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Indian Health Service The Federal Health Program for American Indians and Alaska Natives

Division of Regulatory Affairs (DRA)
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Records Management: Schedule 5. Management Services


INDEX

SCHEDULE 5. MANAGEMENT SERVICES

SECTION

  1. (VACANT)
  2. Financial Management
  3. Office Services/Materiel Management Section
  4. Personnel
  5. Procurement
  6. Supply Management
  7. Security
  8. Travel and Transportation
  9. Facilities Management
  10. Housekeeping
  11. Real Property
  12. Personal Property
  13. Quarters Management Program
  14. Biomedical Engineering
  15. Records Management

IHS RECORDS SCHEDULE 5. MANAGEMENT SERVICES

THIS SCHEDULE PROVIDES GUIDELINES FOR THE RECORDS OF ADMINISTRATIVE FUNCTIONS WHICH PROVIDE FACILITATIVE OR HOUSEKEEPING ACTIVITIES WHICH ARE COMMON TO MOST FEDERAL AGENCIES SUCH AS FINANCE, SUPPLY MANAGEMENT, PERSONNEL, ETC.

SCHEDULE 5. MANAGEMENT SERVICES

SECTION 1 - (VACANT)
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

1-1

RESERVED

 

SCHEDULE 5. MANAGEMENT SERVICES

SECTION 2 - FINANCIAL MANAGEMENT
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

2-1

RECORDS OF CASH AND CHECK REMITTANCE RECEIVED AND FORWARDED. Records pertaining to the receipt of checks payable to the U.S. Treasury and the transmittal of checks to the IHS Central Office with primary responsibility for deposit with the Treasury.

Cut off at close of fiscal year. Destroy when 3 years old. General Records Schedule 6, Item 4.

2-2

ACCOUNTING OFFICER DESIGNEE FILES. Records relating to the designation and revocation of accountable officers.

Cut off at close of fiscal year in which revocation occurs.  Destroy after 4 years provided account is cleared by GAO.

2-3

FEDERAL PERSONNEL SURETY BOND FILES.  Copies of Federal personnel surety bonds and attached powers of attorney.

a. Official copy.

b. All other copies.

 

General Records Schedule 6, Item 6.

a.  Destroy 15 years after the end of the bond premium period.

b.  Destroy when bond becomes inactive.

 

2-4

BUDGET ADMINISTRATIVE FILES.  Documents accumulated in offices of operating officials which serve as management tools in the preparation of budget estimates and in coordination and execution of approved budget.  Includes work papers, cost statements and rough data.

Cut off at close of fiscal year.  Destroy after 4 years.

2-5

REPORT ON OPERATING BUDGET FILES. Computer printouts showing cost analyses, object classification statements, and allotment ledger statements.

a. End of fiscal year reports.

 (1) Division of Administration fiscal copy.

 (2) Other offices.

b. All other monthly reports.

 (1) Division of Administration fiscal copy.

 (2) Other offices.

General Records Schedule 5, Item 3.

Cut off at close of fiscal year. Destroy 5 years after cutoff.

Cut off at close of fiscal year. Destroy 2 years after cutoff.

Cut off at close of fiscal year. Destroy 3 years after cutoff.

Cut off at close of fiscal year. Destroy 1 year after cutoff.

2-6

BUDGET WORKING FILES.  Work papers, cost statements, and other data accumulated in preparation of projected fiscal programs and annual budget estimates and for budget review purposes, including duplicates of papers included in file copies of budget estimates.

Cut off at close of fiscal year. Destroy after 2 years. General Records Schedule 5, Item 2.

2-7

BUDGET ESTIMATES AND JUSTIFICATION FILES.  Copies of budget estimates and justifications prepared or consolidated in formally organized budget offices at the division or higher organizational level.  Included are appropriation language sheets, narrative statements, and related schedules and data.

Cut off at close of fiscal year. Transfer to the FRC after 5 years. Destroy 10 years after cutoff.

2-8

BUDGET APPORTIONMENT FILES.  Apportionment and reapportionment, schedules, proposing quarterly obligations under each authorized appropriation.

Destroy 2 years after close of fiscal year.  General Records Schedule 5, Item 4.

2-9

BUDGET REPORT FILES.  Periodic reports on the status of appropriation accounts and apportionment.

a. Annual report (end of fiscal year).

b. All other reports.

General Records Schedule 5, Item 3.

a. Destroy 5 years after end of fiscal year.

b. Destroy 3 years after end of fiscal year.

2-10

AREA OFFICE FISCAL FILES. Copies of letters of credit, vouchers, financial status reports, and other papers maintained in the IHS Central Office.

Cut off at close of fiscal year. Destroy after 2 years.

2-11

RECORDS RELATING TO THE STATUS OF FUNDS FILES.  Records relating to the availability, collection, custody, and deposit of funds.  Includes appropriation warrants, cash receipt ledgers, and accounting copies of certificates of deposit.

Cut off at close of fiscal year.  Hold 1 year, then transfer to the FRC.  Destroy 3 years after cutoff.  General Records Schedule 6, Item 4.

2-12

SUBSIDIARY LEDGER FILES.  Records used as posting and control media but subsidiary to the general and allotment ledgers, includes accounting data input code sheets, batch control sheets, statements of transactions, financial status reports, reports of federal cost transactions, and requests for advances or reimbursements.

Cut off at close of fiscal year.  Hold 1 year, then retire to the FRC.  Destroy 3 years after cutoff.  General Records Schedule 7, Item 4.

2-13

PAID VOUCHER FILE (VENDOR FILE).  Original copies of paid invoices and vouchers.  Include bills of lading, imprest fund vouchers and schedules.  These are a part of the accountable officers’ account records.

Cut off at close of fiscal year.  Hold 3 years, then retire to the FRC.  Destroy 6 years and 3 months after the period covered by account.

2-14

VOUCHERS AND SCHEDULE OF PAYMENT FILES.  Accounting and accomplished copies of vouchers and schedule of payments documenting the disbursement of Agency funds and used by the GAO to audit Agency financial procedures.  These accountable officer files include statements of accountability collection vouchers, disbursement schedules and vouchers or documents used as schedules or vouchers, exclusive of freight records and payroll records.

Cut off file at close of fiscal year.  Hold 3 years, then transfer to the FRC.  Destroy 6 years and 3 months after period covered by account.  General Records Schedule 6, Item 1.

2-15

ALLOTMENT LEDGER FILES.  Computer printouts showing status of obligations and allotments under each authorized appropriation.

Destroy 6 years and 3 months after close of fiscal year involved.  General Records Schedule 7, Item 3.

2-16

GENERAL ACCOUNTS LEDGER FILES.  Computer printouts showing debit and credit entries and reflecting expenditures in summary.

Destroy 6 years and 3 months after close of fiscal year involved.  General Records Schedule 7, Item 2.

2-17

NOTICE OF GAO EXCEPTION FILES.  GAO notices of exception, both formal and informal, and related correspondence.

Cut off after exception is cleared by GAO. Destroy after 1 year.  General Records Schedule 6, Item 2.

2-18

CERTIFICATE OF SETTLEMENT FILES. Documents reflecting the settlement of accounts of accountable officers, statements of differences, and related papers.

a. Certificates covering closed settlements and final balance settlement.

b. Certificates showing periodic settlement.

c. Schedules of certificates of settlement of claims settled by GAO.

General Records Schedule 6, Item 3.

Cut off at close of fiscal year in which settlement is made.  Destroy after 2 years, provided certificate is cleared.

Destroy when subsequent certificate of settlement is received.

Cut off at close of fiscal year in which claim is settled.  Destroy after 2 years.

2-19

PATIENT’S VALUABLES RECORD FILES.  Patient’s effects inventory, temporary withdrawals, disposition actions and related material.

Destroy 6 months after discharge of patient and after accountability of all items.

2-20

OUTPATIENT FEE BASIS FILES. Tabulating cards, listings, and code sheets used to acquire and control fee basis medical services and to accumulate internal management data.

Destroy tabulating cards (EXCLUDING fee authorization renewal cards) 1 fiscal year after close of fiscal year in which prepared.

Fiscal fee authorization renewal cards will be maintained and disposed of in accordance with MP-4, Part X, Controllers Records Control Schedule.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 3 – OFFICE SERVICES/MATERIEL MANAGEMENT SECTION
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

3-1

TELEPHONE DIRECTORY FILES.  Correspondence, forms, and other records relating to the compilation of telephone listing and directories.  (NOTE:  Retain one copy of each published directory in accordance with Schedule 5, Item 3-4.)

Destroy 3 months after issuance of directory.

3-2

ORIGINAL MESSAGE (TELETYPE) FILES.  Copies of incoming and original authenticated copies of outgoing messages maintained for locator purposes.

Cut off monthly.  Destroy after 1 month.  General Records Schedule 12, Item 3b.

3-3

MESSENGER SERVICE FILES.  Daily logs, assignment records and instructions, dispatch records, delivery receipts, route schedules, and other related papers.

Cut off monthly.  Destroy 2 months after cutoff.  General Records Schedule 12, Item 1.

3-4

MAILING LISTS AND RELATED MATERIAL.

a. Correspondence, request forms, and other records related to changes in mailing lists.

b. Cards.

c. Plate or stencil mailing lists.

a.  Destroy after appropriate revision of mailing list or after 3 months, whichever is earlier.  General Records Schedule 13, Item 4a.

b.  Destroy individual cards when canceled, revised, or case is closed.  General Records Schedule 13, Item 4b.

Destroy plates or stencils when canceled, revised, or case is closed.

3-5

TELEPHONE ORDER FILES.  Documents relating to the installation, repair, and cost of telephone service.  This file is maintained by the office with Agency-wide responsibility for telephone service and is arranged numerically by order number.

 

Close file when order is completed.  Cut off closed file at the end of each fiscal year. Destroy 1 year after cutoff.  General Records Schedule 12, Item 2b.

3-6

PUBLICATION MASTER FILES.  Official file copy of each IHS publication such as technical reports, booklets, pamphlets, posters, monographs or other issuances published by IHS Headquarters or Area Offices.  Official file copy is maintained by the office responsible for the preparation and issuance.   Publications in this file will be distinctly marked “Record Set” and will not be charged out.

PERMANENT.  Cut off when publication is superseded, cancelled, or 3 years after issuance, whichever is sooner.  Offer to the NARA 2 years after cutoff.

3-7

PUBLICATION MANUSCRIPT FILES.  Editorial matter relating to the publication of a manuscript, incluing drafts, printer’s copies of galley and page proofs, and other working or control data used in the preparation of publications.

Cut off at close of fiscal year in which related publication is issued.  Destroy 2 years after cutoff.

 

3-8

JOB CONTROL REGISTER FILES.  Registers used to control the receipt of requisitions and work orders for printing and duplication jobs.

Cut off at close of fiscal year in which complied or when register is filled, whichever is applicable.  Destroy 1 year after cutoff.  General Records Schedule 13, Item 3.

3-9

JOB OR PROJECT FILES.  Files containing all papers and data pertaining to the planning and execution of printing, binding, duplication, and distribution jobs.  Includes requisitions, bills, samples, clearances, and related papers.

a. File pertaining to in-house reproduction jobs or projects.

b. Files pertaining to reproduction jobs or projects performed by the Government Printing Office or outside contractor.

a.  Cut off at close of fiscal year in which job is completed.  Destroy 1 year after cutoff.

b.  Cut off at close of fiscal year in which job is completed or requisition is cancelled.  Destroy 4 years after cutoff.

3-10

JOB HISTORY CARD FILES.  Cards maintained by the office responsible for printing and reproduction to reflect the reprint history of all major publications.

Destroy after related publication is rescinded, discontinued, or becomes obsolete.

3-11

PUBLICATION STOCK RECORD CARD FILES.  Stock record cards or other documentation maintained to reflect the status of supply of directives, blank forms and other publications including data as to stock levels, quantities on hand, and quantities received and issued.

Destroy when card is filled or when card is superseded or obsolete, whichever is earlier.

3-12

EDITORIAL TECHNICAL REFERENCE MATERIAL FILES.  Publications, editorial manuals, guides, equipment specifications, catalogs, and other technical reference materials relatingCut off at close of fiscal year.  Destroy 1 year after cutoff.  General Records Schedule 12, Item 5. to editing and publishing.

Review annually and destroy material which is superseded, obsolete, or no longer needed for reference.

 

3-13

POSTAL RECORDS FILES.  Post Office forms and supporting papers such as receipts for registered mail, certified mail, insured mail, special delivery receipts and forms, and reports of loss, etc.

Cut off at close of fiscal year.  Destroy 1 year after cutoff.  General Records Schedule 12, Item 5.

3-14

MAIL CONTROL FILES.  Statistical reports of postage used on outgoing mail, production reports of handled mail and related papers.

Cut off monthly or quarterly according to volume.  Destroy 1 year after cutoff.  General Records Schedule 12, Item 6b & 6d.

3-15

PUBLICATIONS STOCK RECORD CARD FILES.  Stock record cards or other documentation maintained to reflect the status of supply of directives, blank forms, and other publications including data as to stock levels, quantities on hand, quantities received, and issued.

Destroy when card is filled  or when card is superseded or obsolete, whichever is earlier.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 4 - PERSONNEL
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

4-1

OFFICIAL PERSONNEL FOLDERS (OPF) FILES.  Documents accumulated to provide an official record of personnel actions pertaining to an employee’s status and service.  The Federal Personnel Manual (FPM) specifies the documents required for inclusion in one’s Official Personnel Folder (OPF).

a. Folders of employees transferred to another agency.

b. Folders of separated employees.

General Records Schedule 1, Item 1.

Follow instruction in FPM.

Transfer folders of employees to inactive file in accordance with instructions in FPM.  Transfer folders to the National Personnel Records Center (NPRC), St. Louis, Missouri 63118, 30 days after separation.  NPRC will destroy 65 years after separation from Federal service.

4-2

TEMPORARY MATERIALS IN OFFICIAL PERSONNEL FOLDER (OFP) FILES.  Material maintained as temporary records on the left side of the OPF in accordance with FPM Chapter 293, and Supplement 291-31.

Destroy upon separation or transfer of the employee.  See General Records Schedule 1, Item 23, for disposition of temporary performance related records.  General Records Schedule 1, Item 10.

4-3

EMPLOYEE MASTER CONTROL FILES.  Documents used to provide a comprehensive record of positions, employees, and personnel actions by organizational entities.

Place in inactive file after transfer or separation of employee.  Cut off inactive file at close of fiscal year.  Destroy 3 years after cutoff.

4-4

PERSONNEL STATISTICAL REPORTS FILES.  Records created in the preparation, coordination, and consolidation of regular and special personnel reports to the Office of Personnel Management (OPM).  Included are reports on Federal civilian employment, acquisition of handicapped persons, and geographical distribution of employment, biennial reports on occupation, other comparable reports, and related papers.

Cut off at close of fiscal year. Destroy 2 years after cutoff. General Records Schedule 1, Item 16.

4-5

EMPLOYEE LOCATION FILES.  Contains  information such as name, Social Security number, submission dates, current residence address, emergency locator information, office address, and pertinent telephone numbers.

Destroy when superseded or obsolete.

4-6

EMPLOYEE RECORDS CARD FILES.  Employee Record Cards used for informational purposes outside Personnel Offices (such as SF 7-B).

Destroy on separation or transfer of employee.  General Records Schedule 1, Item 6.

4-7

EMPLOYMENT APPLICATIONS.  Applications  (SF 171) and related records, EXCLUDING records relating to appointments requiring Senatorial confirmation and applications resulting in appointment which are filed in the OPF.

Destroy upon receipt of OPM inspection report or when 2 years old, whichever is earlier, provided the requirements of FPM, Chapter 333, Section A-4, are observed. General Records Schedule 1, Items 4 & 15.

4-8

INACTIE APPLICATION FOR EMPLOYMENT FILES.  Files established when the decision is made that an applicant is not qualified, declines, or will not be selected for appointment or for other reasons. Included are applications for Federal employment, educational transcript, resume reports, and related papers.

Cut off at close of fiscal year.  Destroy 2 years after cutoff or upon receipt of OPM inspection, whichever is earlier, providing the requirements in FPM are observed.  General Records Schedule 1, Item 15.

4-9

LETTERS OF REFERENCE AND PRE-EMPLOYMENT  CREDIT REPORT FILES.   Correspondence and other documents regarding character references, retail credit checks, etc.

a. Appointed applicants.

b. Rejected applicants.

a. File on left side of OPF. Destroy in accordance with Schedule 5, Item 4-2.

b. File inside application.  Destroy in accordance with Schedule 5, Item 4-8.

4-10

CERTIFICATES FILES. Requests for certificates of eligibles and certificates of eligibles for appointments.

Cut off at close of fiscal year. Destroy 2 years after cutoff. General Records Schedule 1, Item 5.

4-11

NOTIFICATON OF PERSONNEL ACTION FILES.  Copies exclusive of those in OPFs accumulated to provide a record for inspections, statistics, reference, preparation of reports, etc.

Cut off monthly.  Destroy 2 years after cutoff. General Records Schedule 1, Item 14a.

4-12

INTERNAL PROMOTION PLAN FILES.  Announcements, applications, ratings, copies of registers, and selection papers maintained by personnel offices.  Includes certificates of best qualified applicants and letter to all non-selectees.

Cut off at close of fiscal year.  Destroy 2 years after cutoff, provided requirements of the FPM are observed.

4-13

POSITON VACANCY ANNOUNCEMENT FILES.  Copies of promotion plan position vacancy notices maintained by the Personnel Branch.

Cut off at close of fiscal year.  Destroy 2 years after cutoff.

4-14

REDUCTION IN FORCE FILES.

a. Retention registers – These are lists of printouts prepared before reduction in force (RIF) for each competitive level affected by the education.

b. Work cards used in compiling retention registers.

c. Notice to employees and related papers.

d. Placement files – Documents which result from attempts to secure new positions for displaced employees.

a.  Cut off at close of fiscal year.  Destroy 2 years after cutoff, unless there is an appeal or court case pending.  Destroy after the case is resolved.

b. Destroy after RIF is completed, unless used as retention register.

c. Place one copy in employee’s OPM.

d. Cut off at end of fiscal year when action of RIF is completed.  Destroy 2 years after cutoff.

4-15

EMPLOYEE EXAMINATION RECORDS FILE.  Completed test materials and test booklets in which answers have been recorded, and results recorded on test or qualification records.

Follow appropriate OPM regulations.

4-16

INCENTIVE AWARDS CASE FILES.  Records documenting an employee suggestion or performance award.

Cut off at end of fiscal year.  Destroy 2 years after cutoff.  General Records Schedule 1, Item 12a(1).

4-17

INCENTIVE AWARDS REPORTS FILES.  Awards program reports, including copies of feeder reports prepared within IHS and copies of summary reports to OPM.

Cut off at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 1, Item 13.

4-18

EMPLOYEE PERFORMANCE FILE SYSTEM.

a. Non-Senior Executive Service (SES) appointees (as defined in 5 United States Code (U.S.C.) 4301 (2)).

(1) Appraisals of unacceptable performance, where a notice of proposed demotion or removal is issued, but not effected, and all others related documents.

(2) Performance records superseded through an administrative, judicial, or quasi-judicial procedure.

(3) Performance–related records pertaining to a former employee.

(4) All other summary performance appraisal records, including performance appraisals and job elements and standards upon which they are based.

(5) Supporting documents.

b. SES appointees (as defined in 5 U.S.C. 3132a (2)).

(1) Performance records superseded through an administrative, judicial, or quasi-judicia procedure.

General Records Schedule 1, Item 23.

Destroy after the employee completes 1 year  of acceptable performance from the date of the written advance notice of proposed removal or reduction in grade notice.

Destroy upon supersession.

Destroy when 3 years old or when no longer needed, whichever is sooner.

Destroy 3 years after date of appraisal. General Records Schedule1, Item 23.

Destroy 3 years after date of appraisal or when no longer needed, whichever is sooner.

4-19

PROMOTION POTENTIAL APPRAISAL FILES.  Documents relating to the positions.

Cut off at close of fiscal year.  Destroy 2 years after cutoff.  General Records Schedule 1, Item 23a.

4-20

PERFORMANCE RATING APPEAL FILES.

See Schedule 5, Item 4-24.

4-21

POSITION DESCRIPTION FILES.  Documents which describe duties, responsibilities, and supervisory relationships of each position within the IHS.  These include copies of position descriptions of General Schedule and Wage Board positions, position description amendments,  certifications, checklists or fill-in descriptions, multiple or standard descriptions, and related papers.  Papers in this series are maintained by the Personnel Branch.  Office copies of position descriptions are covered by Schedule VI, Item 1-12.

Place in inactive file when position is abolished or superseded.  Cut off inactive file at close of fiscal year.  Destroy 5 years after cutoff. General Records Schedule 1, Item 7b.

4-22

POSITION CLASSIFICATION SURVEY FILES.  Documents created by performing systematic examination of the essential aspect of all positions and position design and structuring within an area.  Included are position survey reports, records of classification survey, position review certifications, recommendations, and related papers.

Cut off at end of fiscal year following completion of subsequent survey of each unit.  Destroy 2 years after cutoff.  Surveys which may be of continuing value can be retained as non-record reference material.  General Records Schedule 1, Item 7c.

4-23

POSITION CLASSIFICATION APPEAL FILES.  Papers accumulated when an employee appeals a position classification.  Included are such items as the initial letter from employee stating the reasons for the appeal, copy of job description, classifier’s notes and evaluation statement, and letter to employee advising of the outcome.  Appeals to the Merit Systems Protection Board (MSPB) will become a case file, disposable under MSPB schedules.

 

Cut off at close of fiscal year in which action is completed.  Destroy 3 years after cutoff.  General Records Schedule 1, Item 7d.

4-24

GRIEVANCE AND APPEALS FILES.  Papers created and accumulated in connection with the review of grievances and appeals raised by Agency employees, except EEO complaints.  These files include statements of witnesses, reports of interviews and hearings, examiner’s findings and recommendations, a copy of the original decision, related correspondence and exhibits, and records relating to a reconsideration request.

Place in inactive file when case is closed.  cut off inactive file at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 1, Item 30a.

4-25

ADVERSE ACTION FILES.  Files relating to reviewing adverse actions (disciplinary or non-disciplinary removal, suspension, leave without pay, reduction in force (RIF) against an employee.  Files include a copy of the proposed adverse action with supporting papers, statements of witnesses, employee’s reply, hearing notices, reports, and decisions, reversal of action and appeal records.

Place in inactive file when case is closed.  Cut off inactive file at close of fiscal year.  Destroy 4 years after cutoff.  General Records Schedule 1, Item 30b.

4-26

EMPLOYEE FINANCIAL STATEMENT FILES.  Files for outside employment and financial interest and related papers.

a. Reports and related documents submitted by individuals as required under the Ethics in Government Act of 1978 (P.L. 95-521).

(1) Records including Schedule A, SF 278, Executive Personnel Financial Disclosure Report for individuals filing according to Section 201 (b) of the Act, and not sub-sequently confirmed by the U.S. Senate.

(2) All other  records including SF 278, Executive Personnel Financial Disclosure Report.

b. All other statements of employment and financial interest and related records, including confidential statements filed under Executive Order 11222.

General Records Schedule 1, Item 24.

Destroy 1 year after nominee ceases to be under consideration for appointment, EXCEPT those documents needed in an on going investigation will be retained until no longer needed in the investigation.  General Records Schedule 1, Item 24.

Destroy when 6 years old, EXCEPT those documents needed in an ongoing investigation will be retained until no longer needed in the investigation.

b. Destroy when 6 years old, EXCEPT those documents needed in an ongoing investigation will be retained until no longer needed in the investigation.

4-27

EMPLOYEE INTERVIEW FILES.  Correspondence, reports, and other records relating to interviews with employees.

Cut off at close of fiscal year in which employee is transferred or separated.  Destroy 6 months after cutoff.  General Records Schedule 1, Item 8.

4-28

LABOR ORGANIZATION RECOGNITION FILES. Documents created in receiving requests for granting or denying, recognition of unions. Included are copies of requests for recognition requests, elections, appeals, investigations, and final decisions, arbitration decisions or unit majority representation, and related papers.

a. Recognized unions.

b. Unrecognized and previously recognized unions.

a.  Retained for duration of recognition.  At the end of that time, dispose of in accordance with part b. below.

b. Cut off annually after decision on withdrawal or denial of recognition.  Destroy 3 years after cutoff.

4-29

UNFAIR LABOR PRACTICES COMPLIANT FILE.
Documents including memoranda, investigative reports, comments, correspondence, and other papers relating to the charge and investigation of unfair labor practices. This file relates only to complaints filed by or against IHS employee unions.

a. Complaints resolved informally within IHS and copies of documents maintained in IHS which relate to complaints referred to the Federal Labor Relations Authority.

b. Complaints referred to the referred to the Federal Labor Relations Authority.

a.  Place in inactive file when informal resolution is finalized, or complaint is referred to the Federal Labor Relations Authority.  Cut off inactive file at close of fiscal year.  Destroy 3 years after cutoff.

b. Disposition will be made in accordance with the Federal Labor Relations Authority schedules.

4-30

LABOR MANAGEMENT RELATIONS RECORDS FILE.  Documents relating to negotiating procedures, propriety of literature distribution, membership campaign papers, dues withholding, requests for exceptions, and similar labor management subject areas.

a. Labor Management Relations – General and Case Files – Correspondence, memoranda, reports and other records relating to the relationship between management and employee unions or other groups.

(1) Office negotiating agreement.

(2) Other offices.

b. Labor Arbitration – General and Case Files – Correspondence, forms, and background papers relating to labor arbitration cases.

General Records Schedule 1, Item 28a & 28b.

Destroy when 5 years old. General Records Schedule 1, Item 28a (1).

Destroy when superseded or obsolete. General Records Schedule 1, Item 28a (2).

b.  Destroy 5 years after final resolution of case.  General Records Schedule 1, Item 28b.

4-31

IHS EMPLOYEE ACCIDENT INVESTIGATION FILES.  Documents accumulated in reporting, investigating, and documenting job-related injuries to IHS employees.

Cut off on termination of compensation or when deadline for filing a claim has passed.  Destroy 3 years after cutoff.  General Records Schedule 1, Item 31.

4-32

HEALTH MAINTENANCE PROGRAM RECORDS FILE. Documents relating to employee participation in health maintenance programs (blood donor, diabetes test, glaucoma test, etc.).

Destroy 6 years after date of last entry. General Records Schedule 1, Item 19.

4-33

STANDARDS OF CONDUCT FILES. Correspondence, memoranda, and other records relating to codes of ethics and standards of conduct.

Destroy when superseded or obsolete.  General Records Schedule 1, Item 27.

4-34

EMPLOYEE COUNSELING RECORDS FILE.

a. Counseling files – reports, interviews, analyses, and related records.

b. Alcohol and Drug Abuse Program – records created in planning, coordinating, and directing the alcohol and drug abuse program.

General Records Schedule 1, Item 26.

a. Destroy 3 years after termination of counseling.

b. Destroy when 3 years old.

4-35

INDIVIDUAL ACCOUNTS FILES.  Individual earnings and service cards, such as SF 1127 or equivalent.

Transfer to the NPRC, ST. Louis, MO. General Records Schedule 2, Item 1.

If filed in the OPF or in individual pay folder adjacent to the OPF, destroy with the OPF.

If not in or filed adjacent to the OPF, destroy 56 years after the date of the last entry on the card.

4-36

BUDGET AUTHORIZATION REFERENCE FILES. Copies of budget authorizations in operating payroll units used to control personnel ceiling and personnel actions.

Destroy when superseded. General Records Schedule 2, Item 12.

4-37

TIME AND ATTENDANCE REPORTS FILE.  Forms such as HHS 564 or equivalent.

a. Payroll preparation and processing copies.

b. All other copies.

General Records Schedule 2, Item 3.

a. Destroy after GAO audit or when 3 years old, whichever is sooner.

b. Destroy 6 months after the end of the pay period.

4-38

INDIVIDUAL AUTHORIZED ALLOTMENT FILES.

a. U.S. Savings Bond Authorization, HHS 357 or equivalent, and authorization for individual

allotment to the Combined Federal Campaign (CFC).

(1) If record is maintained on earnings record card.

(2) If record is not maintained elsewhere.

b. All other authorizations including union dues and savings.

(1) If record is maintained on earnings record card.

(2) If record is not maintained elsewhere.

a.  General Records Schedule 2, Item  4.

Destroy when superseded or after separation of employee.  If employee transfers within an agency or between agencies, these authorizations must also be transferred.  See Treasury Fiscal Requirements Manual, paragraph 6030.10, for instructions relating to savings bond authorizations, and FPM, Chapter 550, Subchapter 3, Part 8, for instructions relating to CFC authorizations.

Destroy 3 years after superseded or 3 years after separation of employee.  See part (1) above for transfer instructions.

Destroy when superseded or after transfer or separation of employee.

Destroy 3 years after supersession or 3 years after transfer or separation of employee.

4-39

TAX FILES.

a. Withholding tax exemption certificates, such as IRS Form W-4, and similar state tax exemption forms.

b. Returns on income taxes withheld such as IRS Form W-2.

c. Reports of withheld Federal taxes, such as IRS Form W-3, with related papers, including reports relating to income and Social Security taxes.

d. Unemployment taxes (Unemployment Compensation Federal Employee (UCFE) reports of withholdings).

a.  Destroy 4 years after form is superseded or obsolete.  General Records Schedule 2, Item 13a.

b.  Destroy when 4 years old.  General Records Schedule 2, Item 13b.

c.  Destroy when 4 years old.  General Records Schedule 2, 13c.

d.  Destroy when 4 years old.

4-40

FICA REPORTS FILE.  Reports of Federal Insurance Contributions Act (FICA) withholdings maintained on an annual basis, such as IRS Form 941 reports.

Cut off at end of calendar year.  Destroy 3 years after cutoff.

4-41

RETIREMENT FILES.

a. Reports, such as OPM Summary of Retirement, registers, or other control documents, and other records relating to retirement.

b. Assistance files – Correspondence, memoranda annuity estimates, and other records used to assist retiring employees or survivors claim insurance or benefits.

a.  Destroy when 3 years old.  General Records Schedule 2, Item 28.

b.  Destroy when 1 year old.  General Records Schedule 2, Item 28.

4-42

LEAVE APPLICATION FILES.  Application for Leave (SF 71) or equivalent, and supporting papers relating to requests for and approval for taking leave.

a. If the time card has been initialed by the employee.

b. If the time card has not been initialed by the employee.

General Records Schedule 2, Item 8.

a.  Destroy at the end of the applicable pay period.

b.  Destroy after GAO audit or when 3 years old, whichever is sooner.

4-43

LEAVE RECORDS CARD FILE.  Leave record cards maintained separately from pay and earnings records, including HHS 564, when used as a leave record.

a. Pay or fiscal copies.

b. Other copies.

General Records Schedule 2, Item 9.

a. Destroy when 3 years old.

b. Destroy 3 months after the end of the period covered.

4-44

LEAVE DATA FILES.  Records of leave data, such as SF 1150, prepared except as noted in the FPM, Chapter 293, Section A-3.

a. Original copy of SF 1150.

b. Agency copy.

General Records Schedule 2, Item 10.

a.  File on right side of OPF.  See Schedule 5, Item 4-1.

b.  Destroy when 3 years old.

4-45

NOTIFICATION OF PERSONNEL ACTION FILES.  Copies of SF 50 or equivalent, not filed in the OPF.

a. Pay or fiscal copy.

b. All other copies.

a.  Destroy when related pay records are audited by GAO or when 3 years old, which ever is sooner.  General Records Schedule 2, Item 11.

b.  See Schedule 5, Item 4-11.

4-46

PAYROLL FILES.  Memoranda copies of payrolls, checklists, and related certification sheets, or equivalents.

a. Security copies of documents prepared or used for disbursement by Treasury disbursing offices, with related papers.

b. All other copies.

(1) If earnings record card is maintained.

(2) If earnings record card is not maintained.

General Records Schedule 2, Item 13.

a.  Destroy when the FRC receives second subsequent payroll or checklist covering the same payroll unit.

Destroy after GAO audit or when 3 years old, whichever is sooner.

Transfer to the NPRC, St. Louis, MO, when 3 years old.  Destroy when 10 years old.

4-47

PAYROLL CONTROL FILES.  Payroll control registers, such as SF 1125A, and payroll ledgers.

Destroy after GAO audit or when 3 years old, whichever is sooner.  General Records Schedule 2, Item 14.

4-48

PAYROLL CHANGE FILES.  Payroll change slips, exclusive of those in the OPF, such as SF 1126.

a. Copy used in GAO audit.

b. Disbursing Office copy used in preparing checks.

c.     All other copies.

General Records Schedule 2, Items 15a, 15b, & 15c.

a.  Destroy when related pay records are audited by GAO or when 3 years old, whichever is sooner.

b.  Destroy after preparation of checks.

c.  Destroy 1 month after the end of the pay period.

4-49

FISCAL SCHEDULES FILES.  Memoranda copies of fiscal schedules used in the payroll process.

a. Copy used in GAO audit.

b. All other copies.

General Records Schedule 2, Items 16a & 16b.

a.  Destroy after GAO audit or when 3 years old, whichever is sooner.

b.  Destroy 1 month after the end of the pay period.

4-50

ADMINISTRATIVE PAYROLL REPORTS FILES.  Reports, statistics, with supporting and related records pertaining to payroll operations and pay administration.

a. Reports and data used for work load and personnel management purposes.

b. All other reports and data.

General Records Schedule 2, Item 17.

a.  Destroy when 2 years old.

b.  Destroy when 3 years old.

4-51

LEVY AND GARNISHMENT FILES.  Official Notice of Levy or Garnishment (IRS Form 668A or equivalent), change slips, work papers, correspondence, releases and other forms, and other records relating to charge against retirement funds or attachment of salary for payment of back income taxes or other debts of Federal employees.

Destroy when 3 years old.  General Records Schedule 2, Item 21.

4-52

WAGE SURVEY FILES.  Wage survey reports and data, working papers, and related correspondence pertaining to area wages paid for each employee class; background papers establishing need, authorization, direction, and analysis of wage surveys; development and implementation of wage schedules; and request for an authorization of specific rates (EXCLUSING authorized wage schedules and wage survey recapitulation sheets).

Destroy after completion of second succeeding wage survey.  General Records Schedule 2, Item 22.

4-53

PAYROLL SYSTEM MASTER FILES.  Machine-readable media containing data used by the payroll office for payroll administration.

Delete after the expiration of the retention period authorized for the disposable hard copy file or when no longer needed, whichever is later.  General Records Schedule 20, Items 3a-3b.

4-54

BOND FILES.

a. Bond Registration Files – Issuing agent’s copies of bond registration stubs.

b. Bond Receipt and Transmittal Files – Receipts for and transmittals of U.S. Savings Bonds and checks.

c. Bond Purchase Files – Forms and reports with related papers pertaining to deposits and purchases of bonds.

a.  Destroy when 2 years old.  General Records Schedule 2, Item 5.

b.  Destroy 3 months after date of receipt.  General Records Schedule 2, Item 6.

c.  Destroy when 3 years old.  General Records Schedule 2, Item 7.

4-55

VOLUNTEER INFORMATION CARD FILES.  The card contains information on volunteers and is used to enter data into an Automated Data Processing System (ADP) for conversion to readable information.  It also contains a waiver of monetary compensation and other pertinent personal information (if necessary, parental consent) which is not stored in the computer.

Destroy after 1 year and after verification of information on the printout.

4-56

OCCASIONAL VOLUNTEER TIME SHEET FILES.  The data pertains to the participation of volunteer organizations and individuals who serve on an infrequent basis.

Destroy time sheet after 1 year and after verification of the information.

4-57

REGULAR SCHEDULED VOLUNTEERS BY ORGANIZATION REPORTS FILE.  The report is a record used to denote the activity of individual volunteers by their assigned facility, service unit, or office.

Destroy report 5 years after close of fiscal year in which report is generated.

4-58

VOLUNTEERS SCHEDULED FOR HEALTH SCREENING RECORD FILES.  The report is a record used to remind appropriate personnel of medical tests to be taken by volunteers.

Destroy after 1 year and after subsequent report has been received.

4-59

POTENTIAL AWARDS LISTING FILES.  The listing is a record used to indicate names of volunteers who are eligible for length of service awards.

Destroy after the new listing is produced and after purpose has been served.

4-60

TERMINATED VOLUNTEER SUMMARY FILES.  The sheet is a record which contains the name, Social Security number, home address, hours worked, and other information on terminated volunteers.

Destroy after purpose has been served.

4-61

IHS WORKPLACE DRUG TESTING PROGRAM FILES.  Drug testing program records created under Executive Order 12564 and Public Law 100-71, Section 503 (101 Stat. 468), EXCLUDING consolidated statistical and narrative reports concerning the operation of agency programs, including annual reports to Congress, as required by Public Law 100-71, Section 503(f), and statistical reports, as required by FPM Letter 792-19, 12/27/89, Section 6.

This authorization does not apply to oversight program records of the Department of Health and Human Services and its subordinate elements; the Office of Personnel Management; the Office of Management and Budget; and the Department of Justice.

a. Drug test plans and procedures, EXCLUDING documents that are filed in record sets of formal issuances (directives, procedures handbooks, operating manuals, and the like). Agency copies of plans and procedures, with related drafts, correspondence, memoranda, and other records pertaining to the development of procedures for drug testing programs, including the determination of testing incumbents in designated positions.

b. Employee Acknowledgement of Notice Forms – Forms completed by employees whose positions are designated sensitive for drug testing purposes acknowledging that they have received notice that they may be tested.

c. Selection/Scheduling Records – Records relating to the selection of specific employees/applicants for testing and the scheduling of tests.  Included are lists of selectees, notification letters, and testing schedules.

d. Records relating to the collection and handling of specimens.

(1) “Permanent” Record Books – Bound books containing identifying data on each specimen, recorded at each collection site in the order in which the specimens were collected.

(2) Chain of Custody Records – Forms and other records used to maintain control and accountability of specimens from the point of collection to the final disposition of the specimen.

e. Test Results – Records documenting individual test results, including test results, including reports of testing, notifications of employees/applicants and employing offices, and documents relating to follow-up testing.

NOTE:  1.  Disciplinary action case files pertaining to actions taken against employees for drug use, drug possession, failure to comply with drug testing procedures, and similar matters are covered by GRS 1, item 30b, which provides for the destruction of records 4 years after the case is closed.

NOTE:  2.  Any records covered by items 4-61a-e that are relevant to litigation or disciplinary actions should be disposed of no earlier than the related litigation or adverse action case file(s).

General Records Schedule 1, Item 36.

a. General Records Schedule 1, Item 36.

Destroy when 3 years old or when superseded, obsolete, or no longer needed, whichever is later. (See Note 2.)

b. Destroy when employee separates from testing designated position. (See Note 2.)

c.  Destroy when 3 years old.  (See Note 2.)

d.  General Records Schedule 1, Item 36.

Destroy 3 years after date of last entry (See Note 2.)

Destroy when 3 years old.  (See Note 2.)

e.  Destroy when 3 years old.  (See Note 2.)

General Records Schedule 1, Item 36.

4-62

EMPLOYEE MEDICAL FOLDER (EMF).

a. Long-term medical records as defined in the FPM,

        Chapter 293.

        (1)     Transferred employees.

        (2)     Separated employees.

b. Temporary or short-term records as defined in the FPM.

c. Individual Employee Health Case Files created prior to establishment of the EMF system that have been retired to an FRC.

General Records Schedule 1, Item 21.

See FPM for instructions.

Transfer to the NPRC, St. Louis, MO, 30 days after separation.  NPRC will destroy 75 years after birth date of employee, 60 years after date of the earliest document in the folder if the date of birth cannot be ascertained, or 30 years after latest separation, whichever is later.  General Records Schedule 1, Item 21.

b. Destroy 1 year after separation or transfer of employee.

c. Destroy 60 years after retirement to the FRC.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 5 - PROCUREMENT
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

5-1

POLICIES AND PROCEDURES FILES.  Document the development and implementation of policy and procedural changes in the Agency’s management of grants, contracts, and cooperative agreements.

PERMANENT.  Office of Record – Retain 15 years after becoming obsolete or superseded, and offer to the NARA in 5-year blocks.

5-2

GRANTS APPLICATION CLEARANCE FILES.  Requests for clearance of proposed grant application forms and instructions from all Agency components.  Includes justification of modifications and final approved forms and instructions.

Retain 3 years after approval or disapproval, then destroy.

5-3

GRANTS AND LOAN CERTIFICATES FILES.  Certifications which establish or verify eligibility of educational institutions for Federal grants or loan programs.

Destroy when obsolete or superseded.

5-4

GRANTS AND LOAN ADMINISTRATION RECORDS FILE.  Includes grant applications, determinations of eligibility, payment records, annual financial reports, related papers, and correspondence which documents IHS loan programs for construction and equipment purchases.

a. Ineligible, rejected, and unfunded applications.

b. Approved applications and all related

  correspondence.

c. Uncollected loans.

General Records Schedule 3, Items 13 & 14

a.  Retain 3 years after determination, then destroy.

b.  Retain 3 years after approval, then destroy.

c. Transfer to the GAO when loan is determined uncollectible.

5-5

GRANTS AND CONTRACTS AUDIT REPORTS FILE.  Includes audit findings, comments from grantees or program officials, and resolutions accepted by the Department.

Cut off at end of fiscal year in which case is closed.  Destroy 8 years after cutoff.  General Records Schedule 22, Item 2.

5-6

AUDIT REPORTS CONTROL INDEX FILES.  Record maintained for reference of Agency.  Includes PHS-5177, Audit Report Control Record.

Destroy when no longer needed for operation.

5-7

REPORT OF EXPENDITURES ADJUSTMENT AND AUDIT FILES.  Files of claims on indirect cost adjustments of grantees.

Retain 6 years after resolution of claim, then destroy.

5-8

NEGOTIATED INDIRECT COST RATES FILES.  Negotiated indirect cost rates for non-profit and commercial contractors.

Superseded material may be destroyed when no longer needed for operations.

5-9

COST ADVISORY CONTRACTS FILES.  Working copies of contract files and documentation of site audits and other activities.

Retain 3 years after desk audit or immediately following field audit, then destroy.

5-10

PROCUREMENT/CONTRACT FILES.  Contracts, requisitions, purchase orders, leases, bonds, and surety records, including correspondence and related papers pertaining to awards, administration, receipt, inspection, and payment of routine procurement.

a. Procurement of purchase organization copy, and related papers necessary for GAO or internal audit purposes.

(1) Transactions of more then $25,000 and all construction contracts exceeding $2,000.

(2) Transactions of $25,000 or less and construction contracts under $2,000.

(3) Contracts for more than $25,000 which deviate from established precedent with respect to IHS contract and purchase transaction regulations.

b. Obligation copy.

c. Other copies of records described above, used by the procurement office for administrative purposes

General Records Schedule 3, Item 3

Place in inactive file when closed or upon final payment.  Cut off inactive file at close of fiscal year.  Hold 2 years and transfer to the FRC.  Destroy 6 years and 3 months after cutoff.

Cut off at close of fiscal year.  Destroy 3 years after cutoff, except for those files on which actions are pending, which shall be brought forward to the next fiscal year’s files for destruction.

Place in inactive file when closed or upon final payment.  Cut off file at close of fiscal year.  Transfer to the FRC after 2 years.  Destroy when 20 years old.

b. Destroy when funds are obligated.

c. Destroy upon termination or completion.

5-11

SOLICITED AND UNSOLICITED BIDS AND PROPOSAL FILES.

a. Successful bids and proposals.

b. Solicited and unsolicited unsuccessful bids and proposals.

(1) Relating to small purchases as defined in the Federal Acquisition Regulation; 48 CFR, Part 13.

(2) Relating to transactions above the small purchase limitations in 48 CFR, Part 13.

(a) When filed separately from the contract file.

(b) When filed with contract case file.

General Records Schedule 3, Item 5.

a. Destroy with related contract case files.  (See Schedule 5, Item 5-10.)

Destroy 1 year after date of award or final payment, whichever is later.

Destroy when related contract is completed.

Destroy with related contract case file.

5-12

COST ADVISORY CENTRAL FILES.  List of contractors, which include data on accounting acceptability, financial capability and activities.

Retain 2 years after activity with contractor ends, then destroy.

5-13

CANCELED RFC’S AND RFP’S FILES.  Requests for Contracts (RFC) for which Requests for Proposals (RFP) may have been advertised, but was canceled prior to award.

Retain 1 year after request is canceled, then destroy.

5-14

PROSPECTIVE MINORITY CONTRACTORS FILES.  List of contractors by name which describes specialties and capabilities.

Retain 1 year after contractor is not considered a potential bidder, then destroy.

5-15

SPECIAL AND FINAL REPORTS OR PRODUCTS OF GRANTS AND CONTRACTS FILES.  Published or unpublished reports, textbooks, curricula, or audiovisual items such as film, slides, or tapes.  When special or final reports are required, they generally contain background, problems, findings, and recommendations.

a. Significant reports or products of grants and contracts (having historical or research value as determined by the program office and project officer), not to exceed 1 percent of all grants and contracts in a given year.

b. Other reports or products.

a. PERMANENT Retain 15 years from date of report and offer to the NARA in 5-year blocks.

b. Retain 5 years from date of report and destroy when no longer needed for reference purposes.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 6 – SUPPLY MANAGEMENT
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

6-1

SUPPLY MANAGEMENT FILES. Files of reports on supply requirements and procurement matters submitted for supply management purposes (other than those incorporated in case files or other files of a general nature), exclusive of Department of Defense Reports reflecting procurement under exemptions authorized under Section 201(a) of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 481).

a. Copies received from other units for internal purposes or for transmission to staff agencies.

b. Copies in other reporting units, and related working documents.

General Records Schedule 3, Item 4.

a. Destroy when 2 years old.

b. Destroy when 1 year old.

6-2

VENDOR REFERENCE MATERIALS FILES.  Documents listing supplies and services by vendors.  Includes catalogs, brochures, pamphlets, mailing lists, and similar material.

Destroy when superseded or obsolete, or when no longer needed for reference.

6-3

INVENTORY CONTROL CARDS FILES.  Inventory control cards used for property maintenance control.

Place in inactive file upon disposition or transfer of property.  Cut off at close of fiscal year.  Destroy 2 years after cutoff.

6-4

REJECTED AREA MASTER RECORD TRANSACTION FILES.  Includes any Area Master Record Transaction that is rejected in the update processing.

Destroy 2 years after close of fiscal year involved.

6-5

AREA MASTER RECORD CHANGES/DELETES FILE.  Lists the acceptable area record changes and deletes processed during the accounting period.

Destroy 2 years after close of fiscal year involved.

6-6

AREA MONTHLY SUB-SUB-ACTIVITY REPORTS FILE.  This report provides current month and year-to-date values of storeroom receipts, storeroom issues and direct issues by sub-sub-activity and general ledger account.

Destroy 2 years after close of fiscal year involved.

6-7

AREA MONTHLY SUPPLY SUMMARY DATA BY ACCOUNT FILES.  This report contains data on opening and closing inventory values, months supply on hand, receipt values, issue values, adjustment values, number and value of items with no issues, due in value, months supply due in, number documents processed, number line items processed, number and percent of storeroom requests that are partial filled and zero filled, etc.

Destroy 2 years after close of fiscal year involved.

6-8

STOCK OUTAGE – LOW INVENTORY – DUE OUT REPORTS FILE.  Report lists those items that have zero quantity on hand and/or quantity on hand is less than the Review Point Quality (FPQ).

Destroy report when no longer needed.

6-9

ANALYSIS OF ISSUE VALUES BY ITEM/ LOCATION/CATEGORY FILES.  This report provides a 3-year usage comparison of issue values by item, using location and category.  Report should be used by the Area Standardization Committees and by Supply Service Center staff to identify usage trends, high use users, inappropriate users of an item, etc.

Destroy report when no longer needed.

6-10

INVALID DIRECT ISSUE TRANSACTIONS FILE. Contains any invalid direct issue transaction found in the computer edit of the weekly input transactions.

Transfer to the FRC 3 years after close of fiscal year. Destroy 2 years thereafter.

6-11

INVALID/REJECTED DUE IN TRANSACTIONS FILES. The weekly report will contain any invalid due in transaction found in the computer edit of the weekly input transactions.  The monthly report will contain any due in transaction that is rejected in the monthly update processing.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-12

INVALID/REJECTED STORES STOCK RECEIPT TRANSACTIONS FILES.  The weekly report will contain any invalid receipt transaction found in the computer edit of the weekly input transactions.  The monthly report will contain any receipt transaction that is rejected in the monthly update processing.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-13

INVALID/REJECTED STORES STOCK ISSUE TRANSACTIONS FILES.  The weekly report will contain any invalid issue transaction found in the computer edit of the weekly input transactions.  The monthly report will contain any issue transaction that is rejected in the monthly update processing.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-14

INVALID/REJECTED STATION MASTER RECORD TRANSACTIONS FILE.  The weekly report will contain any invalid station master record transaction found in the computer edit of the weekly input transactions.  The monthly report will contain any station master record transaction that is rejected in the monthly update processing.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-15

USER LEVEL CHANGES/DELETES/ESTABLISHED FILES. The weekly report will contain any invalid User Level transactions found in the computer edit of the input transactions.

Destroy reports 2 years after close of fiscal year involved.

6-16

STATION MASTER RECORD CHANGES FILE. This report lists the acceptable station record changes processed during the accounting month.

Transfer to the FRC 3 years after close of fiscal year. Destroy 2 years thereafter.

6-17

MONTHLY VOUCHER SUMMARY REPORTS FILE. This report lists all acceptable documents processed during the accounting month in voucher number sequence.  Report provides number items and value by voucher number and summary totals by general ledger account.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-18

MONTHLY LISTING OF DIRECT ISSUE TRANSACTIONS FILES. This report provides a detailed listing of all direct issue transactions in voucher number sequence.

Destroy reports 2 years after fiscal year involved.

6-19

STORES STOCK TRANSACTION REGISTER FILES. This report provides a detailed listing of stock items that had activity during the month.  This report is the detailed stock record.  It identifies the actual postings to the records, i.e., due ins, receipts, issues, adjustments, reversals, etc.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-20

LISTING OF STORES STOCK INACTIVE ITEMS FILE. This report contains all stores stock items that did not have any acceptable transactions during the accounting month.  The report provides by item the number of months without any issues, Projected Average Monthly Issue Quantity (PAMIQ), months supply on hand, quantity on hand, inventory value and due in quantity.  Report is by Pharmacy, Subsistence, and All Other.

Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-21

REQUIREMENTS ANALYSIS REPORTS FILE. This report contains those items that are to be reviewed for possible order/purchase.  Items appear on this report when the stock status of the item is equal to or below the review point quantity, or when the action month modifier is equal to the accounting month.  Suggested order quantities contained on the report are based on the Economic Order Quantity (EOQ) Principle of Stock Replenishment.  Report is provided for Drugs, Subsistence, and All Other by Vendor Name.

Destroy reports 2 years after close of fiscal year involved.

6-22

STORES STOCK DUE IN REGISTER FILES. This report provides a listing in index number sequence of those items on order and not received.  A summary of due in values by Sub-Sub-Activity and General Ledger Account is provided at the end of the report.

Destroy reports 2 years after close of fiscal year involved.

6-23

MONTHLY COST REPORTS FILE. Provides current month and year-to-date values of storeroom receipts, storeroom issues and direct issues by sub-sub-activity and general ledger account.

Destroy reports 2 years after close of fiscal year involved.

6-24

STORES STOCK TRANSACTION REGISTER FILES. This report provides a detailed listing of stock items that had activity during the month.  This report is the detailed stock record.  It identifies the actual postings to the records, i.e., due ins, receipts, issues, adjustments, reversals, etc.

Destroy reports 2 years after close of fiscal year involved.

6-25

STATION MONTHLY SUPPLY SUMMARY DATA BY ACCOUNT FILES. Contains data on opening and closing inventory values, months supply on hand, receipt values, issue values, adjustment values, number and value of items with no issues, due in value, months supply due in, number documents processed, number line items processed, number and percent of storeroom requests that are partial filled and zero filled, etc.

Destroy reports 2 years after close of fiscal year involved.

6-26

SUPPLY EXPIRATION REPORTS FILE. This report lists those items that contain an expiration date of 4 months or less from the computer processing date.  Report is in index number sequence by Drugs, Subsistence, and All Other.

Destroy reports 2 years after close of fiscal year involved.

6-27

PHARMACY QUARTERLY INVENTORY LIST OF R AND N ITEMS FILE. Report lists those pharmacy items, account code 1, that contain a pharmacy code of R and N.  Report is provided as of March, June, September and December.

Destroy reports 2 years after close of fiscal year involved.

6-28

PRE-PRINTED ISSUE BOOK FILE. This report provides a tailor made issue book for each requisitioner.  Items will be listed in the issue book if there has been an issue to the user during the previous 12 months from the processing date of the books are provided for Drugs, Subsistence and All Other in index number sequence.

The issue book is part of the accountable supply records.  Transfer to the FRC 3 years after close of fiscal year.  Destroy 2 years thereafter.

6-29

CUPBOARD STOCK BIN LABELS FILE.  This report provides bin labels for the individual users cupboard stock storage area.  The bin label contains the Index Number, Unit of Issue, User Level, Description of the item, Area Code, Station Code, Sub-Station Code and User Code.

Destroy when no longer needed.

6-30

12 MONTHS PROJECTION OF STORES FUND REQUIREMENTS FILES.  This report provides a projection of funds required for each stock item during the current fiscal year.  The fund projection is based on the EOQ Principle of Stock Replenishment.  Report is processed in October.

Destroy reports 2 years after close of fiscal year involved.

6-31

15 MONTHS PROJECTION OF STORES FUND REQUIREMENTS FILES.  This report provides a projection of funds required for each stock item during the last quarter of the current fiscal year and for the next fiscal year.  The fund projection is based on the EOQ Principle of Stock Replenishment.  Report is processed in July.

Destroy reports 2 years after close of fiscal year involved.

6-32

STATION SUPPLY COST COMPARISON DETAIL LISTING FILES.  This report provides a comparison of the previous September’s closing unit cost, PAMIQ and annual cost to the current September’s closing unit cost, PAMIQ and annual cost of stock items.  New items added to stores stock during the year and those items that had a unit of issue change are not included on the report.  Report is processed in October.

Destroy reports 2 years after close of fiscal year involved.

6-33

PHYSICAL INVENTORY AND ITEM REVIEW LISTING FILES.  Listing of all items stocked.  Separate listings provided for Drugs, Subsistence and All Other in index number sequence.

Destroy reports 2 years after close of fiscal year involved.

6-34

PHYSICAL INVENTORY AND ITEM REVIEW LISTING FILES.  This report is the same as the one above, except this listing is further broken out by storage location code.

Destroy reports 2 years after close of fiscal year involved.

6-35

INVENTORY ANALYSIS DETAIL LISTING; REPORT NO. 40 – INVENTORY ANALYSIS BY EOQ MONTHS; AND REPORT NO. 41 – INVENTORY ANALYSIS OF LOW ACTIVITY ITEMS FILES.  These reports provide information on each stock item.  Information provided is description, average unit cost, on hand quantity, stock status quantity, annual issue quantity, usage Average Monthly Issue Quantity (AMIQ), master record PAMIQ, usage RPQ, master record RPQ, months stock status, annual issue value, Average Monthly Issue Value (AMIV), number of calls (issues), number of purchase orders (final receipts), EOQ months, etc.

Destroy reports 2 years after close of fiscal year involved.

6-36

STATION ALPHABETICAL CATALOG LISTING FILES. Reports provide an alphabetical listing of stock items by Drugs, Subsistence, and All Other.  Index number, description, unit of issue, average unit price, source code, vendor name, order number, date item established, account code, object and sub-object code, previous 12 months usage, PAMIQ, Pharmacy code and EOQ type code are contained on the report.  Provide copy of this report to requisitioner for their use as the stock catalog.

Destroy reports 30 days after receipt of new listing.

6-37

SUPPLY USAGE REPORT BY SUB-STATION FILES. This report is limited to those areas with centralized warehousing operations.  Report provides issue quantities by month for each sub-station and overall usage by month and total usage.  Report is provided by Drugs, Subsistence, and All Other.

Destroy report 30 days after receipt of new report.

6-38

ANALYSIS OF STOCK ITEMS BY VENDOR FILES.  Report provides a cross reference of items to vendor, projected usage, annual usage value, and totals by source codes.

Destroy reports when no longer needed.

6-39

SUPPLY USAGE DETAIL LISTING FILES.  Report provides each month’s issue quantity by user within a facility, allows for usage comparison between users, and will assist in reconciliation of inventory overages/shortages.

Destroy reports when no longer needed.

6-40

DETAIL USAGE REPORTS BY SUB-STATION FILES.  This report is the same as the one above, except data is further broken out by sub-station.

Destroy reports when no longer needed.

6-41

DATA EXCEPTION ANALYSIS REPORTS FILE.  Report lists those items that have data that need to be reviewed, verified, and/or updated.

Destroy reports when no longer needed.

SCHEDULE 5.  MANAGEMENT SERVICES

SECTION 7 - SECURITY
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

7-1

ACTIVITY JOURNAL FILES. Chronological records of daily activities, including outside police contacts.

Destroy 3 years after final entry.  General Records Schedule 18, Item 14a.

7-2

OFFENSE FILES. Results of preliminary and all investigative material concerning complaints from specific offenses committed.

Destroy 3 years after date of offense.  General Records Schedule 18, Items 14a & 14b.

7-3

LOST AND FOUND FILES. Reports, loss statements, receipts, and other papers relating to non-IHS lost and found articles.

Cut off at close of fiscal year.  Destroy 1 year after cutoff.  General Records Schedule 18, Item 15b.

7-4

PROPERTY TAG RECEIPT FILES. Records and receipts for all property taken into custody for safekeeping.

Destroy when 1 year old.

7-5

CRIME REPORTS FILE. Monthly record of crime and misconduct incidents, property loss and damage occurrences.

Destroy after 2 years.  General Records Schedule 18, Items 14b, 15a & 15b.

7-6

IDENTIFICATION FILES.  Building and visitor passes, employee identification cards, credentials, applications, listings, and similar records.

Destroy 3 months after returning to issuing office.  General Records Schedule 11, Item 4a.

7-7

VISITOR CONTROL FILES.  Registers or logs used to record names of outside contractors, service personnel, visitors, employees admitted to areas, and reports on automobiles and passengers.

a. For areas under maximum security.

b. For other areas.

General Records Schedule 18, Item 17.

a.  Destroy 5 years after final entry.

b.  Destroy 2 years after final entry.

7-8

KEY ACCOUNTABILITY FILES.  Files relating to accountability for keys issued.

a. For areas under maximum security.

b. For other areas.

General Records Schedule 18, Item 16.

a.  Destroy 3 years after key is turned in.

b.  Destroy 6 months after key is turned in.

7-9

INVESTIGATIVE FILES.  Files accumulated from investigations of fires, explosions and accidents, consisting of retained copies of reports and related papers when the original reports are submitted for review and filing in other agencies or organizational elements, and reports and related papers concerning occurrences of such a minor nature that they are settled locally without referral to other organizational elements.  Also includes crime prevention analyses.

Destroy when 2 years old.  General Records Schedule 18, Item 11.

7-10

SECURITY VIOLATION FILES.  Papers relating to investigations of alleged security violations, and also those of a sufficiently serious nature to be classified as felonies.  Included are investigative reports and related papers.  Excludes papers placed in OPFs.

Cut off at close of fiscal year in which final action is taken.  Transfer to the FRC 5 years after cutoff.  Destroy 20 years after cutoff.  General Records Schedule 18, Item 24.

7-11

PROPERTY PASS FILES.  Documents authorizing removal of property or materials.

Cut off after expiration or revocation.  Destroy 3 months after cutoff.  General Records Schedule 18, Item 12.

7-12

SAFETY SURVEYS AND SECURITY INSPECTION CASE FILE.  Reports documenting the surveys, inspections, and follow up thereof of IHHS facilities conducted to ensure the adequacy of protective and preventive measures taken against hazards of fire, explosions, and accidents, and to safeguard information and facilities against vandalism, sabotage, and unauthorized entry.

Government-owned facilities.

Destroy when 3 years old, or upon discontinuation of facility, whichever is sooner.  General Records Schedule 18, Item 9.

Cut off at close of fiscal year.  Destroy 3 years after cutoff, or upon discontinuation of facility, whichever is sooner.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 8 – TRAVEL AND TRANSPORATION
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

8-1

PASSENGER TRANSPORATION (INDIVIDUAL) RECORDS FILE. The issuance office memoranda copies of transportation requests, travel authorizations, transportation request registers and all supporting papers, relating to official travel.  This standard applies to records maintained in accounting office.  See Schedule VI, Items 1-6 and 1-7 for travel files maintained in other offices for administrative purposes.

Cut off at close of fiscal year.  Destroy 3 years after cutoff. General Records Schedule 9, Item 1a.

8-2

PASSENGER TRANSPORTATION (CARRIER) RECORDS FILE.  Documents reflecting payments to carriers, consisting of memoranda copies of vouchers and all supporting documents.

Cut off at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 9, Item 3a.

8-3

FREIGHT RECORDS (CARRIER) FILES.  Memoranda copies of vouchers, memoranda copies of bills of lading, and related supporting papers.

Cut off at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 9, Item 1b.

8-4

TRANSPORTATION REQUEST ACCOUNT- ABILITY RECORDS FILES.  Records documenting the issuance or receipt of accountable papers involved in travel and transportation functions, such as SF 1120.

Destroy 1 year after all entries are closed.  General Records Schedule 9, Item 4b.

8-5

BILLS OF LADING REGISTER FILES. Registers used to account for bills of lading.

Destroy 3 years after final entry.  General Records Schedule 9, Item 1b.

8-6

GOVERNMENT LOSSES IN SHIPMENT ACT FILES. Freight records relating to the Government Losses in Shipment Act consisting of schedules of valuables shipped and other related papers.

Cut off at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 9, Item 2.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 9 - FACILITIES MANAGEMENT
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

9-1

BUILDINGS, GROUNDS AND EQUIPMENT PLANS FILES. Blueprints, drawings, maps, photographs, other plan specifications, tracings, and related material.

Destroy equipment and blueprints, drawings, etc., that have not been transferred to the new custodians upon removal, sale or replacement of the equipment or utility plant.

Transfer to the Office of the Director for Construction, upon deactivation of the facility, all maps, plans, blueprints, drawings, etc., pertaining to buildings and land.

9-2

BUILDING AND STRUCTURE RECORDS FILE.

Destroy old cards when replaced by new cards.

Destroy cards when buildings and structures have been removed, sold, or demolished.

9-3

MORGUE INSPECTION FILES. Morgue inspections, daily records of morgue refrigerator temperatures; temperature charts or graphs, weekly morgue inspection reports and related material.

 

Destroy after 3 months.

9-4

QUARTERS APPRAISAL FILES.  Quarters appraisal record and related material.

Destroy 1 year after quarters have been appraised.

9-5

CONSTRUCTION CONTRACT FILES.  (Copies).  Abstracts of bids opened, applications for construction projects, award memoranda, change orders, contract information sheets, final inspection reports, final settlement recommendations, letters of acceptance, miscellaneous memoranda regarding modifications, shop drawings, specifications, delays, extensions of time, final settlements, guarantee expiration date, etc., notice to proceed, photographs, progress reports and charts, reports of guarantee inspections, requests for determination of wage rates, schedules of cost, shop drawings, specifications, and related material.  Official facility contract records are maintained in Supply Service.

Cut off file at close of fiscal year in which terminated.  Hold for 3 years and transfer to the Office of Facility Management for extraction of useful material and for disposal of non-useful material.

9-6

MAINTENANCE AND REPAIR CONTRACT FILES.  Abstracts of bids opened, award memoranda, change orders, contracts, contract information sheets, final inspection reports, final settlement recommendations, letters of acceptance, miscellaneous letters and memoranda regarding modifications and specifications, delays, extensions of time, final settlements, guaranty expiration dates, etc., notices to proceed, photographs; progress reports, charts, reports of guaranty inspections, requests for determination of wage rates, schedules of costs, specifications and related material.

Cut off file at close of fiscal year in which terminated.  Hold for 3 years, then transfer to the Office of Facility Management for extraction of useful materials and for disposal of non-useful material.

9-7

MAINTENANCE AND REPAIR WORK ORDER FILES.  Maintenance and repair log books, work orders, job performance records and related material.

Destroy 3 years after the close of the fiscal year in which the project was completed.

9-8

SERVICE CONTRACT FILES.  Abstract of bids opened, award memoranda, change orders, contract information sheets, reports of inspection and related material.

Destroy 3 years after the close of the fiscal year in which terminated.

9-9

SAFETY AND FIRE PREVENTION FILES.  Minutes of safety meetings, reports of unhealthy and unsafe conditions, report of periodic fire drills, reports of training activities, facility safety and fire protection inspection reports, tests of fire alarm circuits, device and equipment and other related material.

Destroy after 3 years.

9-10

FEDERAL OCCUPATION INJURIES AND ILLNESS FILES.  Federal occupational injuries and illnesses log.

Destroy after 5 years following the year to which they relate.

9-11

ACCIDENT INJURY, OCCUPATIONAL ILLNESS OR FIRE REPORTS FILE.  Reports of accident, injury, occupational illness, or fire.  Summary reports or logs of Federal occupational injuries or illness.  Employee requests for workplace inspection, occupational safety and health inspection reports and related material.

Destroy when 5 years old.  (Disposal suspended per GSA Federal Personnel Manual Regulations (FPMR) Bulletin B-136, March 21, 1984.)

9-12

INSPECTION REPORTS AND TEST FILES.  Inspection of emergency lighting equipment, batteries and charging equipment, laundry washer service test for facility laundry, machine and/or air conditioning plant inspection reports of lubricating, inspections, cleaning and adjusting elevators, tests of flame failure controls, thermostatic value inspection records, and other inspection reports and tests.

Destroy after 3 years.

9-13

LAUNDRY MACHINE MAINTENANCE RECORDS FILE.

Destroy after 3 years.

9-14

OPERATING LOG FILES.  Boiler water treatment logs, daily boiler plant log sheets, daily operation logs of swimming pool and other equipment.

Destroy after 3 years.

9-15

PHYSICAL RECORD CARDS FILE.  Boiler plant equipment record cards, electrical distribution and equipment records, emergency stands by light and power out records, mechanical equipment records for main generating plant, miscellaneous boiler plant equipment record cards and continuation sheets, motor generator and transformer records of hot water storage tanks, shop equipment record cards and other equipment.

Destroy after administrative value ends.

9-16

PHYSICAL RECORDS INFORMATION FILE.  Records of air conditioning plants, room coolers, refrigerator plants, sewage disposal, swimming pools, water supply treatment, and other equipment.

Destroy after administrative value ends.

9-17

RECORDING CHARTS FILES.  Recording charts used to record and measure temperature, humidity, steam flow, and efficiency of combustion, etc.

Destroy after 1 year.

9-18

LABOR JOB TIME CARDS FILE.  Labor job time cards used as source document to input data on magnetic media for conversion to human-readable information.

Destroy after 3 months and after verification of data on magnetic media.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 10 - HOUSEKEEPING
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

10-1

CONTRACT FILES.  Copies of contracts of items or services procured for Building Management.

NOTE:  This is a copy of the official file maintained in Supply Service.

Destroy after administrative value ends.

10-2

PEST MANAGEMENT PLAN FILES.  Copies of pest management plans and attachments.

Destroy after administrative value ends.

10-3

PEST MANAGEMENT CERTIFICATION FILES.  Copies of certifications of the Chief, Assistant Chief, Hospital Housekeeping Assistants, and Pest Controllers.

Destroy after administrative value ends.

10-4

PEST MANAGEMENT RECORDS FILE.  Copies of IHS forms on pesticides usage.

Destroy after 2 years.

10-5

GROUNDS MANAGEMENT FILES.  Copies of schedules, and procedures and methods of grounds maintenance activities.

Destroy after administrative value ends.

10-6

SANITATION PROCEDURES FILES.  Sanitation procedures, cleaning and maintaining special areas, such as operating rooms, and isolation wards, etc.

Destroy after administrative value ends.

10-7

SANITATION STANDARDS FILES.  Quality standards for sanitation, work rate standards by method and procedure; time studies of various methods of accomplishments; i.e., machine versus hand methods, etc., and filed material.

Destroy after administrative value ends.

10-8

SANITATION MAINTENANCE FILES.  Copies of records of draperies cleaned, floors stripped and refinished, etc.

Destroy after 2 years.

10-9

BED SERVICE OPERATION FILES. Copies of schedules, procedures and methods of bed services, and records of services performed.

Destroy after 1 year or after being replaced by new procedures.

10-10

GLAZING MAINTENANCE OPERATION FILES. Copies of schedules, procedures and methods of window washing, and records of services performed.

Destroy after 1 year or after being replaced by new procedures.

10-11

WASTE MANAGEMENT OPERATION FILES. Copies of schedules, procedures of waste collection and disposition, and records of services performed.

Destroy after 1 year or after being replaced by new procedures.

10-12

LAUNDRY OPERATIONS FILES. Copies of laundry agreements, production requirements, and schedules.

Destroy after 1 year or after being replaced by new procedures.

10-13

LINEN QUOTA FILES.  Records of linen quotas for each using ward/floor.

Destroy after administrative value ends.

10-14

LINEN INVENTORY FILES.  Records of linens on hand by type and number.

Destroy after administrative value ends.

10-15

LINEN REPLACEMENT FILES.  Records of salvaged linens, and copies of requisitions for replacement.

Destroy after 1 year.

10-16

UNIFORM RECORDS FILE.  Records of uniforms issued to employees.

Destroy after employee separates.

10-17

BENEFICIARIES EFFECTS AND VALUABLES AUDIT FILES.  Records of audits of effects, valuables, Government-issued clothing and other incidentals.

Destroy after completion of subsequent audit and after discrepancies have been resolved.

10-18

LOCKER ASSIGNMENT FILES.  Records of locker assignments showing location by building, room, and locker number.

Destroy when locker is relinquished.

10-19

SPACE SPECIFICATION FILES.  Records of furniture, draperies, floor and wall coverings, color scheme, accessories, etc.; location, size and functional use of room/corridor.

Destroy after administrative value ends.

10-20

SIGNAGE SPECIFICATION PLAN FILES.  Records of signage and graphics, both interior and exterior.

Destroy after administrative value ends.

10-21

INTERIOR DESIGN PLAN FILES.  Copies of design/signage plans and scheduled.

Destroy after administrative value ends.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 11 – REAL PROPERTY
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

11-1

SPACE ALLOCATION AND UTILIZATION FILES.  Documents created or maintained by the IHS Headquarters and Areas responsible for the allocation, use and release of building space.  Included are requests for space, records of assignments, reports, surveys, records used for internal space planning, requests for adjustments, and space layouts.

Cut off at close of fiscal year in which assignment is terminated, leased, canceled or when plans are superseded or become obsolete.  Destroy 2 years after cutoff.  General Records Schedule 11, Item 2a.

11-2

WORK REQUESTS FOR BUILDING MAINTENANCE FILES.  Request forms or work orders for building maintenance work.

Cut off after work is performed or requisition canceled.  Destroy 3 months after cutoff.

11-3

SPACE REPORTING FILES.  Documents related to reporting agency space requirements and holdings.

a. Reports submitted to General Services Administration.

b. Other reports and related work papers.

a.  Cut off at close of fiscal year.  Destroy 2 years after cutoff.  General Records Schedule 11, Item 2b(1).

b.  Cut off at close of fiscal year.  Destroy 1 year after cutoff.  General Records Schedule 11, Item 2b(2).


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 12 – PERSONAL PROPERTY
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

12-1

EQUIPMENT TECHNICAL MANUALS AND OPERATING INSTRUCTIONS FILES.  Parts lists, installation and maintenance instructions. 

Destroy when superseded or obsolete, or when related equipment is retired.

12-2

EMPLOYEE PROPERTY ISSUE FILES.  Card files documenting property and equipment charged out to personnel, including employee receipts.

Destroy when new card is made provided item has been returned.

12-3

REQUISITION FILES.  Documents showing evidence of requisition, issuance, delivery, and receipt of supplies, equipment, and services.

Cut off at close of fiscal year.  Destory 2 years after cutoff.

12-4

PROPERTY RECORD RECEIPT FILES.  Copies of purchase orders maintained as property receipt records.

Cut off at close of fiscal year.  Destroy 2 years after cutoff.

12-5

CATALOG LISTINGS FILES.  Files pertaining to catalog listings (expendable and nonexpendable).

Destroy 1 month after new catalog is issued.

12-6

PROPERTY TRANSMITTAL AND CODING SHEETS FILES.  Papers used to document and control the acquisition, transfer, loan, and disposition of nonexpendable property.

Cut off at close of fiscal year.  Destroy 1 year after cutoff.

12-7

INVENTORY LISTS FILES.  Inventories of capitalized and controlled property assets and property on loan.

Cut off when superseded by a new or revised inventory.  Destroy 2 years after cutoff.

12-8

INVENTORY CONTROL CARDS FILES.  Inventory control cards used for stock control.

Place in inactive file upon disposition or transfer of property.  Cut off at close of fiscal year.  Destroy 2 years after cutoff.

12-9

PROPERTY CLAIM FILES.  Reports and other documents relating to the damage, loss, or theft of property.

a. Reports involving pecuniary liability.

b. All other reports.

a. Place in inactive file upon completion of final action.  Cut off inactive file at close of fiscal year.  Transfer to the FRC after 3 years when volume warrants.  Destroy 10 years after cutoff.

b. Place in inactive file upon completion of final action.  Cut off inactive file at close of fiscal year.  Destroy 3 years after cutoff.

12-10

EXCESS PERSONAL PROPERTY FILES.  Reports of excess personal property and reports of the transfer of excess personal property.

Cut off at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 4, Item 2.

12-11

ELECTRIC ACCOUNTING MACHINE (EAM) CARDS.  EAM property transactions used for update of accountable records and supporting EAM cards.

Destroy 2 months after successful transfer to magnetic tape.  Destroy used transaction cards 1 year after update of property records.  Destroy 1 year after inactivity on other supporting EAM cards.

12-12

AUTOMATIC DATA PROCESSING (ADP) REPORTS FILES.

a. Property Accountable records, including expendable and non-expendable transaction registers and property voucher summaries.

b. Supporting reports, including Property Management Edit Lists (NX), Reconciliation and Locator Lists (NX), equipment Replacement Lists (NX), and other related listings and reports.

a. Destroy 5 years after close of fiscal year.  Transfer to the FRC 3 years after close of fiscal year involved. 

b. Destroy 2 years after close of fiscal year involved.

12-13

PROPERTY VOUCHER FILE AND REGISTER.  Contains the property voucher register and property management documents assigned a voucher number, maintained in property voucher sequence, that support entries printed on the accountable transaction register and Property Voucher Summary for the accounting period.

Transfer to the FRC 2 years after close of fiscal year involved.  Destroy 4 years thereafter.

12-14

EXCESS PROPERTY FILES.  Circularization route sheets, combination requisition and shipping tickets, excess property lists, notification of excess personal property, reports of utilization and disposal of personal property and other related materials.

Destroy 1 fiscal year after disposition action has been completed.

12-15

EXCESS PERSONAL PROPERTY (SF 120) REPORTS FILE.

Destroy after 3 years.

12-16

EQUIPMENT MAINTENANCE AND REPAIR RECORDS FILES.  Reports of periodic inspections and repair of equipment and related materials.

Destroy 3 months after release of equipment or machine by IHS.

12-17

INVENTORY OF EQUIPMENT FILES.

a. Inventory listings.

b. Report of survey files and other papers used as evidence for adjustment of inventory records not otherwise covered in this Records Disposition Schedul

a.  Destroy 2 years from date of list.

b.  Destroy 2 years after date of survey action or date of posting medium.

12-18

MOTOR VEHICLE REPORTS FILES.

a. Accident reports.

b. Maintenance reports.

c. Operating report.

d. Other vehicle reports.

a.  Cut off at close of fiscal year in which case is closed.  Destroy 6 years after cutoff.  General Records Schedule 10, Item 5.

b.  Cut off at close of fiscal year.  Destroy 1 year after cutoff.  General Records Schedule 10, Item 2b.

c.  Cut off at close of fiscal year.  Destroy 3 months after cutoff.  General Records Schedule 10, Item 2a.

d.  Cut off at close of fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 10, Item 4.

12-19

VEHICLE RELEASE FILES.  Documents accumulated in the transfer, sale, donation, or exchange of motor vehicles.

Cut off when the vehicle leaves the Agency.  Destroy 4 years after cutoff.  General Records Schedule 10, Item 6.

12-20

OPERATOR TRIP REPORT FILES.  Daily Vehicle Usage/Inspection Reports, relating to motor vehicle trips.

Cut off at close of fiscal year.  Destroy 1 year after cutoff.

12-21

MOTOR VEHICLE AND NON-IHS EMPLOYEE ACCIDENT INVESTIGATION FILES.  Documents accumulated in reporting, investigating, and documenting motor vehicle accidents and personal injuries to non-IHS employees.

Place in inactive file upon final action.  Cut off inactive file at close of fiscal year.  Destroy after 6 years.  General Records Schedule 10, Item 5.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 13 – QUARTERS MANAGEMENT PROGRAM
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

13-1

RESERVED

 

SCHEDULE 5. MANAGEMENT SERVICES

SECTION 14 – BIOMEDICAL ENGINEERING
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

14-1

EQUIPMENT FILES.

a. Service contracts and work orders.

b. Equipment inventories and historical records, automated systems, preventive maintenance procedures, logs, equipment acquisition requests, and equipment surveys.

a.  Maintain at Service Unit location where equipment is housed.  Maintain for the life of the equipment and 5 years thereafter.  After the equipment is superseded or no longer needed for operations, transfer to the FRC for 10 years; then destroy.

b.  Transfer to the FRC when superseded or when no longer needed for operations.  Destroy 10 years thereafter.

14-2

CONSULTING/TRAINING FILES.

a. Documents pertaining to operator education and in-service training.

b. Professional/technical consultation, and guidance on equipment control functions.

a. Retain personnel training files 3 years, then destroy.

b. Retain until administrative value ends, then destroy.

14-3

RESOURCE MANAGEMENT.  Documents dealing with program budget/funding, staffing and positions, funding for training requirements (American Hospital Association (AHA), Joint Commission on Accreditation of Healthcare Organizations (JCAHO), Veterans’ Administration (VA), Association for Advancement of Medical Instrumentation (AAMI) and agency programs).

Retain for 5 years, then destroy.

14-4

TECHNICAL LIBRARY.  Federal and professional codes and standards issued on a regular basis.  These are updated when superseded.

Maintain current material as issued.  Destroy outdated copies.


SCHEDULE 5. MANAGEMENT SERVICES

SECTION 15 – RECORDS MANAGEMENT
ITEM NO. TITLE AND DESCRIPTION OF RECORD DISPOSITION AUTHORITY

15-1

RECORDS LIAISON OFFICER DESIGNATIONS FILE.  Documents reflecting name and information about individuals designated to perform records management duties in specific organizational entities of IHS.  Includes designations for directives management officers, records liaison officers, forms liaison representatives.  Maintained in IHS Headquarters Office with primary responsibility for records management.

Destroy when superseded by a new designation or when obsolete.

15-2

DIRECTIVES (ISSUANCE) CASE HISTORY FILES.  Includes the official file copy and supporting documents of each IHS internal or external directive or instruction.  Directives include Director’s memoranda or administrative bulletins, policy circulars, manuals, advice memos, staff counsel guides, etc.  Supporting documents include material relating to the preparation, clearance, publication, and distribution of the directive.  Arranged by name of directive and thereunder by directive number.

a. Record copy.

b. Supporting documents.

a.  PERMANENT Place in inactive file when canceled or superseded.  Transfer to the FRC when no longer needed for reference and sufficient volume has accumulated.  Offer to the NARA 20 years after transfer in 5-year blocks.

b.  Destroy 2 years after issuance.

15-3

RECORDS MANAGEMENT PROJECT FILES.  Documents including reports, correspondence, authorizations, proposals, studies, and other papers relating to the development and implementation of programs to improve the management of records.  Includes forms, reports, directives, correspondence, mail, microfilm, Automatic Data Processing (ADP) and related records management papers.

Place in inactive file when project is closed.  Destroy 2 years after the project is closed.

15-4

FORMS MASTER FILES.  A collection of forms used to assist in taking forms management actions such as determining whether new forms should be developed and approved and whether existing forms should be consolidated or replaced by other forms.  Included are copies of each form used within the Area served by the Forms Management Office.

Destroy upon supersession or discontinuance of form.

15-5

FORMS HISTORICAL FILES.  History files containing copies of each form and revision, requests for approval and justification, copies of prescribing directives, clearances, reprint authority and related correspondence.

Place in inactive file when form in superseded or becomes obsolete.  Cut off inactive file at the close of the fiscal year.  Destroy 3 years after cutoff.  General Records Schedule 16, Item 3a.

15-6

FORM REGISTERS FILES.  A register or card system used to record and control assignment of form numbers.

Destroy individual register sheets when all forms entered thereon are canceled, superseded, or transferred to new sheet or when no longer needed.

15-7

RECORDS DISPOSITION AUTHORIZATIONS FILE.  Documents created only by the IHS Records Management Office in requesting authority from NARA for the disposal of records.  Included are SF 115, Request for Records Disposition Authority; SF 135, Records Transmittal and Receipt; SF 258, Request to Transfer, Approval and Receipt of Records to National Archives of the United States; or similar forms, correspondence, and related papers.

Destroy when related records are destroyed, or transferred to the NARA or when no longer needed for administrative or reference purposes.  General Records Schedule 16, Item 2a.

15-8

RECORDS RETIREMENT LISTS FILE.  Papers maintained by the IHS Records Management Officer in Headquarters and the Records Liaison Officer in the Area Offices, documenting the retirement of records to the FRCs or similar storage areas.  Included are SF 135’s or similar lists and related papers.  (NOTE:  A record copy of these documents is retained by the IHS Records Management Officer in Headquarters and by the Records Liaison Officer in the Area Offices.)

Destroy when related records are destroyed or when no longer needed for reference, whichever is sooner.

15-9

FILES MAINTENANCE AND DISPOSITION PLANS FILES.  Documents of files maintenance and disposition plans, which reflect file categories, disposal instructions, and other information about the files accumulated in individual file stations.  This series is maintained by the IHS Records Officer.  Individual office file copies are maintained under Schedule 1, Item 6-1.

Cut off at close of fiscal year in which reports are discontinued.  Destroy 2 years after cutoff.

15-10

RECORDS HOLDINGS FILE.  Statistical reports of Agency records holdings, including feeder reports from all IHS offices and data on the volume of records disposed of by destruction or transfer.

a. Records held by the IHS Records Officer.

b. Records held by other offices.

Destroy upon receipt of revised plan.

a.  Destroy when 3 years old.  General Records Schedule 16, Item 4a.

b.  Destroy when 1 year old.  General Records Schedule 16, Item 4b.

15-11

REPORTING REQUIREMENTS REGISTER FILES.  Documents used for perpetual inventory of all reports issued under the reports management system.  Included are cards, register sheets, catalogs, and similar documents.

Withdraw and place in an inactive file on discontinuance of the reporting requirement or on revision of the reports control symbol.  Cut off the inactive file at the end of the fiscal year, then destroy when no longer needed for controlling the assignment of new reports control symbols.

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