case Files created prior to Ejacket. and maintained by program offices in a separate file in numerical or alphabetical order, by Fiscal Year. Basic document is the formal proposal received. The files include but are not restricted to correspondence notes to the file, and reviewer evaluation reports. These include but are not limited to:
    • Basic research projects in Engineering
    • Basic research in Computer and Information Science and Engineering.
    • Basic research in Science and Engineering Education
    • Basic research in Scientific, Technological and International Affairs.

DISPOSITION:
Permanent.
Transfer to FRC 2 years after close of case file. Transfer to the National Archives in 5 year blocks 10 years after close of case files.

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  1. Extra Copies of Program Office Grant and Contract Records

DISPOSITION: Destroy when no longer needed.

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  1. EJACKET. Completed electronic Proposal Case Files created and maintained by program offices in the National Science Foundation electronic end-to-end proposal/grant management system.

DISPOSITION:
Permanent.
Retain in NSF Ejacket repository at close of case file. Transfer electronic records to NARA 3 years after close of case files using approved file transfer protocols. (FTP)

ITEM NO. 6
  1. Program Office Travel Grant and Contract Records.
Created and maintained by program offices in a separate file in numerical or alphabetical order by fiscal year. Case files relate to NSF funding for individual travel to professional conferences, lectures, and study tours. As with the research grants, the basic document is the formal proposal. Other records include correspondence, reviewer evaluations, and internal processing forms.
DISPOSITION: Send to FRC 2 years after close of case file. Destroy 10 years after close of case file.
ITEM NO. 11
  1. General Counsel Contract Files.
Maintained in individual folders for each contract, and used for reviewing matters of DISPOSITION: Transfer to FRC legal significance pertaining to contracts. Folders are filed alphabetically by specific program. contractor and numerically thereunder by contract number, and contain a copy of the contract and amendment(s), memoranda and related documents.
DISPOSITION: Destroy when contract is closed.
ITEM NO. 12
Any other Grant or Contract Reference File including duplicate copies of documents and correspondence maintained elsewhere as official records.

DISPOSITION: Destroy when use is served, or when contract or grant is closed, whichever is sooner.

ITEM NO. 13
  1. Direction and Administration of Grant and Contract Programs.

Reports, guides, and approved program planning documents reflecting policies and procedures developed to direct and administer grant and contract programs.

Records set, dealing with the following:

  • Overall grants administration.
  • Overall contracts administration.
  • Direction and administration of specific programs.

DISPOSITION: Transfer to FRC 2 years after cut off; destroy 10 years after close of specific program

ITEM NO. 14

Electronic system is a relational database used to monitor individual grant and contract proposals and awards. Data is extracted from and keyed to textual grant and contract files. All proposals and awards are covered from the beginning of the system. Included are narrative, numerical, and coded information pertaining to the proposal and internal NSF processing and administration. Electronic data is created and maintained on an IBM 3090 using DB II software. sooner.

 
  1. Output Reports.

DISPOSITION: Destroy when no longer needed.

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  1. Magnetic Media.

    1. Complete set of proposal and award data up to FY 1988.

DISPOSITION: Permanent. Transfer immediately in software-independent form (flat file) to the National Archives on IBM tape cartridges.

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  1. Complete set of proposal and award data up to FY 1988.

DISPOSITION: Permanent. Transfer annual increments at the end of each fiscal year to the National Archives in software-independent form (flat file) on IBM tape cartridges.

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  1. Systems Documentation

 

DISPOSITION: Permanent. Transfer recent and complete documentation to the National Archives in conjunction with magnetic media.



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