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ASPR File Plan Config

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Additional Records Description
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Records Description
Justification for Manual Disposition Date
Transfer to Inactive Storage
Transfer to the National Archives for Accessioning
  
  
HHS Delegations of Authority FilesDelegations of Authority Pre-Decisional FilesAdministrative Program RecordDAA-0468-2013-0004-0004Sequence Number 1.4TemporaryShared drives,ASPR portal
CHGE - The Office of Business Management and Transformation (OBMT) supports achievement of the HHS mission by identifying, developing, implementing, and evaluating efficient and effective business practices throughout the Department. In addition, OBMT acts as an internal consulting group, maximizing return on taxpayer dollars by undertaking initiatives to improve services, reduce costs, and streamline bureaucracy. OBMT provides results-oriented strategic and analytical support for key management initiatives and coordinates the business mechanisms necessary to account for the performance of these initiatives and other objectives as deemed appropriate. OBMT: • Oversees Department-wide multi-sector workforce management activities to recognize and implement a proper strategic and cost-effective labor force, • Provides technical assistance to the Department’s Operating Divisions and Staff Divisions and evaluates the effectiveness of their business-centric programs, including the development of performance standards, and • Coordinates the review and approval process for reorganization and delegation of authority proposals that require the Secretary’s or designees’ signature.
Cut off at the end of the fiscal year

Destroy 15 year(s) after cut off
CHANGE -Delegations of Authority Pre-Decisional files are supporting records that describe the decision-making behind the creation of a Delegation of Authority. This might entail an email exchange between relevant parties, citation of relevant policy, or written explanation about why the delegation is proceeding as is. It is important to retain a copy of pre-decisional files because these supporting files can provide pertinent information about the relationship between delegations and also provide individuals with a better understanding of why certain delegations were necessary.
HHS Delegations of Authority FilesDelegations of Authority Files from 1995 and afterAdministrative Program RecordDAA-0468-2013-0004-0002Sequence Number 1.2PermanentShared drives,ASPR portal
Superseded Authority Citation N1-468-92-4, Item 201-03a
HHS Delegations of Authority Files Disposition Authority: DAA-0468-2013-0004 Background: The Office of Business Management and Transformation (OBMT) supports achievement of the HHS mission by identifying, developing, implementing, and evaluating efficient and effective business practices throughout the Department. In addition, OBMT acts as an internal consulting group, maximizing return on taxpayer dollars by undertaking initiatives to improve services, reduce costs, and streamline bureaucracy. OBMT provides results-oriented strategic and analytical support for key management initiatives and coordinates the business mechanisms necessary to account for the performance of these initiatives and other objectives as deemed appropriate. OBMT: • Oversees Department-wide multi-sector workforce management activities to recognize and implement a proper strategic and cost-effective labor force, • Provides technical assistance to the Department’s Operating Divisions and Staff Divisions and evaluates the effectiveness of their business-centric programs, including the development of performance standards, and • Coordinates the review and approval process for reorganization and delegation of authority proposals that require the Secretary’s or designees’ signature.
Cut off Delegations of Authority files at the end of the FY when superseded or cancelled.
Delegations of Authority specify who is authorized to act on behalf of the Secretary or other Department of Health and Human Services (DHHS) officials for specific purposes. Delegations of Authority files contain the approved delegation. The paper records are organized by subject.
Transfer to the Federal Records Center 5 years after cut off.
Transfer paper records to the National Archives in four year blocks when the most recent records in the block are 20 years old. Transfer electronic records in four year blocks when the earliest record in the block is 5 years old.
HHS Records of Non-Selected Employment ApplicantsHHS Records of Non-Selected Employment ApplicantsAdministrative Program RecordDAA-0468-2011-0003-0001Sequence Number 1TemporaryShared drives
A gap has been identified in the General Records Schedules and the Purpose of this records schedule is to fill the gap
Cut off at the end of the fiscal year in which position has been filled or canceled.

Destroy 1 year(s) after cut off
HHS records of non-selected employment applicants are records that are created and received in the course of HHS employment announcements and interviews. Records include but are not limited to resumes, interview questions, interview notes (written on copies of resumes, on note paper, on questionnaires, or on or by any means during an interview), copy of job announcement, and qualification-related materials submitted by the applicant during the interview. Note: In the event of legal proceedings, records of a non-selectee may not be destroyed until all legal action has been completed.
Official Correspondence Files of the Secretary of the Department of Health and Human ServicesWorking FilesAdministrative Program RecordDAA-0468-2011-0006-0002 Sequence Number 1.2TemporarySWIFT
Draft, notes, comments, electronic mail messages, and related working papers created during the drafting of the correspondence described in item 0001 of this records schedule.
This records schedule updates previously approved records schedule NC1-235-80-1, item 100-01a and NC1-235-82-1, item 100-01a; HHS OS Handbook item 100-01a (Official Correspondence of the Secretary). NOTE: (REMINDER) Please do not destroy/dispose of any records covered by HHS/OS Handbook items until we revise and re-submit to NARA for approval. 1 Official Files of the Secretary Official record copies of correspondence (including electronic mail), and associated background materials (copies of incoming and outgoing memorandums, comments, drafts and similar documents) of the Secretary, Secretary’s Chief of Staff, Deputy Secretary to the Secretary, Executive Secretary to the Secretary, White House Liaison, Counselors to the Secretary, Directors of the Office of Disability and The Office of Health Reform (and any future Directors established under the IOS umbrella), and any HHS Official acting on behalf of any of these positions.
Cut off at the end of each calendar year in which received in the Immediate Office of the OS STAFFDIV.

Destroy 3 year(s) after cutoff
Official Correspondence Files of the Secretary of the Department of Health and Human ServicesOfficial Correspondence-OSAdministrative Program RecordDAA-0468-2011-0006-0001Sequence Number 1.1PermanentShared drives,Correspondence
Incoming and outgoing correspondence, reports, studies, memoranda, and other documents in the immediate Office of the Secretary of the Department of Health and Human Services that: (1) issue policy, prescribe procedures, or affect organizational structures; (2) provide executive direction or document major functions; (3) pertain to relations with the White House, Executive Office for the President, Congress, or the public; (4) prescribe policy; (5) Pertain to litigation and formal legal opinions; and (6) document the policies, programs, plans, and organizational structures established to fulfill the mission of HHS and OS Components. This includes all correspondence in the Immediate Office of the Secretary, including the responses created by other offices of HHS, signed by the Secretary, and filed in the immediate office of the Secretary.
This records schedule updates previously approved records schedule NC1-235-80-1, item 100-01a and NC1-235-82-1, item 100-01a; HHS OS Handbook item 100-01a (Official Correspondence of the Secretary). NOTE: (REMINDER) Please do not destroy/dispose of any records covered by HHS/OS Handbook items until we revise and re-submit to NARA for approval. 1 Official Files of the Secretary Official record copies of correspondence (including electronic mail), and associated background materials (copies of incoming and outgoing memorandums, comments, drafts and similar documents) of the Secretary, Secretary’s Chief of Staff, Deputy Secretary to the Secretary, Executive Secretary to the Secretary, White House Liaison, Counselors to the Secretary, Directors of the Office of Disability and The Office of Health Reform (and any future Directors established under the IOS umbrella), and any HHS Official acting on behalf of any of these positions.
Cut off at the end of the fiscal year in which correspondence was created or received.
Superseded Authority Citation NC1-235-80-1, Item 100-01A and 100-01B
Transfer paper records to Federal Records Center 5 years after cutoff.
Transfer records to the National Archives in four year blocks when the most recent records in the block are 15 years old.
Official Files and Briefing Books of the OS Components i.e., Heads of each OS Staff Division (STAFF DIV) of the Secretary, HHSRoutine FilesAdministrative Program RecordDAA-0468-2013-0009-0002Sequence Number 1.2TemporaryShared drives,Correspondence
Superseded Authority Citation NC1-235-80-1, Item 100-02b
The Department of Health and Human Services is the principal agency for protecting the health of all Americans. It is comprised of the Office of the Secretary and 11 operating divisions (OPDIVs). The agencies perform a wide variety of tasks and services, including research, public health, food and drug safety, grants and other funding, health insurance, and many others. The subdivisions of the Office of the Secretary (OS STAFFDIVs) listed below provide direct support for the Secretary’s initiatives. • Assistant Secretary for Preparedness and Response (ASPR) • Any future OS Component i.e., Head of Staff Division established under the OS umbrella This records schedule includes the records of the OS STAFFDIV high level officials listed above including but not limited to those of the: • Assistant Secretaries • Deputy Assistant Secretaries • Political Appointees NOTE: (REMINDER) Please do not destroy/dispose of any records covered by HHS/OS Handbook items until we revise and re-submit to NARA for approval. 1 Official Files of the OS STAFFDIVs High Level Officials Official record copies of correspondence (including electronic mail), and associated background materials (copies of incoming and outgoing memorandums, comments, drafts and similar documents) of the OS STAFFDIV high level officials and any HHS official acting on behalf of any of the positions listed above.
Cutoff at the close of the calendar year in which created or received.

Destroy 5 year(s) after cutoff
These records relate to administrative support activities, to include but is not limited to staffing and procedures not directly related to the essential primary purpose of the OS STAFFDIVs, declined and cancelled invitations, training materials developed by OS STAFFDIVs, certificates of completion of training courses, and standard operating procedures that do not document the OS STAFFDIVs policies.
Official Files and Briefing Books of the OS Components i.e., Heads of each OS Staff Division (STAFF DIV) of the Secretary, HHSOfficial FilesAdministrative Program RecordDAA-0468-2011-0004-0001Sequence Number 1.1Permanent
Official Files and Briefing Books of the OS Components i.e., Heads of each OS Staff Division (STAFF DIV) of the Secretary, HHSOfficial Briefing Books of the OS STAFFDIVs High Level OfficialsAdministrative Program RecordDAA-0468-2013-0009-0004Sequence Number 2PermanentShared drives,Correspondence
Superseded Authority Citation N1-468-99-1, Item 1
The Department of Health and Human Services is the principal agency for protecting the health of all Americans. It is comprised of the Office of the Secretary and 11 operating divisions (OPDIVs). The agencies perform a wide variety of tasks and services, including research, public health, food and drug safety, grants and other funding, health insurance, and many others. The subdivisions of the Office of the Secretary (OS STAFFDIVs) listed below provide direct support for the Secretary’s initiatives. • Assistant Secretary for Preparedness and Response (ASPR) • Any future OS Component i.e., Head of Staff Division established under the OS umbrella This records schedule includes the records of the OS STAFFDIV high level officials listed above including but not limited to those of the: • Assistant Secretaries • Deputy Assistant Secretaries • Political Appointees NOTE: (REMINDER) Please do not destroy/dispose of any records covered by HHS/OS Handbook items until we revise and re-submit to NARA for approval. 1 Official Files of the OS STAFFDIVs High Level Officials Official record copies of correspondence (including electronic mail), and associated background materials (copies of incoming and outgoing memorandums, comments, drafts and similar documents) of the OS STAFFDIV high level officials and any HHS official acting on behalf of any of the positions listed above.
Cut off at the end of the calendar year in which briefing books and daily files were created.
Records copy of daily schedules/calendar, agendas, speeches, notes, speaking points, annotated speeches, background/supporting information, policies, decision papers,, letters of invitation, accepted/declined/cancelled invitations to attend, participate and/or speak at meetings, conferences, and similar events, reports, records documenting telephone calls, and any other information appropriate for filing in the briefing books of the OS STAFFDIV high-level officials, and created and maintained in their daily schedules to prepare them for the daily activities and to keep them informed of major policy and program developments.
Transfer paper records to the Federal Records Center 5 years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks when the earliest records in the block are 5 years old.
Official Files and Briefing Books of the OS Components i.e., Heads of each OS Staff Division (STAFF DIV) of the Secretary, HHSWorking FilesAdministrative Program RecordDAA-0468-2013-0009-0003Sequence Number 1.3TemporaryShared drives,Correspondence
The Department of Health and Human Services is the principal agency for protecting the health of all Americans. It is comprised of the Office of the Secretary and 11 operating divisions (OPDIVs). The agencies perform a wide variety of tasks and services, including research, public health, food and drug safety, grants and other funding, health insurance, and many others. The subdivisions of the Office of the Secretary (OS STAFFDIVs) listed below provide direct support for the Secretary’s initiatives. • Assistant Secretary for Preparedness and Response (ASPR) • Any future OS Component i.e., Head of Staff Division established under the OS umbrella This records schedule includes the records of the OS STAFFDIV high level officials listed above including but not limited to those of the: • Assistant Secretaries • Deputy Assistant Secretaries • Political Appointees NOTE: (REMINDER) Please do not destroy/dispose of any records covered by HHS/OS Handbook items until we revise and re-submit to NARA for approval. 1 Official Files of the OS STAFFDIVs High Level Officials Official record copies of correspondence (including electronic mail), and associated background materials (copies of incoming and outgoing memorandums, comments, drafts and similar documents) of the OS STAFFDIV high level officials and any HHS official acting on behalf of any of the positions listed above.
Cut off at the end of each calendar year in which received in the Immediate Office of the OS STAFFDIV.

Destroy 3 year(s) after cutoff
Draft, notes, comments, electronic mail messages, and related working papers created during the drafting of the correspondence described in item 0001 and 0002 of this records schedule.
Travel and Miscellaneous Expenses FilesTravel and Miscellaneous Expenses FilesAdministrative Program RecordDAA-0468-2011-0001-0001Sequence Number 1TemporaryShared drives,ASPR portal,INCEP,GovTrip
This records schedule will apply to all travel and miscellaneous expense records created and received in the course of official travel by all Department of Health and Human Services employees.
Cut off at the end of the fiscal year in which travel has been completed

Destroy 2 year(s) after cut off
Original documentation that supports travel authorization and expense reimbursements made through an electronic travel service (e.g. GovTrip). Records include but are not limited to employee receipts of lodging, common carrier use, vehicle rental, expenses exceeding $75, and other documentation of expenses, where copies have been entered into GovTrip or related eTravel system are maintained in accordance with the appropriate General Records Schedule item(s).
ASPR Technical Resources, Assistance Center, and Information Exchange System (ASPR TRACIE)ASPR TRACIE Existing ResourcesProgram RecordDAA-0468-2019-0003-0001Sequence Number 1TemporaryFiscal
The U.S. Department of Health and Human Services (HHS) Office of the Assistant Secretary for Preparedness and Response (ASPR) sponsors the ASPR Technical Resources, Assistance Center, and Information Exchange (ASPR TRACIE). ASPR TRACIE was created to meet the information and technical assistance needs of regional ASPR staff, state and local healthcare preparedness grantees, healthcare coalitions, healthcare entities, healthcare providers, and others working in disaster medicine and healthcare system preparedness. ASPR TRACIE, is a special project within response and recovery but supports technical assistance needs for all of ASPR, other STAFF and Operating Divisions of HHS, the interagency, and external stakeholders.Formally launched in September 2015, the vision of ASPR TRACIE is to serve as a national knowledge center for healthcare preparedness. ASPR TRACIE aims to ensure that all stakeholders – at the federal, state, local, tribal, territory, non-profit and for-profit levels – have access to information and resources to improve medical and health system preparedness, response, recovery, and mitigation efforts. The goal of ASPR TRACIE is to better support flexible, coordinated, and consolidated responses to medical, healthcare, and public health incidents, thereby improving community resilience to all hazard disasters. ASPR TRACIE achieves this goal by supporting knowledge transfer and collaborations between state and local medical and public health authorities, Presidential initiatives, federal agencies, healthcare coalitions, NGOs, colleges/universities, and experts in the field to facilitate the sharing of information, best/promising practices, and emerging issues.The ASPR TRACIE Team maintains a web-based library of materials on various public health, healthcare, disaster medicine, and medical emergency preparedness topics that serve the needs of federal preparedness grantees, healthcare coalitions, public health professionals, medical and healthcare professionals, and the general public. The Resource Library includes links to various materials such as evidence-based articles, fact sheets, reports, technical briefs, white papers, toolkits, webinars, plans, guidelines, best and promising practices, lessons learned, and templates. The Resource Library is populated from two primary inputs: 1) existing databases (e.g., the NLM, Disaster Lit®), and 2) materials located, reviewed, received, and vetted by the ASPR TRACIE Team that are not already included on Disaster Lit® (i.e., “ASPR TRACIE Resources”). The ASPR TRACIE Library hosts three types of materials: 1) unsolicited materials submitted by ASPR TRACIE users through email or via the IE 2) materials solicited through outreach and rollout campaigns; and 3) materials identified by the ASPR TRACIE Team or created through ASPR TRACIE. For each resource determined appropriate for inclusion in the ASPR TRACIE Resource Library, the ASPR TRACIE Team creates a unique database record. If the resource is not already available online, the ASPR TRACIE Team requests permission from the author to make it accessible and compliant with Section 508 of the Rehabilitation Act before creating a record and housing the resource within the ASPR TRACIE Resources database and made publicly available on the ASPR TRACIE webpage.
Cutoff at the end of the fiscal year in which the
request was created or received.
Destroy 7 year(s) after cutoff but longer retention is
authorized if required for business use.
These records are published in other databases and sources as well as other materials and publications approved by ASPR TRACIE subject matter experts. These records are not created by ASPR TRACIE, they are created from other agencies, organizations, etc. hosted in the ASPR TRACIE system and are not otherwise scheduled as they cover a range of topics (e.g. access and functional needs, cybersecurity, mass casualty, pediatrics, etc.) and reach a broad audience (e.g. ASPR staff, state and local healthcare preparedness grantees, healthcare coalitions, healthcare entities, healthcare providers and others working in disaster medicine and healthcare system preparedness).
NARA Approved
ASPR Technical Resources, Assistance Center, and Information Exchange System (ASPR TRACIE)ASPR TRACIE Developed ResourcesProgram RecordDAA-0468-2019-0003-0002Sequence Number 2.1Permanent
Records include those that are the result of substantial effort and subject matter expert review, wide spread publications that draw significant interest, and/or that are developed in direct support of a declared emergency. Records include, but are not limited to: 1) Behind the Response: Experiences from the Field 2) Resources at Your Fingertips 3) The Exchange 4) The Express 5) Tip Sheets and Fact Sheets 6) Tools and Templates 7) Technical Assistance responses generated and posted in direct support of a declared emergency.
The U.S. Department of Health and Human Services (HHS) Office of the Assistant Secretary for Preparedness and Response (ASPR) sponsors the ASPR Technical Resources, Assistance Center, and Information Exchange (ASPR TRACIE). ASPR TRACIE was created to meet the information and technical assistance needs of regional ASPR staff, state and local healthcare preparedness grantees, healthcare coalitions, healthcare entities, healthcare providers, and others working in disaster medicine and healthcare system preparedness. ASPR TRACIE, is a special project within response and recovery but supports technical assistance needs for all of ASPR, other STAFF and Operating Divisions of HHS, the interagency, and external stakeholders.Formally launched in September 2015, the vision of ASPR TRACIE is to serve as a national knowledge center for healthcare preparedness. ASPR TRACIE aims to ensure that all stakeholders – at the federal, state, local, tribal, territory, non-profit and for-profit levels – have access to information and resources to improve medical and health system preparedness, response, recovery, and mitigation efforts. The goal of ASPR TRACIE is to better support flexible, coordinated, and consolidated responses to medical, healthcare, and public health incidents, thereby improving community resilience to all hazard disasters. ASPR TRACIE achieves this goal by supporting knowledge transfer and collaborations between state and local medical and public health authorities, Presidential initiatives, federal agencies, healthcare coalitions, NGOs, colleges/universities, and experts in the field to facilitate the sharing of information, best/promising practices, and emerging issues.The ASPR TRACIE Team maintains a web-based library of materials on various public health, healthcare, disaster medicine, and medical emergency preparedness topics that serve the needs of federal preparedness grantees, healthcare coalitions, public health professionals, medical and healthcare professionals, and the general public. The Resource Library includes links to various materials such as evidence-based articles, fact sheets, reports, technical briefs, white papers, toolkits, webinars, plans, guidelines, best and promising practices, lessons learned, and templates. The Resource Library is populated from two primary inputs: 1) existing databases (e.g., the NLM, Disaster Lit®), and 2) materials located, reviewed, received, and vetted by the ASPR TRACIE Team that are not already included on Disaster Lit® (i.e., “ASPR TRACIE Resources”). The ASPR TRACIE Library hosts three types of materials: 1) unsolicited materials submitted by ASPR TRACIE users through email or via the IE 2) materials solicited through outreach and rollout campaigns; and 3) materials identified by the ASPR TRACIE Team or created through ASPR TRACIE. For each resource determined appropriate for inclusion in the ASPR TRACIE Resource Library, the ASPR TRACIE Team creates a unique database record. If the resource is not already available online, the ASPR TRACIE Team requests permission from the author to make it accessible and compliant with Section 508 of the Rehabilitation Act before creating a record and housing the resource within the ASPR TRACIE Resources database and made publicly available on the ASPR TRACIE webpage.
Cutoff at the end of the fiscal year in which the request was created or received.
ASPR TRACIE Developed Resources The records created by the ASPR TRACIE team include, but are not limited to: Technical Assistance products, factsheets, webinars, podcasts, trainings, and tip sheets. These publications are authored by the ASPR TRACIE team through subject matter experts, research, and working groups. The records are stored and maintained in the ASPR TRACIE system and are not otherwise scheduled as they cover a range of topics (e.g. access and functional needs, cybersecurity, mass casualty, pediatrics, etc.) and reach a broad audience (e.g. ASPR staff, state and local healthcare preparedness grantees, healthcare coalitions, healthcare entities, healthcare providers and others working in disaster medicine and healthcare system preparedness). The ASPR TRACIE Standard Operating Procedures includes the Records Management Requirements section. It notes that the ASPR TRACIE Section Chief, with input from the ASPR TRACIE Team, will determine the records that should fall under temporary and permanent disposition categories as well as the ASPR TRACIE file plan. ASPR TRACIE Developed Resources can be found on this site https://asprtracie.hhs.gov/tracie-resources.
Transfer to the National Archives 15 year(s) after cutoff.
NARA Approved
ASPR Technical Resources, Assistance Center, and Information Exchange System (ASPR TRACIE)ASPR TRACIE Recorded Video and Audio ResourcesProgram RecordDAA-0468-2019-0003-0003Sequence Number 2.2PermanentFiscal
The U.S. Department of Health and Human Services (HHS) Office of the Assistant Secretary for Preparedness and Response (ASPR) sponsors the ASPR Technical Resources, Assistance Center, and Information Exchange (ASPR TRACIE). ASPR TRACIE was created to meet the information and technical assistance needs of regional ASPR staff, state and local healthcare preparedness grantees, healthcare coalitions, healthcare entities, healthcare providers, and others working in disaster medicine and healthcare system preparedness. ASPR TRACIE, is a special project within response and recovery but supports technical assistance needs for all of ASPR, other STAFF and Operating Divisions of HHS, the interagency, and external stakeholders.Formally launched in September 2015, the vision of ASPR TRACIE is to serve as a national knowledge center for healthcare preparedness. ASPR TRACIE aims to ensure that all stakeholders – at the federal, state, local, tribal, territory, non-profit and for-profit levels – have access to information and resources to improve medical and health system preparedness, response, recovery, and mitigation efforts. The goal of ASPR TRACIE is to better support flexible, coordinated, and consolidated responses to medical, healthcare, and public health incidents, thereby improving community resilience to all hazard disasters. ASPR TRACIE achieves this goal by supporting knowledge transfer and collaborations between state and local medical and public health authorities, Presidential initiatives, federal agencies, healthcare coalitions, NGOs, colleges/universities, and experts in the field to facilitate the sharing of information, best/promising practices, and emerging issues.The ASPR TRACIE Team maintains a web-based library of materials on various public health, healthcare, disaster medicine, and medical emergency preparedness topics that serve the needs of federal preparedness grantees, healthcare coalitions, public health professionals, medical and healthcare professionals, and the general public. The Resource Library includes links to various materials such as evidence-based articles, fact sheets, reports, technical briefs, white papers, toolkits, webinars, plans, guidelines, best and promising practices, lessons learned, and templates. The Resource Library is populated from two primary inputs: 1) existing databases (e.g., the NLM, Disaster Lit®), and 2) materials located, reviewed, received, and vetted by the ASPR TRACIE Team that are not already included on Disaster Lit® (i.e., “ASPR TRACIE Resources”). The ASPR TRACIE Library hosts three types of materials: 1) unsolicited materials submitted by ASPR TRACIE users through email or via the IE 2) materials solicited through outreach and rollout campaigns; and 3) materials identified by the ASPR TRACIE Team or created through ASPR TRACIE. For each resource determined appropriate for inclusion in the ASPR TRACIE Resource Library, the ASPR TRACIE Team creates a unique database record. If the resource is not already available online, the ASPR TRACIE Team requests permission from the author to make it accessible and compliant with Section 508 of the Rehabilitation Act before creating a record and housing the resource within the ASPR TRACIE Resources database and made publicly available on the ASPR TRACIE webpage.
Cutoff at the end of the fiscal year in which the request was created or received.
Records include recorded webinars, podcasts, and videos involving Subject Matter Experts discussing a wide range of topics related to emergency preparedness.
Transfer to the National Archives 5 year(s) after cutoff.
NARA Approved
ASPR Technical Resources, Assistance Center, and Information Exchange System (ASPR TRACIE)ASPR TRACIE Routine ResourcesProgram RecordDAA-0468-2019-0003-0004Sequence Number 2.3TemporaryFiscal
The U.S. Department of Health and Human Services (HHS) Office of the Assistant Secretary for Preparedness and Response (ASPR) sponsors the ASPR Technical Resources, Assistance Center, and Information Exchange (ASPR TRACIE). ASPR TRACIE was created to meet the information and technical assistance needs of regional ASPR staff, state and local healthcare preparedness grantees, healthcare coalitions, healthcare entities, healthcare providers, and others working in disaster medicine and healthcare system preparedness. ASPR TRACIE, is a special project within response and recovery but supports technical assistance needs for all of ASPR, other STAFF and Operating Divisions of HHS, the interagency, and external stakeholders.Formally launched in September 2015, the vision of ASPR TRACIE is to serve as a national knowledge center for healthcare preparedness. ASPR TRACIE aims to ensure that all stakeholders – at the federal, state, local, tribal, territory, non-profit and for-profit levels – have access to information and resources to improve medical and health system preparedness, response, recovery, and mitigation efforts. The goal of ASPR TRACIE is to better support flexible, coordinated, and consolidated responses to medical, healthcare, and public health incidents, thereby improving community resilience to all hazard disasters. ASPR TRACIE achieves this goal by supporting knowledge transfer and collaborations between state and local medical and public health authorities, Presidential initiatives, federal agencies, healthcare coalitions, NGOs, colleges/universities, and experts in the field to facilitate the sharing of information, best/promising practices, and emerging issues.The ASPR TRACIE Team maintains a web-based library of materials on various public health, healthcare, disaster medicine, and medical emergency preparedness topics that serve the needs of federal preparedness grantees, healthcare coalitions, public health professionals, medical and healthcare professionals, and the general public. The Resource Library includes links to various materials such as evidence-based articles, fact sheets, reports, technical briefs, white papers, toolkits, webinars, plans, guidelines, best and promising practices, lessons learned, and templates. The Resource Library is populated from two primary inputs: 1) existing databases (e.g., the NLM, Disaster Lit®), and 2) materials located, reviewed, received, and vetted by the ASPR TRACIE Team that are not already included on Disaster Lit® (i.e., “ASPR TRACIE Resources”). The ASPR TRACIE Library hosts three types of materials: 1) unsolicited materials submitted by ASPR TRACIE users through email or via the IE 2) materials solicited through outreach and rollout campaigns; and 3) materials identified by the ASPR TRACIE Team or created through ASPR TRACIE. For each resource determined appropriate for inclusion in the ASPR TRACIE Resource Library, the ASPR TRACIE Team creates a unique database record. If the resource is not already available online, the ASPR TRACIE Team requests permission from the author to make it accessible and compliant with Section 508 of the Rehabilitation Act before creating a record and housing the resource within the ASPR TRACIE Resources database and made publicly available on the ASPR TRACIE webpage.
Cutoff at the end of the fiscal year in which the request was created or received.
Destroy 7 year(s) after cutoff but longer retention is
authorized if required for business use.
NARA Approved
ASPR TRACIE RecordsASPR TRACIE RecordsProgram Record
Continuity of Operation Plan (COOP) RecordsHHS OPDIV and OS STAFFDIV COOP PlansProgram RecordDAA-0468-2013-0001-0002Sequence Number 1.1.2TemporaryShared drives,ASPR portal
Records, including but not limited to COOP plans, implementation plans, vital records inventories, and devolution plans, developed by the HHS OPDIVs and OS STAFFDIVs to support the HHS continuity plan or framework. The OPDIVs and OS STAFFDIVs are the custodians of these records, which are duplicated and dispersed to off-site storage, such as off-site servers, off-site locations or cloud storage environments COOP plans are reviewed and updated on a bi-annual basis.
Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Continuity Coordinator and the Continuity Program Manager are responsible for the development and implementation of the Department of Health and Human Service's continuity plan in the event of a Continuity of Operations (COOP) event. The purpose of the COOP plan is to ensure that primary mission essential functions continue to be performed during a wide range of emergencies, including localized acts of nature, accidents or attack-related emergencies 1 Continuity of Operation Plan (COOP) Records The Continuity Coordinator and the Continuity Program Manager are responsible for the development and implementation of the Department of Health and Human Service's continuity plan in the event of a Continuity of Operations (COOP) event. The purpose of the COOP plan is to ensure that primary mission essential functions continue to be performed during a wide range of emergencies, including localized acts of nature, accidents or attack-related emergencies. 1.1 Continuity of Operation (COOP) Plans Records documenting continuity plans and guidance documents developed, prepared or received to determine the Department's critical functions, required resources, dependencies, alternatives, recovery particulars, devolution controls, communication issue and financial considerations in planning for a COOP event.
Cut off at the end of the fiscal year when records are superseded, obsolete or inactive

Destroy 7 year(s) after cutoff
Continuity of Operation Plan (COOP) RecordsCOOP Workshops, Exercises and Briefings for Senior-Level Officials FilesProgram RecordDAA-0468-2013-0001-0004Sequence Number 1.2.1TemporaryShared drives,ASPR portal
Records created for COOP workshops, training exercises, and briefings for senior-level officials. Records include background documents, instructions to members participating in exercises, such as Eagle Horizon, staffing assignments, presentations, presentation hand-outs, training documents, and executive summaries and final reports for required exercises. Senior-Level Officials include the Secretary, Deputy Secretary, Chief of Staff and the heads of each of the OPDIVs and OS STAFFDIVs These briefings are prepared on an as requested basis.
Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Continuity Coordinator and the Continuity Program Manager are responsible for the development and implementation of the Department of Health and Human Service's continuity plan in the event of a Continuity of Operations (COOP) event. The purpose of the COOP plan is to ensure that primary mission essential functions continue to be performed during a wide range of emergencies, including localized acts of nature, accidents or attack-related emergencies 1.2 COOP Workshops, Exercises and Briefings for Senior-Level Officials Records created for COOP workshops, training exercises, and briefings for senior-level officials.
Cut off at the end of the fiscal year when records are superseded, obsolete or inactive

Destroy 7 year(s) after cutoff
Continuity of Operation Plan (COOP) RecordsCOOP Plan Supporting DocumentationProgram RecordDAA-0468-2013-0001-0003Sequence Number 1.1.3TemporaryShared drives,ASPR portal
Related background documents, such as correspondence, used in the development of HHS or HHS OPDIV or STAFFDIV COOP Plans.
Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Continuity Coordinator and the Continuity Program Manager are responsible for the development and implementation of the Department of Health and Human Service's continuity plan in the event of a Continuity of Operations (COOP) event. The purpose of the COOP plan is to ensure that primary mission essential functions continue to be performed during a wide range of emergencies, including localized acts of nature, accidents or attack-related emergencies 1 Continuity of Operation Plan (COOP) Records The Continuity Coordinator and the Continuity Program Manager are responsible for the development and implementation of the Department of Health and Human Service's continuity plan in the event of a Continuity of Operations (COOP) event. The purpose of the COOP plan is to ensure that primary mission essential functions continue to be performed during a wide range of emergencies, including localized acts of nature, accidents or attack-related emergencies. 1.1 Continuity of Operation (COOP) Plans Records documenting continuity plans and guidance documents developed, prepared or received to determine the Department's critical functions, required resources, dependencies, alternatives, recovery particulars, devolution controls, communication issue and financial considerations in planning for a COOP event.
Cut off at the end of the fiscal year when records are superseded, obsolete or inactive

Destroy 3 year(s) after cutoff
Correspondence Management System for the Office of the Assistant Secretary for Preparedness and ResponseXML Tracking SheetProgram RecordDAA-0468-2019-0004-0001Sequence Number 1.1PermanentAnnual
The correspondence management system is the single entry and exit point for official correspondence containing documents generated by ASPR and/or received by its component offices that require action from the HHS Secretary and other government agencies. This includes official records (including electronic email), associated background materials (copies of incoming and outgoing memorandums, comments, drafts, data calls, clearance, and similar documents) that are: 1. Originated and maintained only by ASPR offices, signed by the ASPR and/or the Principal Deputy ASPR (and any ASPR Official acting on behalf of those positions), and filed in the Immediate Office of the ASPR. 2. Originated responses to data calls and requests for data by and from ASPR offices with the private sector, internal Departmental Offices, and other government agencies, including the White House and Congress, filed in the Immediate Office of the ASPR. 3. Originated responses and requests by and from the ASPR and submitted to the HHS Secretary and/or the Immediate Office of the Secretary. The correspondence management system hosts incoming and outgoing correspondence, official tracking records, reports, studies, memoranda, and other documents in the Immediate Office of the Assistant Secretary for Preparedness and Response that: 1. issue policy, prescribed procedures, or affect organizational structures; 2. provide executive direction or document major functions; 3. pertain to relations with the White House, National Security Council, Executive Office for the President, Congress, or the public; 4. any request for information from a representative of GAO or under the FOIA; 5. any documents to be published in the Federal Register; 6. any document requiring official clearance by the Health and Human Service’s operating divisions and staff divisions or other executive branch department or agencies; 7. Congressional letters written directly to ASPR offices for signature by the Office director or designated staff; 8. prescribe policy; 9. pertain to litigation and formal legal opinions; and, 10. document the policies, programs, plans, and organizational structures established to fulfill the mission of ASPR and the Immediate Office Components.
Cutoff at the end of each calendar year in which
correspondence was created or received.
Tracking that serves as a historical record that includes basic document information, file synopsis, notes in chronological order from the correspondence tracking metadata, and all records associated with each correspondence. The historical record is a repository of each correspondence related to a topic, for example if a public health emergency declaration is requested subsequent extensions are all maintained in one XML tracking sheet.
Transfer to the National Archives 15 year(s) after cutoff.
NARA Approved
Correspondence Management System for the Office of the Assistant Secretary for Preparedness and ResponseSubstantive Working FilesProgram RecordDAA-0468-2019-0004-0002Sequence Number 1.2TemporaryAnnual
The correspondence management system is the single entry and exit point for official correspondence containing documents generated by ASPR and/or received by its component offices that require action from the HHS Secretary and other government agencies. This includes official records (including electronic email), associated background materials (copies of incoming and outgoing memorandums, comments, drafts, data calls, clearance, and similar documents) that are: 1. Originated and maintained only by ASPR offices, signed by the ASPR and/or the Principal Deputy ASPR (and any ASPR Official acting on behalf of those positions), and filed in the Immediate Office of the ASPR. 2. Originated responses to data calls and requests for data by and from ASPR offices with the private sector, internal Departmental Offices, and other government agencies, including the White House and Congress, filed in the Immediate Office of the ASPR. 3. Originated responses and requests by and from the ASPR and submitted to the HHS Secretary and/or the Immediate Office of the Secretary. The correspondence management system hosts incoming and outgoing correspondence, official tracking records, reports, studies, memoranda, and other documents in the Immediate Office of the Assistant Secretary for Preparedness and Response that: 1. issue policy, prescribed procedures, or affect organizational structures; 2. provide executive direction or document major functions; 3. pertain to relations with the White House, National Security Council, Executive Office for the President, Congress, or the public; 4. any request for information from a representative of GAO or under the FOIA; 5. any documents to be published in the Federal Register; 6. any document requiring official clearance by the Health and Human Service’s operating divisions and staff divisions or other executive branch department or agencies; 7. Congressional letters written directly to ASPR offices for signature by the Office director or designated staff; 8. prescribe policy; 9. pertain to litigation and formal legal opinions; and, 10. document the policies, programs, plans, and organizational structures established to fulfill the mission of ASPR and the Immediate Office Components.
Cutoff at the end of each calendar year in which
correspondence was created or received.
Destroy 8 years after cutoff but longer retention is
authorized if required for business use.
Final drafts with attachments and enclosures, drafts, notes, comments, electronic mail messages, internal ASPR communication, status inquiries, and related working papers created during the drafting of correspondence described in the background. These records include substantive material with analysis and research specific to HHS/ASPR public health and medical services equities and missions from subject matter experts in specific fields such as, but not limited to: bio surveillance, veterinary medicine, behavioral health, medical countermeasures, logistics and response, and emerging infectious diseases. These areas of expertise inform final records such as Emergency Use Authorizations, Public Health Declarations, Congressional responses, interagency policy, and public communications.
NARA Approved
Correspondence Management System for the Office of the Assistant Secretary for Preparedness and ResponseOfficial Correspondence Files of the Assistant Secretary for Preparedness and Response (ASPR) and Principal Deputy Assistant Secretary for Preparedness and Response (PDASPR)Program RecordDAA-0468-2019-0004-0003Sequence Number 1.3PermanentAnnual
The correspondence management system is the single entry and exit point for official correspondence containing documents generated by ASPR and/or received by its component offices that require action from the HHS Secretary and other government agencies. This includes official records (including electronic email), associated background materials (copies of incoming and outgoing memorandums, comments, drafts, data calls, clearance, and similar documents) that are: 1. Originated and maintained only by ASPR offices, signed by the ASPR and/or the Principal Deputy ASPR (and any ASPR Official acting on behalf of those positions), and filed in the Immediate Office of the ASPR. 2. Originated responses to data calls and requests for data by and from ASPR offices with the private sector, internal Departmental Offices, and other government agencies, including the White House and Congress, filed in the Immediate Office of the ASPR. 3. Originated responses and requests by and from the ASPR and submitted to the HHS Secretary and/or the Immediate Office of the Secretary. The correspondence management system hosts incoming and outgoing correspondence, official tracking records, reports, studies, memoranda, and other documents in the Immediate Office of the Assistant Secretary for Preparedness and Response that: 1. issue policy, prescribed procedures, or affect organizational structures; 2. provide executive direction or document major functions; 3. pertain to relations with the White House, National Security Council, Executive Office for the President, Congress, or the public; 4. any request for information from a representative of GAO or under the FOIA; 5. any documents to be published in the Federal Register; 6. any document requiring official clearance by the Health and Human Service’s operating divisions and staff divisions or other executive branch department or agencies; 7. Congressional letters written directly to ASPR offices for signature by the Office director or designated staff; 8. prescribe policy; 9. pertain to litigation and formal legal opinions; and, 10. document the policies, programs, plans, and organizational structures established to fulfill the mission of ASPR and the Immediate Office Components.
Cutoff at the end of each calendar year in which correspondence was created or received.
Final approved correspondence signed by the Assistant Secretary for Preparedness and Response (ASPR) or Principal Deputy Assistant Secretary for Preparedness and Response (PDASPR) that include final memoranda, attachments, tracking records, and enclosures. These records document ASPR policies, programs, procedures, decisions, and other program-related or policy-related management correspondence.
Transfer to the National Archives 15 year(s) after cutoff.
NARA Approved
Correspondence Management System for the Office of the Assistant Secretary for Preparedness and ResponseInteragency Tasks and Information Files originated by HHS Secretary’s Official Correspondence SystemProgram RecordDAA-0468-2019-0004-0004Sequence Number 1.4Temporary
The correspondence management system is the single entry and exit point for official correspondence containing documents generated by ASPR and/or received by its component offices that require action from the HHS Secretary and other government agencies. This includes official records (including electronic email), associated background materials (copies of incoming and outgoing memorandums, comments, drafts, data calls, clearance, and similar documents) that are: 1. Originated and maintained only by ASPR offices, signed by the ASPR and/or the Principal Deputy ASPR (and any ASPR Official acting on behalf of those positions), and filed in the Immediate Office of the ASPR. 2. Originated responses to data calls and requests for data by and from ASPR offices with the private sector, internal Departmental Offices, and other government agencies, including the White House and Congress, filed in the Immediate Office of the ASPR. 3. Originated responses and requests by and from the ASPR and submitted to the HHS Secretary and/or the Immediate Office of the Secretary. The correspondence management system hosts incoming and outgoing correspondence, official tracking records, reports, studies, memoranda, and other documents in the Immediate Office of the Assistant Secretary for Preparedness and Response that: 1. issue policy, prescribed procedures, or affect organizational structures; 2. provide executive direction or document major functions; 3. pertain to relations with the White House, National Security Council, Executive Office for the President, Congress, or the public; 4. any request for information from a representative of GAO or under the FOIA; 5. any documents to be published in the Federal Register; 6. any document requiring official clearance by the Health and Human Service’s operating divisions and staff divisions or other executive branch department or agencies; 7. Congressional letters written directly to ASPR offices for signature by the Office director or designated staff; 8. prescribe policy; 9. pertain to litigation and formal legal opinions; and, 10. document the policies, programs, plans, and organizational structures established to fulfill the mission of ASPR and the Immediate Office Components.
Cutoff at the end of each calendar year in which
correspondence was created or received.

Destroy 15 year(s) after cutoff but longer retention is
authorized if required for business use.
These records are not created or maintained in Item 0003 and are duplicate of records in the Office of the Secretary (OS) Correspondence System. Copies of tasks and documents sent from other Departments or Agencies (D/A), Operating and Staffing Divisions (OpDIV/StaffDiv), or from the Secretary that require a response or distribution to ASPR offices. These records include, but are not limited to, requests for direct replies from the Secretary, request to distribute formal memos and policies from D/As or OpDiv/StaffDiv, data calls from D/As or OpDiv/ StaffDiv, Congressional Inquiries, GAO requests, FOIA requests, and interagency clearance of final draft documents that requires formal concurrence. The OS maintains the official record copy, and therefore these are temporary.
NARA Approved
Disaster Medical Information Suite (DMIS)Health Information Repository Records (HIR)Program RecordDAA-0468-2013-0014-0001Sequence Number 1Temporary
The Health Information Repository (HIR) is the repository for NDMS's Emergency Medical Records and Joint Patient Assessment and Tracking System data. The HIR captures medical and demographic information from patients receiving treatment by the NDMS. Information collected includes, but is not limited to, patient Treatment records, vitals, orders, diagnosis, treatment notes, labs, surveys, and any attachments, which may include medical treatment history records provided by the patient. The patient treatment records also include the treatment location, patient registration information, triage, treatment, and discharge information. JPATS data included in the HIR includes patient tracking and identification information used to track patients throughout the continuum of NDMS care.
The Disaster Medical Information Suite (DMIS) is a group of systems operated by the National Disaster Medical System (NDMS). NDMS is an interagency cooperative effort among HHS, DOD, VA, and OHS responsible for the management and coordination of medical responses to major emergencies and Federally declared disasters. NDMS is managed by the Office of the Secretary, Assistant Secretary for Preparedness and Response (ASPR), Office of Emergency Management (OEM). The Disaster Medical Information Suite consists of three components including: • Electronic Medical Records (EMR) - Electronically stored medical records for patients treated by NDMS. The EMR data is stored in the Health Information Repository. • Joint Patient Assessment and Tracking System (JPATS) - A national patient tracking system dedicated to tracking patient evacuations and en-route care. JPATS also provides patient tracking and in transit visibility for patients treated by NDMS. The JPATS data is stored in the Health Information Repository. • Health Information Repository (HIR) - The HIR stores the electronic medical records (EMR data) and Joint Patient Assessment and Tracking data for patients treated by NDMS. Patient medical records and patient tracking data are created by NDMS during a response to a major emergency or Federally declared disaster and pushed into the HIR. HIR data is available 'to the ASPR Fusion Cell group, operated by the Office of Emergency Management. The ASPR Fusion Cell group creates reports for senior-level officials and these reports are scheduled separately. The HIR became operation October 1, 2007. This schedule only pertains to data found in the HIR. Emergency medical records that predate the HIR shall remain scheduled under N1-0468-07-001.
Cut off at the end of the fiscal year in which the incident response is closed.

Destroy 75 year(s) after cutoff
Transfer paper records to a Federal Records Center two years after cutoff.
Disaster Medical Information Suite (DMIS)NDMS Emergency Medical Records predating the implementation of HIRProgram RecordN1-0468-07-001Temporary
Patient Care Forms or other Medical Records regulated under the Health Information Portability and Accountability Act (HIPPA), created by Federal Medical Station(s) set up by HHS during response to an event while caring for victims of that event.
The Disaster Medical Information Suite (DMIS) is a group of systems operated by the National Disaster Medical System (NDMS). NDMS is an interagency cooperative effort among HHS, DOD, VA, and OHS responsible for the management and coordination of medical responses to major emergencies and Federally declared disasters. NDMS is managed by the Office of the Secretary, Assistant Secretary for Preparedness and Response (ASPR), Office of Emergency Management (OEM). The Disaster Medical Information Suite consists of three components including: • Electronic Medical Records (EMR) - Electronically stored medical records for patients treated by NDMS. The EMR data is stored in the Health Information Repository. • Joint Patient Assessment and Tracking System (JPATS) - A national patient tracking system dedicated to tracking patient evacuations and en-route care. JPATS also provides patient tracking and in transit visibility for patients treated by NDMS. The JPATS data is stored in the Health Information Repository. • Health Information Repository (HIR) - The HIR stores the electronic medical records (EMR data) and Joint Patient Assessment and Tracking data for patients treated by NDMS. Patient medical records and patient tracking data are created by NDMS during a response to a major emergency or Federally declared disaster and pushed into the HIR. HIR data is available 'to the ASPR Fusion Cell group, operated by the Office of Emergency Management. The ASPR Fusion Cell group creates reports for senior-level officials and these reports are scheduled separately. The HIR became operation October 1, 2007. This schedule only pertains to data found in the HIR. Emergency medical records that predate the HIR shall remain scheduled under N1-0468-07-001. Background: Amend the Office of the Secretary Records Disposition Schedule Record Group 468 to include the Office of Public Health Emergency Preparedness, Office of Preparedness and Emergency Operations effective (1 June 2006).
Cut off at the end of the response activity for a particular event.

Destroy 75 year(s) after cutoff
Transfer paper records to a Federal Records Center two years after cutoff.
Disaster Mortuary Operational Response Teams (DMORTs) RecordsDMORTs Reinternment Working FilesProgram RecordDAA-0468-2014-0002-0001Sequence Number 1.2Temporary
Records relating to the oversight for recovery, documentation, and identification of human remains disinterred as the result of a disaster or major event. Local authorities are responsible for the final record copy.
The National Response Framework (NRF) utilizes the Disaster Mortuary Operational Response Teams (SMORTs) as part of the Department of Health & Human Services, Assistant Secretary for Preparedness and Response (ASPR), Office of Emergency Management (OEM), under Emergency Support Function #8 (ESF #8), Health and Medical Care, to provide victim identification and mortuary services. These responsibilities include: • temporary morgue facilities • victim identification • forensic dental pathology • forensic anthropology methods • processing • preparation • disposition of remains 1 Disaster Mortuary Operational Response Teams (DMORTs) Records In the event of a disaster or other public health emergency where DMORTs are activated, they are responsible for providing temporary morgue facilities, identifying victims, utilizing forensic dental pathology and anthropology methods and disposing of remains. These responsibilities are derived from the National Response Framework (NRF) under Emergency Support Function #8 (ESF #8), Health and Medical Care, to provide victim identification and mortuary services. Records generated by DMORTs include records supporting the Victim Identification Program and reinternment records.
Cut off at the end of the operational support process.

Destroy 3 year(s) after cutoff.
Disaster Mortuary Operational Response Teams (DMORTs) RecordsDMORTs Reinternment Working FilesDAA-0468-2014-0002-0001Sequence Number 1.2Temporary
Emergency Preparedness Activities RecordsEmergency Preparedness Activities RecordsProgram RecordDAA-0468-2012-0004-0001Temporary
Documents relating to the "preparation" cycle for a public health and/or medical response. The preparation cycle includes planning for, training for, conducting exercises and evaluating the planning and training preparations for responding to a public health and/or medical response. Emergency preparedness activities records include, but are not limited to playbooks, plans, agendas, training documents, planning documentation, situational manuals, after action reports, and lessons learned. These records are inclusive of interactions and coordination with partners at the Federal, state, tribal, and territorial-level and also the private sector.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and man-made threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS is the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function in a health emergency or public health event. ASPR component offices are organized by three core capabilities • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "emergency preparedness activities" of "emergency preparedness and response"
Cut off at the end of the fiscal year in which the training or exercise was completed.

Destroy 7 year(s) after cutoff
Transfer paper records to a Federal Records Center three years after cutoff.
Emergency Response Activities RecordsPublic Health Responses that Engender Historical InterestProgram RecordDAA-0468-2012-0005-0001Sequence Number 1.1Permanent
Records that document natural and man-made disasters or other events that engender long-term, post-event review, lessons learned, and historical interest. These events are designated by such factors as 1) a Presidential declared disaster, 2) a catastrophic incident. that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment, economy, national morale, and/or government functions, 3) the declaration of an Incident of National Significance as defined by the National Response Plan, and 4) executive, congressional or Judicial orders issued to retain/ freeze all records associated with the incident. This category covers, for example, records related to such disasters as September 11, 2001 and Hurricane Katrina.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and man-made threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS is the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function in a health emergency or public health event ASPR component offices are organized by three core capabilities • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "emergency response activities" of "emergency preparedness and response". 1 Responses to Public Health Incidents Records Records that document the emergency response to incidents adversely affecting public health , including but not limited to disaster-specific daily logs, situational reports, Emergency Support Function executions and alerts, activation and deactivation orders, incident action plans, advisories, medical response records (excluding records contained in the Disaster Medical Information Suite), Patient Movement Records (PMR), transportation manifests, patient transportation authorizations, and after-action analyses and reports.
Cut off at the end of the fiscal year in which the incident response is closed.
Transfer paper records to the Federal Records Center three years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks when the earliest records in the block are 5 years old.
Emergency Response Activities RecordsResponses to all other Public Health IncidentsProgram RecordDAA-0468-2012-0005-0002Sequence Number 1.2Temporary
Records that document other disasters or events not described in item (0001 ) Also includes drafts and background materials used to create the final reports as described in item (0001)
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and man-made threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS is the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function in a health emergency or public health event ASPR component offices are organized by three core capabilities • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "emergency response activities" of "emergency preparedness and response". 1 Responses to Public Health Incidents Records Records that document the emergency response to incidents adversely affecting public health , including but not limited to disaster-specific daily logs, situational reports, Emergency Support Function executions and alerts, activation and deactivation orders, incident action plans, advisories, medical response records (excluding records contained in the Disaster Medical Information Suite), Patient Movement Records (PMR), transportation manifests, patient transportation authorizations, and after-action analyses and reports.
Cut off at the end of the fiscal year in which the incident response is closed.

Destroy 6 year(s) after cutoff.
Transfer paper records to the Federal Records Center three years after cutoff.
Emergency Response Activities RecordsNational Infrastructure Protection Plan (NIPPs) RecordsProgram RecordDAA-0468-2012-0005-0004Sequence Number 3.1Temporary
Documents related to the protection of critical national public health infrastructure, including but not limited to records documenting opinions, analysis, comments, Justifications, and background materials. These records contribute to the annual Critical Infrastructure and Key Resources (CIKR) Protection Report for the Healthcare and Public Health Sector and the NIPP Public Health and Health Sector Report. The NIPP and Sector Specific Plans (SSPs) are published by the Department of Homeland Security.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and man-made threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS is the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function in a health emergency or public health event ASPR component offices are organized by three core capabilities • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "emergency response activities" of "emergency preparedness and response". 3 National Infrastructure Protection Plan (NIPP) Records Documents related to the protection of critical national public health infrastructure, including but not limited to records documenting opinions, analysis, comments, Justifications, and background materials.
Cut off at the end of the fiscal year in which the report or plan is closed.

Destroy 3 year(s) after cutoff.
Emergency Response Activities RecordsNational Special Security Events (NSSEs) RecordsProgram RecordDAA-0468-2012-0005-0003Sequence number 2.1Temporary
Records that document ASPR’s participation in NSSEs such as President’s State of the Union Address, Democratic or Republican National Convention, etc.) including but not limited to execution orders, operations orders, and after-action reports.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and man-made threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS is the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function in a health emergency or public health event ASPR component offices are organized by three core capabilities • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "emergency response activities" of "emergency preparedness and response". 2 National Special Security Events (NSSEs) Records Records that document ASPR’s participation in NSSEs such as President’s State of the Union Address, Democratic or Republican National Convention, etc.) including but not limited to execution orders, operations orders, and after-action reports.
Cut off at the end of the fiscal year in which the incident response is closed.

Destroy 15 year(s) after cutoff.
Transfer paper records to the Federal Records Center three years after cutoff.
emPOWER RecordsemPOWER RecordsProgram Record
GRS 3.2 Information Systems Security RecordsSystem backups and tape library records. Incremental backup files.General Record ScheduleDAA-GRS-2013-0006-0005Item 040Temporary
This schedule covers records created and maintained by Federal agencies related to protecting the security of information technology systems and data, and responding to computer security incidents. This schedule does not apply to system data or content.
Destroy when superseded by a full backup, or when no longer needed for system restoration, whichever is later.
Backup files maintained for potential system restoration in the event of a system failure or other unintentional loss of data.
NARA Approved
Medical Countermeasures RecordsMedical Countermeasure Regulatory RecordsProgram RecordDAA-0468-2013-0003-0003Sequence Number 2TemporaryShared drives,ASPR portal,eRooms,FRC,ASPR RM Room
These records relate to the Assistant Secretary for Preparedness and Response's role in the Department of Health and Human Services' preparedness towards medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats, pandemic influenza, and emerging infectious diseases. Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Biological Advanced Research and Development Authority (BARDA), the Office of Policy and Planning (OPP) and the Office of Acquisitions,' Management, Contracts, and Grants (AMCG) perform active and supporting roles in developing and acquiring medical countermeasures against CBRN threats, pandemic influenza, and emerging infectious' diseases. ASPR's Medical countermeasure development and acquisition activities are defined by the Pandemic and All Hazards Preparedness Act (PAHPA) of 2006 and Project BioShield Act of 2003; both pieces of legislation were renewed in 2013 under Pandemic and All Hazards Preparedness Reauthorization Act (PAHPRA) and provide a comprehensive listing of mission responsibilities.
Cut off at the end of the calendar year in which the records are submitted or finalized.

Destroy 75 year(s) after cutoff
Medical countermeasure regulatory activities ensure the availability and delivery of safe, effective, and quality medical countermeasures needed in a time of public health emergency and minimize the risks inherent in the regulatory process for Federal investments of BARDA-sponsored medical countermeasures. Regulatory records pertaining t6 the regulatory review and approval process of medical countermeasures include, but are not limited to, Investigational New Drug (IND) applications, Emergency Use Authorizations (EAUs), Reports of Site Audits, Records of Review (ROR), and quality performance measures. Records are stored both in an electronic repository and in secure paper copy, maintained by BARDA.
Transfer paper records to the Federal Records Center five years after cutoff.
Medical Countermeasures RecordsManufacturing, Facilities and Engineering RecordsDAA-0468-2013-0003-0004Sequence Number 3PermanentShared drives,ASPR portal,eRooms,FRC,ASPR RM Room
These records relate to the Assistant Secretary for Preparedness and Response's role in the Department of Health and Human Services' preparedness towards medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats, pandemic influenza, and emerging infectious diseases. Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Biological Advanced Research and Development Authority (BARDA), the Office of Policy and Planning (OPP) and the Office of Acquisitions,' Management, Contracts, and Grants (AMCG) perform active and supporting roles in developing and acquiring medical countermeasures against CBRN threats, pandemic influenza, and emerging infectious' diseases. ASPR's Medical countermeasure development and acquisition activities are defined by the Pandemic and All Hazards Preparedness Act (PAHPA) of 2006 and Project BioShield Act of 2003; both pieces of legislation were renewed in 2013 under Pandemic and All Hazards Preparedness Reauthorization Act (PAHPRA) and provide a comprehensive listing of mission responsibilities.
Cut off at the end of the calendar year in which the records are submitted or finalized.
Records supporting the building or retrofitting of the U.S. manufacturing infrastructure to enable the rapid production of vaccines and other biologics against pandemic influenza and other emerging threats. Records for public­ private partnership programs, such as the Centers for Innovation and Advanced Development and Manufacturing (CIADM), are also included. These records include, but are not limited to contractor produced records such as milestone and deliverable reports and technical review reports that are specified in the contract as the property of the U.S. Government. These records are stored in an electronic repository and managed by the Biological Advanced Research and Development Authority (BARDA).
Transfer paper records to the Federal Records Center five years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks when the earliest records in the block are 5 years old.
Medical Countermeasures RecordsMedical Countermeasure Advanced Development Activity RecordsProgram RecordDAA-0468-2013-0003-0001Sequence Number 1.1PermanentShared drives,ASPR portal,eRooms,FRC,ASPR RM Room
1 Medical Countermeasure Project Records Project records relating to the research into the advanced development or procurement of medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats to public health.
These records relate to the Assistant Secretary for Preparedness and Response's role in the Department of Health and Human Services' preparedness towards medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats, pandemic influenza, and emerging infectious diseases. Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Biological Advanced Research and Development Authority (BARDA), the Office of Policy and Planning (OPP) and the Office of Acquisitions,' Management, Contracts, and Grants (AMCG) perform active and supporting roles in developing and acquiring medical countermeasures against CBRN threats, pandemic influenza, and emerging infectious' diseases. ASPR's Medical countermeasure development and acquisition activities are defined by the Pandemic and All Hazards Preparedness Act (PAHPA) of 2006 and Project BioShield Act of 2003; both pieces of legislation were renewed in 2013 under Pandemic and All Hazards Preparedness Reauthorization Act (PAHPRA) and provide a comprehensive listing of mission responsibilities.
Cut off at the end of the calendar year in which the related contract file is closed.
Records relating to research into the advanced development of promising medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats to public health and pandemic influenza, including, but not limited to project files and support documentation. Project records are stored both in an electronic repository and in paper copy, maintained by the Biological Advanced Research and Development Authority (BARDA).
Transfer paper records to the Federal Records Center five years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks when the earliest records in the block are 5 years old.
Medical Countermeasures RecordsMedical Countermeasure Project Acquisition RecordsDAA-0468-2013-0003-0002Sequence Number 1.2PermanentShared drives,ASPR portal,eRooms,FRC,ASPR RM Room
1 Medical Countermeasure Project Records Project records relating to the research into the advanced development or procurement of medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats to public health.
These records relate to the Assistant Secretary for Preparedness and Response's role in the Department of Health and Human Services' preparedness towards medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats, pandemic influenza, and emerging infectious diseases. Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Biological Advanced Research and Development Authority (BARDA), the Office of Policy and Planning (OPP) and the Office of Acquisitions,' Management, Contracts, and Grants (AMCG) perform active and supporting roles in developing and acquiring medical countermeasures against CBRN threats, pandemic influenza, and emerging infectious' diseases. ASPR's Medical countermeasure development and acquisition activities are defined by the Pandemic and All Hazards Preparedness Act (PAHPA) of 2006 and Project BioShield Act of 2003; both pieces of legislation were renewed in 2013 under Pandemic and All Hazards Preparedness Reauthorization Act (PAHPRA) and provide a comprehensive listing of mission responsibilities.
Cut off at the end of the calendar year in which the related contract file is closed.
Records relating to the procurement of safe and effective medical countermeasures to protect and treat the population in the event of public health emergencies caused by bioterrorism, pandemic influenza, or emerging infectious diseases, including, but not limited to, project files and support documentation. Medical countermeasure project acquisition records do not include any confidential or proprietary information from the contract file. Project records are stored both in an electronic repository and in paper copy, maintained by the Biological Advanced Research and Development Authority (BARDA).
Transfer paper records to the Federal Records Canter five years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four hear blocks when the earliest records in the block are 5 years old.
Medical Countermeasures RecordsAnalytical Decision Support Activity RecordsDAA-0468-2013-0003-0005Sequence Number 4PermanentShared drives,ASPR portal,eRooms,FRC,ASPR RM Room
These records relate to the Assistant Secretary for Preparedness and Response's role in the Department of Health and Human Services' preparedness towards medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats, pandemic influenza, and emerging infectious diseases. Within the Office of the Assistant Secretary for Preparedness and Response (ASPR), the Biological Advanced Research and Development Authority (BARDA), the Office of Policy and Planning (OPP) and the Office of Acquisitions,' Management, Contracts, and Grants (AMCG) perform active and supporting roles in developing and acquiring medical countermeasures against CBRN threats, pandemic influenza, and emerging infectious' diseases. ASPR's Medical countermeasure development and acquisition activities are defined by the Pandemic and All Hazards Preparedness Act (PAHPA) of 2006 and Project BioShield Act of 2003; both pieces of legislation were renewed in 2013 under Pandemic and All Hazards Preparedness Reauthorization Act (PAHPRA) and provide a comprehensive listing of mission responsibilities. 1 Medical Countermeasure Project Records Project records relating to the research into the advanced development or procurement of medical countermeasures against chemical, biological, radiological and nuclear (CBRN) threats to public health.
Cutoff at the end of the fiscal year in which the report is published or when the document is finalized and distributed
The Analytic Decision Support Activity Records document the development of analyses, processes and decision support systems for medical and public health consequence assessments and public health response capabilities across the chemical, biological, radiological, nuclear, pandemic influenza, and emerging infectious diseases risk-spectrum. These activities support decisions leading to measurable improvements in public health preparedness. The source data for developing these analyses includes, but is not limited to, subject matter expert elicitations, open source records and Department of Homeland Security Material Threat Assessment exposure files. Analytical Decision Support Activity records include the finalized products that inform the decision-making process for BARDA, PHEMCE, ASPR and HHS. These records include, but are not limited to, medical and public health consequence modeling reports, medical public health consequence modeling presentations and the associated dossier for medical and public health consequence modeling studies. These records are maintained by the Biological Advanced Research and Development Authority (BARDA).
Transfer paper records to the Federal Records Center five years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks when the earliest records in the block are 5 years old.
Medical Reserve Corps Unit Information SystemsMedical Reserve Corps Unit Information SystemProgram RecordDAA-0468-2017-0001-0001Sequence Number 1PermanentMRC Unit Information System
The Medical Reserve Corps (MRC) Program Unit Profile information contains records related to the MRC Program from its creation in 2002 to the present. Data contained in the Master file included records that document public health emergencies, natural and man-made disasters or other events that engender long-term, post-event review, lessons learned and historical interest. These events are designed by multiple factors such as the activation of the Health and Medical Emergency support Function; and any of the following: a) a catastrophic incident that results in extraordinary levels of mass casualties, damage or disruption severely affecting the population, infrastructure, environment, economy, national morale, and/or government functions; b) the declaration of an Incident of National Significance as defined by the National Response Plan. This category covers, for example, records matching the scale of disasters such as September 11, 2001 and Hurricane Katrina. The specific data elements embedded in the Master file consist of the following collection tools: MRC Unit Profile Information, MRC Technical of the following collection tools: MRC Unit Profile Information, MRC Technical Assistance Assessment, Factors for Success, and Unit Activity Reporting. • MRC Unit Profile Information: Includes basic demographic information about the unit, their geographic are of responsibility, contact information for their unit leader, coordinator and designee as well as programmatic details about their unit. • MRC Technical Assistance Assessment: this is a series of questions asked of the MRC unit to allow MRC Regional Liaisons to provide targeted and specific technical assistance to an MRC unit. • Factors for Success: Is a self-assessment tool for MRC units that provide the unit leader with the ability to identify strengths and weakness for their MRC unit and work to improve their program with the ultimate goal of resilient prepared communities. • Unit Activity Reporting: This component of the MRC unit profile information is where MRC units report the types of activities that they are engaged in within their community. This is utilized for recruitment of new volunteers into the MRC as well as reporting on volunteering engagement during disasters or other emergencies.
During President Bush’s delivery of the 2002 State of the Union Address, he asked all Americans to volunteer in support of their country. Shortly after this speech, the Medical Reserve Corps was formed as a partnership with Citizen Corps. The Medical Reserve Corps was housed under the Office of the Surgeon General within the Office of the Assistant Secretary for Health from 2002 to 2013. In 2013, with the reauthorization of the Pandemic and All-Hazards Preparedness Act the responsibility for the MRC was transferred from the Office of the Assistant Secretary for Health to the Office of the Assistant Secretary for Preparedness and Response. The Medical Reserve Corps has been authorized by Congress in the Public Health Service Act, Section 2813, as modified by the Pandemic and All-Hazards Preparedness Reauthorization Act of 2013 (Pub. L. 113-5). The Medical Reserve Corps program is responsible for quantifying volunteers that maybe called upon in the event of an emergency. (see attachment) The MRC Unit Profile Information was created as a way to quantify trained and competent volunteers. Medical Reserve Corps units are currently located in almost 1,000 communities across the United States, and represent a resource of more than 200,000 volunteers. In order to continue supporting the MRC units in communities across the United States, and to continue planning for future emergencies that are national in scope, detailed information about the MRC units, including unit demographics, contact information about the MRC units, including unit demographics, contact information (regular and emergency), volunteer numbers, unit characteristics and information about activities is needed by the MRC Program. MRC Unit Leaders are asked to update this information on the MRC website at least quarterly, and to participate in a Technical Assistance Assessment at least annually. The MRC Program uses MRC unit data in reports and presentations, and analyzes the data to assess the maturation of the program, confirm that MRC units are carrying out activities that increase the resilience of their local community, and tailor the technical assistance provided to MRC units. In addition, the data serves as an important recruitment tool for the individual MRC units, Often, before committing to volunteer with an MRC unit, potential volunteers go to the MRC website (https://mrc.hhs.gov) to review the local MRC profile, which includes its name and point of contact, the most recent MRC unit activities, the community served, the date established, a narrative profile, and an up-to-date count of its volunteers. The MRC Factors for Success has resources and a self-assessment tool that allows the MRC unit leader to identify strengths and weaknesses within their own MRC unit and facilitate technical assistance from Regional MRC Liaisons to address their weaknesses while sharing their strengths with the MRC network. Specific Restrictions: All MRC unit data is electronically entered by MRC Unit Leaders via the MRC website. Each MRC Unit Leader chooses a unique user name and password and they can access the website from any computer with an internet connection. There is no paper reporting.
Cut off the records when the system is retired.

Transfer to the National Archives 15 year(s) after cutoff
National Disaster Medical System (NDMS) RecordDefinitive Medical Care RecordsProgram RecordDAA-0468-2012-0006-0001Sequence Number 1.1Temporary
Records that document NDMS providing definitive medical care during a medical response to an incident including but not limited to definitive care authorizations, incident actions plans, correspondence, provider claims, transaction records and task orders. These records may be used by ASPR’s Office of Preparedness and Emergency Operations to conduct studies or evaluations on whether or not medical transfer objectives were met.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and manmade threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS 1s the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function 1n a health emergency or public health event. ASPR component offices are organized by three core capab1lit1es • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "National Disaster Medical System activities" of "emergency preparedness and response." The records in this schedule pertain to both preparation for an incident i.e. training, and the response to an incident. Federal Emergency Preparedness Agency (FEMA) Records Group 0311 may document NDMS activities when it was part of FEMA, prior to the transfer of NDMS to ASPR in January 2007 The three major activities or functions of NDMS are 1 medical response 2 transportation of patients 3 definitive medical care i.e. completion of recommended treatment, often requiring hospitalization or surgery 1 Definitive Medical Care Records Records that document NDMS providing definitive medical care during a medical response to an incident. HHS will activate NDMS during certain public health emergencies. Past activations include the response include the response to hurricanes Katrina, Rita, Ike and Gustav, as well as for the Haitian Earthquake response. In public health emergencies that require relocation of patients to hospitals and other facilities for Definitive Medical Care, the NDMS may authorize its Definitive Medical Care component as appropriate for the specific public health emergency. The patient transportation records relating to definitive medical care are scheduled under DAA-0468-2012-0005.
Cut off at the end of the fiscal year in which the patient was provided definitive care.

Destroy 6 year(s) and 3 month (s)after cutoff.
National Disaster Medical System (NDMS) RecordsRecords of the NDMS Definitive Medical Care Claims Review BoardProgram RecordDAA-0468-2012-0006-0002Sequence Number 2.1Temporary
The NDMS Definitive Medical Care Claims Review Board is an internal review board comprised of NDMS and ASPR staff. The records include, but are not limited to, inquiries, information on the claims that require further review and meeting minutes.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and manmade threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS 1s the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function 1n a health emergency or public health event. ASPR component offices are organized by three core capab1lit1es • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "National Disaster Medical System activities" of "emergency preparedness and response." The records in this schedule pertain to both preparation for an incident i.e. training, and the response to an incident. Federal Emergency Preparedness Agency (FEMA) Records Group 0311 may document NDMS activities when it was part of FEMA, prior to the transfer of NDMS to ASPR in January 2007 The three major activities or functions of NDMS are 1 medical response 2 transportation of patients 3 definitive medical care i.e. completion of recommended treatment, often requiring hospitalization or surgery 2 Records of the NDMS Definitive Medical Care Claims Review Board The NDMS Definitive Medical Care Claims Review Board meets ad hoc to resolve claims disputes resulting from the activation of definitive medical care. The NDMS Definitive Medical Care Clams Review Board is an internal review board comprised of NDMS and ASPR staff. This board consists of ASPR emergency physicians, the NDS Deputy Director of Medical Surge, the Director of NDMS, the Chief Medical Officer of NDMS, the Definitive are Care Coordinator, and compliance, payment and disability representatives. The decisions reached by the review board are published in minutes with instructions for the definitive medical care contractor on how to proceed with the appealed or disputed claims.
Cut off at the end of the fiscal year in which the decision was made.

Destroy 6 year(s) and 3 month (s)after cutoff.
Transfer to a Federal Records Center three years after cutoff.
National Disaster Medical System (NDMS) RecordsDefinitive Care Disaster-Specific Reports that Engender Historical InterestProgram RecordDAA-0468-2012-0006-0003Sequence Number 3.1Permanent
Records that document natural and man-made disasters or other events that engender long-term, post-event review, lessons learned, and historical interest. These events are designated by such factors as 1) a Presidential declared disaster, 2) a catastrophic incident that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment, economy, national morale, and/or government functions, 3) the declaration of an Incident of National Significance as defined by the National Response Plan, and 4) executive, congressional or judicial orders issued to retain/freeze all records associated with the incident. This category covers, for example, records related to such disasters as September 11, 2001 and Hurricane Katrina.
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and manmade threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS 1s the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function 1n a health emergency or public health event. ASPR component offices are organized by three core capab1lit1es • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "National Disaster Medical System activities" of "emergency preparedness and response." The records in this schedule pertain to both preparation for an incident i.e. training, and the response to an incident. Federal Emergency Preparedness Agency (FEMA) Records Group 0311 may document NDMS activities when it was part of FEMA, prior to the transfer of NDMS to ASPR in January 2007 The three major activities or functions of NDMS are 1 medical response 2 transportation of patients 3 definitive medical care i.e. completion of recommended treatment, often requiring hospitalization or surgery 3 Definitive Care Disaster-Specific Reports Definitive care disaster-specific reports include information on the frequency of ICD-10 codes, numbers of claims received, billed charged, claims in process, and dollar amounts approved for payments and dollar amounts of denied claims, among other information. The statistics provided in this report, particularly on the frequency of ICD-10 codes provide insight into the frequency of diseases or other related health problems for which definitive care is being provided.
Cut off at the end of the fiscal year in which the incident response is closed.
Transfer paper records to the Federal Records Center five years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks five years after cutoff in accordance with NARA transfer guidance (36 CFR 1235 44/46/48/50).
National Disaster Medical System (NDMS) RecordsAll other Definitive Care Disaster Specific ReportsProgram RecordDAA-0468-2012-0006-0004Sequence Number 3.2Temporary
Records that document other disasters or events not described in item (0003). Also includes drafts and background materials used to create the final reports as described in item (0003).
The Office of the Assistant Secretary for Preparedness and Response (ASPR) supports our nation's ability to prepare for, respond to, and recover from the public health consequences of naturally occurring and manmade threats. ASPR was created by the "Pandemic and All Hazards Preparedness Act of 2006" HHS 1s the lead agency for the National Response Framework for Emergency Support Function (ESF) 8 The Secretary of HHS delegates to ASPR the leadership role for all health and medical services support function 1n a health emergency or public health event. ASPR component offices are organized by three core capab1lit1es • Planning for, developing, and acquiring medical countermeasures • Emergency preparedness and response • Support operations This schedule addresses records pertaining to the "National Disaster Medical System activities" of "emergency preparedness and response." The records in this schedule pertain to both preparation for an incident i.e. training, and the response to an incident. Federal Emergency Preparedness Agency (FEMA) Records Group 0311 may document NDMS activities when it was part of FEMA, prior to the transfer of NDMS to ASPR in January 2007 The three major activities or functions of NDMS are 1 medical response 2 transportation of patients 3 definitive medical care i.e. completion of recommended treatment, often requiring hospitalization or surgery 3 Definitive Care Disaster-Specific Reports Definitive care disaster-specific reports include information on the frequency of ICD-10 codes, numbers of claims received, billed charged, claims in process, and dollar amounts approved for payments and dollar amounts of denied claims, among other information. The statistics provided in this report, particularly on the frequency of ICD-10 codes provide insight into the frequency of diseases or other related health problems for which definitive care is being provided.
Cut off at the end of the fiscal year in which the incident response is closed.

Destroy 6 year(s) and 3 month (s)after cutoff.
Transfer to a Federal Records Center three years after cutoff.
National Veterinary Response Team RecordsNational Veterinary Response Team Situational Reports that Engender Historical InterestProgram RecordDAA-0468-2013-0006-0002Sequence Number 2.1Permanent
Records that document natural and man-made disaster or other events that engender long-term, post-event review, lessons learned, and historical interest. These events are designated by multiple factors such as 1) Presidential declared disaster, 2) a catastrophic incident that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment, economy national morale, and/or government functions, 3) the declaration of an Incident of National Significance as defined by the National Response Plan. This category covers, for example, records related to, and including, disasters to the scale as Hurricane Sandy.
The National Veterinary Response Team (NVRT), a component of the National Disaster Medical System, provides assistance in identifying the need for veterinary services following major disasters, emergencies, public health or other events requiring Federal support and in assessing the extent of disruption to animal and public health infrastructures. These records are created by the National Veterinary Response Team. They include exam forms, exam logs, controlled drug use logs, animals movement logs, vaccination logs, health certifications, other veterinary health records, veterinary facility inspections and daily treatment logs. The daily treatment logs serve as a summary to provide situational awareness during an event or disaster for decision-makers. 1 National Veterinary Response Team Situational Reports National Veterinary Response Team situational reports include information on the number of patient encounters, the number of animals requiring treatment, the health status of animals receiving treatment, and an overview of the activity and movement of NVRT personnel. The information contained in this report provides an overview of the NVRT care for which treatment is being provided.
Cut off at the end of the fiscal year in which the incident response is closed.
Transfer paper records to the Federal Records Center five years after cutoff.
Transfer paper records in four year blocks when the most recent records in the block are 15 years old. Transfer electronic records in four year blocks when the earliest records in the block are 5 years old.
National Veterinary Response Team RecordsAll other Situational ReportsProgram RecordDAA-0468-2013-0006-0003Sequence Number 2.2Temporary
Records that document other disaster or events not described in item (0002). Also includes drafts and background materials not described in item (0002).
The National Veterinary Response Team (NVRT), a component of the National Disaster Medical System, provides assistance in identifying the need for veterinary services following major disasters, emergencies, public health or other events requiring Federal support and in assessing the extent of disruption to animal and public health infrastructures. These records are created by the National Veterinary Response Team. They include exam forms, exam logs, controlled drug use logs, animals movement logs, vaccination logs, health certifications, other veterinary health records, veterinary facility inspections and daily treatment logs. The daily treatment logs serve as a summary to provide situational awareness during an event or disaster for decision-makers. 1 National Veterinary Response Team Situational Reports National Veterinary Response Team situational reports include information on the number of patient encounters, the number of animals requiring treatment, the health status of animals receiving treatment, and an overview of the activity and movement of NVRT personnel. The information contained in this report provides an overview of the NVRT care for which treatment is being provided.
Cut off at the end of the fiscal year in which the incident response is closed.

Destroy 5 year(s) after cutoff.
Transfer paper records to the Federal Records Center three years after cutoff.
National Veterinary Response Team RecordsNational Veterinary Response Team Animal Health RecordsProgram RecordDAA-0468-2013-0006-0001Sequence Number 1Temporary
These records are created by the National Veterinary Response Team. They include exam forms, exam logs, controlled drug use logs, animal movement logs, vaccination logs, health certifications, other veterinary health records, veterinary facility inspections and daily treatment logs. The daily treatment logs serve as a summary to provide situational awareness during an event or disaster for decision­ makers.
The National Veterinary Response Team (NVRT), a component of the National Disaster Medical System, provides assistance in identifying the need for veterinary services following major disasters, emergencies, public health or other events requiring Federal support and in assessing the extent of disruption to animal and public health infrastructures. These records are created by the National Veterinary Response Team. They include exam forms, exam logs, controlled drug use logs, animals movement logs, vaccination logs, health certifications, other veterinary health records, veterinary facility inspections and daily treatment logs. The daily treatment logs serve as a summary to provide situational awareness during an event or disaster for decision-makers.
Cut off at the end of the fiscal year in which the incident response is closed.

Destroy 20 year(s) after cutoff.
Transfer paper records to the Federal Records Center three years after cutoff.
NDMS Deployment Health and Medical Readiness ProgramNDMS Deployment Health and Medical Readiness ProgramProgram Record
Official Correspondence Files of the Assistant Secretary and Principal Assistant Secretary for Preparedness and ResponseOfficial Correspondence Files of the Assistant Secretary and Principal Assistant Secretary for Preparedness and ResponseAdministrative Program Record
Public Health Policy RecordsWorking Records of the Public Health Policy Group, Team, Council, and Committee RecordsProgram RecordDAA-0468-2015-0001-0005Sequence Number 5TemporaryShared drives,ASPR portal,OMB Max
Workshops, conferences, focus groups and meeting materials that specifically support the generation of policy guidance, requirements, or planning for policy development. These records include presentations, agendas, webcasts, webinars, meeting materials, participant lists, publications, and listening session summaries.
The Assistant Secretary of Preparedness and Response (ASPR), Office of Policy and Planning (OPP), situated within the U.S. Department of Health and Human Services (HHS), advises HHS and ASPR leadership through policy options and strategic planning initiatives to support domestic and international public health emergency preparedness and response activities. OPP also leads implementation of the Pandemic and All Hazards Preparedness Reauthorization Act and develops the quadrennial National Health Security Strategy.
Cutoff at the end of the fiscal year in which the tenure of the appointed Assistant Secretary of Preparedness and Response ends.

Destroy 8 year(s) after cutoff.
Transfer paper records to the Federal Records Center five years after cutoff.
Public Health Policy RecordsPublic Health Policy Group, Team, Council, and Committee RecordsProgram RecordDAA-0468-2015-0001-0004Sequence Number 4PermanentShared drives,ASPR portal,OMB Max
Inter-agency, intra-agency, and internal groups, teams, councils, and committees that are dedicated to the mission of establishing policy options, planning strategic initiatives to support domestic and international public health emergency preparedness and response activities, and inform decisions and policy solutions related to research funding and coordinating a science preparedness response. Records include meeting agendas, meeting minutes, member checklists, charters, summaries of conclusions and issues, talking points, audio transcripts, expert testimony, briefing materials, slide presentations, white papers, reports, recommendations and accomplishments, decision memos, and planning and decision analysis documents. Examples of groups included in this schedule include, but are not limited to, the Disaster Leadership Group, the H5N1 HPAI GOF (HHG) Review Group, and the Science Preparedness and Response Group.
The Assistant Secretary of Preparedness and Response (ASPR), Office of Policy and Planning (OPP), situated within the U.S. Department of Health and Human Services (HHS), advises HHS and ASPR leadership through policy options and strategic planning initiatives to support domestic and international public health emergency preparedness and response activities. OPP also leads implementation of the Pandemic and All Hazards Preparedness Reauthorization Act and develops the quadrennial National Health Security Strategy.
Cutoff at the end of the fiscal year in which the tenure of the appointed Assistant Secretary of Preparedness and Response ends.
Transfer paper records in four year blocks when the latest records in the block are 15 years old.
Transfer electronic records in four year blocks when the latest record in the block is 15 years old, in accordance with NARA transfer guidance (36 CFR 1235.44/.46/.48/.50).
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