NIH POLICY MANUAL 1183 – NIH Publications and Audiovisuals: Preparation, Review, Approval, and Distribution
PLEASE NOTE:
A. Purpose: This chapter addresses the policy and procedures to be followed in the preparation, review, approval, and distribution of documents and audiovisual materials to be issued by NIH and its components, including those prepared and issued under contract. This chapter reflects the OMB and HHS Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by Federal Agencies, the OMB Final Information Quality Bulletin for Peer Review, and the NIH Guidelines for Ensuring the Quality of Information Disseminated to the Public [hereinafter, collectively, the Information Quality Guidelines]. Under these guidelines, which will apply to some of the documents covered by this chapter, agencies must ensure and maximize information quality for some information “dissemination” and establish administrative mechanisms allowing affected persons (i.e., people who may benefit or be harmed by the disseminated information) to seek and obtain correction of official information. This chapter provides guidance to ensure and maximize quality and effectiveness in NIH publications and audiovisuals, and provides an orderly basis for their review without hampering the free flow of information. Information on the Information Quality Guidelines is available from the NIH Information Quality website. B. Applicability: This chapter applies to any document that carries the NIH identification. The document can be in the form of a book, book or textbook chapter, booklet, brochure, bibliography, collection of abstracts, fact sheet, house organ, index, leaflet, manual, monograph, newsletter, pamphlet, review, periodical, proceedings, recurring report, statistical compendium, Internet document, audiovisual, or the like prepared by any NIH component, directly or by contract, including audiovisual materials slated for YouTube, social media portals, and other new media outlets. It applies to information disseminated in print form, on the Websites of NIH and its components, or through any other medium. The following materials are excluded from the provisions of this chapter: 1. Scientific, Technical, and/or Professional Manuscripts by an NIH Employee. When an employee writes an original article, report, or other writing intended for publication in a non-NIH publication on a work-related topic with no official endorsement, see NIH Manual Chapter 1184 for applicable policies and procedures. Employees engaged in writing, speaking or otherwise disseminating information in their personal capacities must consult their IC ethics official for applicable rules and restrictions, including those regarding the need for prior approval and limiting the use of title or NIH affiliation. 2. Administrative Materials. Instructions issued by an NIH component to grantees, contractors, and collaborators, or administrative materials intended principally for use within HHS are exempt unless they:
C. Policy and Procedure: All NIH documents and audiovisuals must be prepared in accordance with professional and ethical standards, as well as generally accepted standards of good taste. They must be appropriate for dissemination by this Federal agency and must undergo appropriate review and approval prior to release. Sources should be linked whenever possible. NIH must adhere to the laws, regulations, and policies applying to publications and audiovisuals, including as applicable the Information Quality Guidelines, the HHS Printing Handbook, and relevant NIH Manual Chapters issued according to NIH Manual 1710. NIH efforts to ensure and maximize information quality begin at the preparation stage and continue through the review and approval stages. Existing NIH policies developed in concert with Federal computer security laws provide appropriate security safeguards to ensure integrity of NIH documents, i.e., that the information is protected from unauthorized access, revision, corruption, or falsification. 1. Preparation.Each publication must be accurate, both in specific details and in general impressions, and meet accepted standards of high quality. NIH documents and presentations containing text and summary data must be objective. Sources should be referenced for the convenience and further information of the reader. Where appropriate, supporting data should have full, accurate, and transparent documentation. Disclaimers should be used to distinguish the status of information (e.g., based on preliminary data or partial data set). Regarding summaries of proceedings or transcripts of meetings, no announcement outside HHS should be made concerning plans to publish the proceedings or transcript of a conference or symposium sponsored by an NIH component or contractor before completion of the conference and final determination of distribution requirements. Deviation from this provision must be approved by the NIH Institute or Center (IC) director. Before an existing publication is reprinted or a new edition and/or revision is prepared, originators should reexamine its contents, including details of format and treatment, and make appropriate additions or changes to ensure that the new edition and/or revision is accurate and conforms to current standards for a new publication. Public Access: As of April 7, 2008, NIH employees must comply with the NIH Public Access Policy. This applies to all peer-reviewed articles authored or co-authored as part of an employee’s official NIH duties, even if corresponding or other authors are not supported by NIH. Complete instructions and background information can be found on the NIH Public Access Web site . Plain Language.A Government-wide directive requires Federal agencies to use plain language in all communications with the public. Plain language is writing that is geared to the target audience (i.e., a plain-language document for a scientific audience may be different from a plain language document for the general public). Requirements and guidelines for Federal implementation of plain language are available through http://www.plainlanguage.gov . Using plain language ensures that audiences can find and understand information provided. Plain language is grammatically correct with accurate word usage. It is also clear and expresses exactly what readers need to know without unnecessary words. Hallmarks of plain language include answering the reader’s questions; providing only necessary details; and using the following:
Layout and Design. Each publication should be prepared in a pleasing, dignified, and finished format appropriate for its intended use and audience. Use of color and typography must be in accord with Government Printing and Binding Regulations (http://www.house.gov/jcp/jcpregs.pdf). Section 508. Section 508, the 1998 Amendment to Section 508 of the Rehabilitation Act, requires that all Web site content be equally accessible to people with disabilities. This applies to Web applications, Web pages, and all attached files. Section 508 applies to intranet as well as public-facing Web pages and extends to all HHS Web sites, internal or external, owned, managed or funded by Operating and Staff Divisions, whether developed by staff or acquired through contracts, cooperative agreements, grants and/or formally established partnerships with other government entities and/or the private sector. To the extent possible, documents targeted for online availability should be compliant with Section 508 standards (http://www.section508.gov) that ensure accessibility to people with disabilities. For comprehensive guidance, the Government will require Vendors to refer to http://www.hhs.gov/web. 2. Approval.Each IC publication or audiovisual product must be approved by the Director of the originating component or by the Director’s designee. When the subject matter of a presentation overlaps with the program of another NIH component, another Federal agency, or any non-Federal agency or private individual, the concurrence of such component, agency, or individual must be obtained by the originating office before submission of the proposed publication to OCPL/OD/NIH. IC publications or audiovisuals must be approved by OCPL/OD/NIH and the Office of the Assistant Secretary for Public Affairs (OASPA), HHS. Submit approval requests prior to preparing the material for printing or production unless the material will be developed under contract. In that case, submit the approval request prior to contract preparation. Approval should be obtained for reprints and new editions and/or revisions of existing publications or audiovisuals. Although approval for reprints is required under the HHS Printing Handbook, guidance on alternatives to approval, including a one-time or blanket waiver, can be found online at: http://www.hhs.gov/ocio/policy/printingmanagement/printing-handbook.doc.doc.
3. Review.The purpose of the review process is to improve the quality of NIH documents and to ensure the accuracy and validity of information intended to benefit the general public or targeted audiences, such as health care professionals. All materials distributed by NIH must be reviewed for accuracy, propriety, completeness, and quality (including objectivity, utility, and integrity). The structure of the review and the types of reviewers will depend on the nature of the information as well as the targeted audience. For scientific and technical documents, peer review provides a level of quality control that is well recognized in the scientific community. For some documents, the Information Quality Guidelines may require formal, independent, external peer to ensure acceptable objectivity. In such cases, peer reviewers should have appropriate scientific knowledge and excellence (as demonstrated, for example, by grant and publication record or academic degrees and honors), respect in the scientific community, and breadth of expertise. Reviewers should review materials for propriety, accuracy, completeness and quality (including if the Information Quality Guidelines are applicable objectivity, utility, and integrity). Additional guidance for application of the Information Quality Guidelines can be found at: http://aspe.hhs.gov/infoquality/Guidelines/NIHinfo2.shtml. Statistical compendia and documents providing “influential scientific, financial, or statistical information” as defined in, and subject to, the Information Quality Guidelines must be reviewed carefully. The Director of the originating IC should determine that the data conforms to the standards set forth in this chapter, and if the Information Quality Guidelines are applicable, that the reported information and/or statistics are “substantially reproducible” as required by the applicable Guidelines. IC Directors should both familiarize themselves with the IQA standards for influential information and review the subject matter for compliance with those standards. You are encouraged to seek advice on any additional review procedures specific to your IC from your IC Communications Director. NIH Office of the Director (OD) employees should seek advice from the NIH Office of Communications and Public Liaison (OCPL). 4. Distribution.The number of copies to be printed should be based on the amount needed for distribution to professional, scientific, or general groups; answering inquiries; and other specific purposes. Budget permitting, sufficient quantities should be ordered to achieve maximum effectiveness without frequent reprinting. Overprinting of materials with limited demand, or with the likelihood of rapidly becoming obsolete, should be avoided. Approving or authorizing officials shall avoid unnecessary and unproductive expenditures for a publication and shall avoid duplicating the content of a publication issued by another Federal or non-Federal agency. In addition to the distribution for which the publication is planned, copies of each NIH publication should be distributed as follows:
NIH Manual Chapter 6308, Acquisition of Printing Requirements at the NIH, requires that Government publications (except those determined to be required for strictly administrative purposes having no public interest or educational value, and documents classified for reasons of national security) must be made available to the Federal Depository Library Program (FDLP) of the GPO Library Service, the Library of Congress and the Cataloging and Indexing Program (C&I). Compliance with these requirements is assured for acquisition of printing for NIH Centers and other, non-Institute NIH entities, solely due to the need for interaction with the NIH Printing Officer, Central Printing and Publications Management Office (CPPMO). However, Institutes that choose to contract for printing from sources other than the GPO and not through the CPPMO must provide the copies of these publications to the sources noted above and report such publications to the CPPMO as a part of their own duties. See NIH Manual Chapter 6308 at http://www1.od.nih.gov/oma/manualchapters/contracts/6308 for specific instructions regarding this requirement. D. Publications by NIH Contractors: Each publication or audiovisual prepared and distributed for an NIH component by a contractor must:
E. Identification: 1. HHS and NIH. Each NIH publication (e.g., pamphlets, posters, periodicals, flyers, booklets, exhibits, and public affairs related materials) intended for distribution and dissemination outside HHS must clearly identify the originating organization as a component of NIH and HHS. In addition, each NIH publication should display both the NIH logo and the HHS logo (See #3, “Logos,” below). When the HHS and NIH logos appear together, the NIH logo should be less prominent than the HHS logo, i.e., smaller in size. Both should be legible. The words "U.S. Department of Health and Human Services” and "National Institutes of Health" (departmental imprint) must appear in full and in that order on the publication’s cover, with NIH identification placed below the HHS identification. The following is an example:
In addition:
2. Self-Covers. In accordance with Government Printing Office regulations, it is recommended that printed material of 16 pages or fewer in length shall have a self-cover, using the same paper stock used for the text. 3. Logos. The official HHS seal is intended for use on certificates and official documents. A variation of the seal has been issued as a HHS logo. The HHS logo may appear on pamphlets, posters, periodicals, booklets, exhibits, and public affairs related materials. See NIH Manual 1186 (pending release) and HHS General Administration Chapter 1-20, “Use of Department and Principal Operating Component Seals,” http://www.hhs.gov/hhsmanuals/gam/chapters/1-20.pdf. Note that use of a logo on a cover or title page does not substitute for identifications required under Section E.1 above. 4. Photographs. A portrait photograph may be published according to Joint Committee on Printing (JCP), U.S. Congress, regulations. Any photograph showing employees engaged in official duties may be published for illustrative purposes (See Item 19, http://www.house.gov/jcp/jcpregs.pdf). 5. Acknowledgements and Credit Lines. Each publication must be presented as a product of NIH or one of its components. Personal acknowledgements and credits may be included to recognize unusual contributions and should be limited to the person's name and a brief description of the contribution. Collective credit to all persons connected with a project of the staff of any unit or group should be avoided.
F. Nondescrimination Compliance Statement: Each recruitment publication must carry a statement in the text that the originating component or program does not discriminate in employment on the basis of race, color, national origin, religion, gender, or physical or mental disabilities. Except for recruitment publications, each publication that relates to programs or activities financially assisted by the Federal Government must include the statement, and not incorporated in the text, and preferably in boldface type, on the inside front cover or inside back cover. DISCRIMINATION PROHIBITED: Under provisions of applicable public laws enacted by Congress, no person in the United States shall, on the grounds of race, color, national origin, religion, gender, or physical or mental disabilities, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity (or, on the basis of sex, with respect to any education program or activity) receiving Federal financial assistance. In addition, Executive Order 11141 prohibits discrimination on the basis of age by contractors and subcontractors in the performance of Federal contracts, and Executive Order 11246 states that no federally funded contractor may discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. Therefore, programs covered in the publication must be operated in compliance with these laws and Executive Orders. Section 508: Section 508, the 1998 Amendment to Section 508 of the Rehabilitation Act, requires that all Web site content be equally accessible to people with disabilities. This applies to Web applications, Web pages, and all attached files. Section 508 applies to intranet as well as public-facing Web pages and extends to all HHS Web sites, internal or external, owned, managed or funded by Operating and Staff Divisions, whether developed by staff or acquired through contracts, cooperative agreements, grants and/or formally established partnerships with other government entities and/or the private sector. To the extent possible, documents targeted for online availability should be compliant with Section 508 standards (http://www.section508.gov that ensure accessibility to people with disabilities. For comprehensive guidance, the Government will require Vendors to refer to http://www.hhs.gov/web. G. Records Retention and Disposal: All records (e-mail and non-e-mail) pertaining to this chapter must be retained and disposed of under the authority of the NIH Manual Chapter 1743, "Keeping and Destroying Records," Appendix 1, NIH Records Control Schedule, Section 1100 - General Administration, Item 1100-B-1, "Policy Files"; Section 3000 Intramural Activities, Item 3000-A-1 “Slides and other visual materials”; Section 8000 - Part 5, Information, Communications, and Training (All that apply) and Section 8100 Audiovisual Materials (All that apply). NIH e-mail messages: NIH e-mail messages: NIH e-mail messages (messages, including attachments, that are created on the NIH computer systems or transmitted over the NIH networks) that are evidence of the activities of the agency or have informational value are considered Federal records. These records must be maintained in accordance with current NIH Records Management guidelines. Contact your IC Records Officer for additional information. All e-mail messages are considered Government property, and if requested for a legitimate Government purpose, must be provided to the requester. Employees' supervisors, the NIH staff conducting official reviews or investigations, and the Office of Inspector General may request access to or copies of the e-mail messages. E-mail messages must also be provided to the Congressional Oversight Committees, if requested, and are subject to the Freedom of Information Act requests. Since most e-mail systems have back-up files that are retained for significant periods of time, e-mail messages and attachments are likely to be retrievable from a back-up file after they have been deleted from an individual's computer. The back-up files are subject to the same requests as the original messages. H. Management Controls: The purpose of this Manual issuance is to ensure and maximize quality and effectiveness in NIH publications and audiovisuals and to provide an orderly basis for NIH publications and audiovisuals review without hampering the free flow of information.
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