Effective date: 04/22/2009
Lead author(s): Gary Madonna
Authorizing official: Tracy A. Shahan, PhD, MBA / Approval date: 05/31/2011
Reviewed by: Conduct of a Meeting Team / Review date: 03/02/2017
1. Purpose: To document the process and procedure for the destruction of sensitive review-related materials after an SRP grant application or contract proposal review meeting.
2. Scope: Scientific Review Officers (SROs) and Branch Chiefs (BCs).
3. Procedure: This standard operating procedure (SOP) states that all (paper and electronic) versions of sensitive grant review meeting-related documents will be destroyed (or deleted) immediately following the successful input of application priority scores and the uploading of the meeting summary statements into IMPAC II, or until action of the NIAID Advisory Council, whichever is later. For contract review meetings the equivalent documents should be destroyed (or deleted) immediately after the award has been made.
4. Definitions:
OA: Office of Acquisitions
CMO: Committee Management Officer
SREA: Scientific Review Evaluation Activity
5. Key Contacts:
David Alperin, Committee Management Officer (CMO)
Tracy A. Shahan, PhD, MBA, Program Management and Analysis Branch (PMOB)
6. Related Documents/Links:
SRP policy of review file document retention PowerPoint presentation entitled: Record Retention Updates
R:\SRP-DEAS-SHARED\Training-Modules\Archive\2015-2016
7. Details:
· Archiving: The following materials are archived after a Grant review meeting by submitting hard copies to Bernice:
o Roster
o Agenda
o Meeting Minutes
o Signed Pre- and Post-Conflict Of Interest (COI) Forms
o COI Waivers
o Notes to the record
o Sign-in sheet (attendee list) for FTF meetings
o Archiving: The following materials are archived after a Contract review meeting by submitting hard copies to Bernice:Roster
o Agenda
o Meeting Minutes
o Signed Pre- and Post-Conflict Of Interest (COI) Forms
o COI Waivers
o Technical Evaluation Meeting slide deck
o SRP Comprehensive Review Manual
o Sign-in sheet (attendee list) for FTF meetings
o “Note for the Record” if any
o The last page of the TER for contract reviews
o Signed list of deliverables from SRO to CO
o Archived contract meeting materials check list form signed by the SRO and dated
See the following cover page that our ESAs use when giving these documents to Bernice for archiving: R:\SRP-DEAS-SHARED\Standard-Documents\Sorted_by_Training_Module\Major Review Phases\AI-PostMtg_Archival_Checklist.docx
· Sensitive Documents: The following materials are considered sensitive by SRP and should not be stored in any format or location beyond the timeframe listed above (see Procedure):
o Letters of Intent
o Email communications
§ With reviewers, NIH staff regarding reviewers, applicants
o Conflict of interest lists
o Post-meeting memos with scores
o Scores and streamlining information
o Applications or Proposals
o Draft Summary Statements
o QVR Reviewer Like Matrices
o SRDMS or eRSS system records
o Reviewer assignment lists
o Review meeting discussion notes
o Reviewer critiques
o Although not sensitive, 901s and ARAs that have been acted on and verified in IMPAC should not be stored
· Other Documents: The following materials are not sensitive and may be stored:
o Boilerplate, template email messages
o Recruiting emails
o Panel distribution lists
o E-mail standard informational documents (RSS, ER, teleconference, hotels, travel)
o Meeting scripts and orientations
o Any non-evaluative reviewer information which lacks ranking or personal comment that can be accessed through a public web site (hyperlinks, contact info, expertise, Medline)
o Post-review evaluations (though after BC review and submission to Bernice for RIMS, there is no reason to keep the raw data)
· See: PowerPoint presentation located at R:\SRP-DEAS-SHARED\Training-Modules\Archive\2015-2016 for complete list of documents that may be retained
· IMPAC documents:
o Reviewer assignment data for grant applications entered into the peer review module are automatically purged 15 days after the meeting release date
o Rosters and summary statements are maintained in IMPAC II
· Meeting attendance records and Chairperson certifications: These documents are kept by the CMO/SREA point of contact, David Alperin, and are destroyed after six years
· Contract Proposal Review Materials:
o The SRO will maintain the SRP Document Delivery Form for two years
o The OA will maintain the only copy of the TER package
8. Further Questions:
See your Branch Chief for clarification and guidance on other documents.
Status / Date / Name / Nature of ModificationReviewed / 01/31/2011 / Lynn Rust, PhD
Updated / 05/15/2015 / Morit Chatlynne / Changed “Mary Nuss” to “David Alperin”
Updated / 03/02/2017 / Robert Unfer / Multiple updates
PostMtg_SOP_Review Document Retention.doc 3/13/2017