1-1

NOTE:  WITH THE EXCEPTION OF ITEM 1-1 OF THIS SECTION, THE DISPOSITION INSTRUCTIONS FOR RECORDS RELATING TO INFORMATION SERVICES, OR CREATED IN ADMINISTERING THE FREEDOM OF INFORMATION ACT (FOIA) AND THE PRIVACY ACT MAY BE FOUND UNDER GENERAL RECORDS SCHEDULE 14.  DISPOSITION INSTRUCTIONS FOR ADMINISTRATIVE TORT CLAIMS MAY BE FOUND IN GENERAL RECORDS SCHEDULE 6.

FOIA REPORTS FILE.  Recurring reports and one-time information requirements relating to the implementation of the FOIA.

a. Annual Agency-wide Reports.  Records Copy (Office of Record) is HQ FOIA Officers.

b. All other reports and all other copies.

a. PERMANENT. Cut off at close of year during which report was created.  Transfer to the FRC when 5 years old.  Transfer to the National Archives when 15 years old in 5 year blocks.

b. estroy when 2 years old. GRS 14/14

2-1

UTILIZATION REVIEW COMMITTEE FILE.  A facility-wide standing committee for inpatient facilities only.  It establishes a formal plan to maintain the highest possible quality of health services by routine audits of medical records to determine if medical care, and utilization of the facility are appropriate.

NOTE:  Records of the Committee Chair should be disposed of in accordance with the provisions of Schedule 1, item 6-3.  Record copy is permanent.

Cut off annually.  Transfer to the FRC when 3 years old.  Destroy when 6 years old.

2-2

MEDICAL APPRAISAL COMMITTEE FILE. Minutes of committee meetings which are maintained at the Service Unit and the Area Office.  These files are for general reference and retrieval purposes.

NOTE:  Records of the Committee Chair should be disposed of in accordance with the provisions of Schedule 1, item 6-3.  Record copy is permanent.

Cut off annually.  Transfer to the FRC when 3 years old.  Destroy when 6 years old.

2-3

STANDARD FOR AN IHS INPATIENT FACILITY FILE.  Criteria to determine the need for IHS to construct a new inpatient facility or to continue providing inpatient services at an existing facility.

Reevaluation of adequacy of existing facility.

Cut off when superseded or obsolete.  Destroy when 6 years old.

3-1

POPULATION STATISTICS FILE.  Population estimates and projects for American Indians and Alaska Natives.  It contains county data for the reservation states (33 states in FY 1989).  Input data consists of the latest decennial census data and annual post-census counts of births and deaths.  Output is in the form of a computer file (zoned decimal) and hard copy printouts for fiscal years 1980-2010.

a. Computer printouts.

b. Hard copy estimates from decennial censuses.

c. Intercensus annual estimates.

a. Destroy after next update.

b. Destroy when 20 years old.

c. Destroy when 10 years old.

3-2

PATIENT CARE DATA FILE.  Inpatient hospital stays and outpatient visit records, compiled for every stay and visit at IHS-operated direct and contract facilities.  Data from some tribally-operated direct and contract facilities are also collected.

a. Automated file and microfilm.

b. Computer printouts.

a. PERMANENT.  Transfer to the National Archives in accordance with instructions for transfer of electronic records.

b.  Cut off at close of fiscal year.  Destroy when 1 year old.

3-3

VITAL EVENTS DATA.  These are birth, death, and fetal death records furnished annually since 1955 to IHS by the Division of Vital Statistics, National Center for Health Statistics (NCHS), Centers for Disease Control (CDC), and the Public Health Service (PHS).  American Indian and Alaska Native births and deaths occurring throughout the entire United States are included in the files.  Birth and death files are assembled in flat file as well as Statistical Analysis System (SAS) data set format for calendar year 1972 and thereafter.  Since 1972, for 35 selected counties and the entire state of Alaska, special geographic codes are added to the records by the NCHS.  These codes permit the identification of smaller communities for place of residence and occurrence and the aggregation of data to the IHS Service Unit level.

a. Automated files and microfilms.  Summary cross tabulations and hand posted data summaries.

b. Computer printouts.

a.  PERMANENT.  Transfer to the National Archives in accordance with instructions for transfer of electronic records.

b.  Cut off at the close of the fiscal year. Destroy when 10 years old.

4-1

RESOURCE REQUIREMENTS METHODOLOGY (RRM).  Resource requirements are projections for IHS Service Units at least every 3 years.  The file contains Service Unit needs projections by RRM module and budget activity for IHS Service Units.

a. Computer Files.

b. Printouts.

a. Destroy when 10 years old.

b. Destroy when 10 years old.

4-2

RESOURCE ALLOCATION METHODOLOGY (RAM).  Level of Need Funding (LNF) and funding distributions are estimated for IHS Areas at least every 3 years.

a. Computer Files.

b. Printouts.

a. Destroy when 10 years old.

b. Destroy when 10 years old.

4-3

PROGRAM PLANNING FILES.  Strategic planning - these are files related to the development and initiation of strategic planning activities within IHS beginning with the FY 1990 Objective which states:

A strategic plan which will be developed by the IHS to formulate planning strategies that support the long-term goals of IHS and enhance the present and future outcomes in:

-Management Quality

-Organizational Structure

-Health Status

-Indian Self-Determination

a. Files by subject activity.

b. Computer printouts.

a. Update annually.  Destroy when 1 year old.

b. Destroy after next update.

4-4

STAFFING PROJECTIONS FILE.  Staffing requirements are projected for new/replacement facilities at time of facility replacement.  The file contains staffing projections, available positions, and program services by RRM modules and budget activity for IHS replacement facilities.

Destroy when no longer needed.

4-5

AREA DATA PROFILES.  Contain demographics (population, Tribes, and tribal membership), geographic and topographic features, descriptions of the Area Health Care Delivery System for each tribe in the 12 Areas and the morbidity and mortality data for each Service Unit.

Destroy when obsolete.

4-6

HEALTH SERVICES PRIORITY SYSTEMS DATA FILE.  A system of records for IHS Service Units and tribal delivery systems has been synthesized.  One record for each delivery unit and one record per Area were created.  The variable include tabulations of users from item 3-2, service eligible data, and available funding information.  These variables are used in developing cost estimates of unmet need for each Unit.  The data base is then used in allocating Indian Health Care Improvement Funds according to prescribed formulas held by law.  All data comes from information held at Area and HQ IHS offices.

a. Automated file.

b. Computer printouts.

a. PERMANENT. Transfer to the National Archives in accordance with instructions for transfer of electronic records.

b. Destroy when 5 years old.

5-1

TRIBAL HEALTH PROGRAMS FILE. Correspondence, policies, advisories, administrative procedures, guidelines, profiles, proposals, and reports, etc. concerning tribal and Indian self-determination issues.

a. Tribal Health Program correspondence, including record set of policy materials, advisories, profiles, and reports, maintained at the division level or above in IHS Headquarters or at the Area Office level.  Also, includes same documentation maintained by the Service Unit Director.

b. Tribal Health Program correspondence not covered by (a) above.

a. PERMANENT. Cut off file at the close of the fiscal year.  Transfer to the FRC in 5 year blocks when 5 years old (e.g, 1990-94 records will be transferred in 1999).  Transfer to the National Archives when 20 years old.

b. Cut off annually.  Destroy when 6 years old.  Transfer to the FRC is authorized.

5-2

CONTROLLED CORRESPONDENCE FILE. Correspondence in connection with IHS program operations filed by IHS Area Offices and the Office of Health Program Research and Development.  Records contain the Office of Tribal Activities (OTA) controlled resolutions and correspondence with either Indian Tribal Governments, Indian Health Boards, and/or other Indian Organizations.  This IHS program operations information is filed under each appropriate Area Office and the Office of Health Program Research and Development.  Includes regular correspondence and controlled correspondence (DHHS) with Federal agencies and is filed by the appropriate IHS Area Office and the Office of Health Program Research and Development.

Transfer to the FRC 3 years after administrative value ends.  Destroy when 6 years old.

5-3

TRIBAL MEETINGS AND MINUTES.  The record copy files maintained in the Offices of Tribal Activities, Headquarters, and the Area Director in the areas for general reference and retrieval purposes.  Such files do not constitute a complete record of related activities, but merely document the various tribal meetings and minutes.

PERMANENT. Cut off annually.  Transfer to the FRC in 5 year blocks when 5 years old (e.g. transfer 1990-94 block in 1999). Transfer to the National Archives when 20 years old.

6-1

INDIVIDUAL EMPLOYMENT TRAINING FILE. Documents accumulated to record progress of individual employees participation in a formal professional, technical, or clerical training program.  Included are evaluations, correspondence, and other papers showing progress of trainees.

Place in an inactive file upon completion of program.  Cut off inactive file at the close of fiscal year. Destroy when 5 years old.

GRS 1/29b

6-2

TRAINING REPORT FILE.  Documents reflecting annual and special training completed Agency-wide.

Cut off at close of fiscal year.  Destroy when 5 years old or after OPM review, whichever is sooner.

GRS 1/29a

6-3

CAREER DEVELOPMENT FILE.  Documents maintained on specific employees to record planned career development or progression.

Cut off at close of fiscal year.  Destroy when 5 years old or after OPM review, whichever is sooner.

6-4

INDIVIDUAL TRAINING CERTIFICATE FILE. Documents accumulated to record individual employee participation in professional, technical, or clerical training, course or program.  Filed in individual folders at Division of personnel.

Cut off on transfer or separation of the employee.  Destroy when 1 year old.

6-5

TRAINING COURSES AND PROGRAMS FILE. Documents accumulated in establishing and conducting training programs and courses, and in negotiating with OPM, other Federal agencies, and nongovernmental organizations for the establishment and provision of training programs and courses.  Includes contracts, records of meetings and discussions, announcements of training courses, course outlines and tests, handout material, and instruction sheets.

Destroy when 5 years old.

6-6

TRAINING BACKGROUND AND WORK PAPER FILE.  Papers related to establishment and operation of training courses and conferences.

Cut off annually.  Destroy when 3 years old. 

GRS 1/29a(2)

7-1

MEETINGS OF THE COUNCIL OF AREA AND ASSOCIATE DIRECTORS FILE.  Correspondence and materials in preparation for the quarterly meeting of the Council.  Includes notices of the meetings, follow-up activities, action items, materials prepared for and distributed at the meetings along with agendas.

PERMANENT.  Cut off annually.  Transfer to the FRC when 3 years old.  Transfer to the National Archives when 20 years old.

7-2

MINUTES OF THE COUNCIL OF AREA AND ASSOCIATE DIRECTORS FILE.  The minutes of the Indian Health Service Council of Area and Associate Directors documents the proceedings of administrative Agency decisions.

PERMANENT.  Cut off annually.  Transfer to the FRC when 3 years old.  Transfer to the National Archives when 20 years old.

FOR INFORMATION ON RECORDS CREATED IN ACCORDANCE WITH THE EQUAL EMPLOYMENT OPPORTUNITY PROGRAM, CONSULT GENERAL RECORDS SCHEDULE NO. 1, ITEMS 25a-h.

9-1

QUALITY ASSURANCE MINUTES AND REPORTS FILE.  These files are maintained by the Office of Quality Assurance for general reference purposes.  The files do not constitute a complete record of related activities, but merely document the various Quality Assurance minutes and reports.

Cut off at the close of fiscal year.  Destroy when 3 years old.

9-2

ORGANIZATION AND MEDICAID FILE.  Survey reports (Join Commission on Accreditation of Healthcare Organizations and Medicaid).

Cut off at end of fiscal year.  Destroy when 6 years and 3 months old, or whenever administrative value ends, whichever is later.

10-1

BIOGRAPHICAL FILE.  Biographies, photographs, newspaper clippings, and related items pertaining to the IHS Director's Office and/or Tribal Leaders.  Clippings on newsprint should be photocopied to archival bond paper before filing.

PERMANENT.  Place in an inactive file after separation of employee.  Cut off inactive file every 4 years.  Transfer to the FRC when 2 years old.  Transfer to the National Archives when 6 years old.

10-2

MORGUE FILE.  Newspaper, magazine and press service teletype clippings.

a. Organized files of clippings regarding specific IHS programs, activities, and personnel and held at the Associate Director, Area Office Director, or higher levels.  Clippings on newsprint should be photocopied to archival bond paper before filing.

b. Other clippings of a general nature and all those maintained in other offices.

a.  PERMANENT. Cut off file every 4 years.  Transfer to the FRC when 2 years old. Transfer to the National Archives when 6 years old.

b.  Destroy when 1 year old.

10-3

SPEECH FILE.  Copies of speeches and other papers created in the process of writing, reviewing, clearing, and delivering speeches by IHS employees.

a. Speeches delivered by IHS staff which have been cleared by management.  Record sets held by responsible clearing office in HQ and AO.

b. All other speeches and all other copies.

a.  PERMANENT. Place a copy of the speech in an inactive file after it is delivered. Cut off inactive file every 4 years.  Transfer to the FRC when 2 years old.  Transfer to the National Archives when 6 years old.

b.  Cut off at close of calendar year.  Destroy when 3 years old.

10-4

NEWS RELEASE FILE.  Documents relating to the preparation, coordination, clearance, and dissemination of information to any public communications media.  Includes drafts, clearance documents, forms, press releases, and related papers.

a. Record copy of news releases, held by the Office of Communications and the responsible Area Office.

b. Other papers and other copies.

a.  Cut off file every 4 years.  Transfer to the FRC when 2 years old.  Transfer to the National Archives when 6 years old.

b.  Destroy when 1 year old.  GRS 14/3

10-5

INFORMATION REQUEST FILE.  Requests for information and copies of replies thereto, involving no administrative action, no policy decisions, and no special compilations or research and request for and transmittals of publications, photographs, and other informational literature.

Destroy when 3 months old, or when no longer needed, whichever is sooner.
GRS 14/1

10-6

GRAPHIC SERVICES JOB CONTROL FILE. Graphic services requisition forms, requester's notes, drawings, other instructions, and notes to illustrators or graphic contractors.

Cut off at close of fiscal year in which job is completed.  Destroy when 2 years old.

10-7

ART OR GRAPHIC SERVICE ILLUSTRATION FILE.  Artwork, illustrations, slides, charts, graphics, acetates, and other visual aids.

Destroy upon printing of publication.  Artwork of continuing utility may be retained until no longer needed.

10-8

STILL PICTURES FILE.  Organized collections of still photographs, slide sets, filmstrips, posters, original artwork, and other pictorial records that:

a. Provide documentation of the organization, functions, policies, procedures and essential trans-actions of the IHS, or contain information that is unique in substance, arrangement, or manner of presentation and unavailable in another form, or document events or phenomena which are significant; or utilize a significant new technology and represent an advance in the state of the art.

These records consist of present and past Directors, Tribal Leaders, and key Agency officials.  For black and white photographs, file consists of the original negative and a captioned print.  For color photographs, file contains an original color transparency or color negative, a captioned print and an inter- negative, if one is available.  File contains two copies of each poster.

b. Are included as part of a project file, case file, report, or a similar type of record.

c. Are not permanent records as described under part a of this item.  Included are photographs of social functions involving Agency personnel, transitory pictures of EEO programs and speakers, and widely available training related slide-tape presentations.

d. Are faulty or technically poor photography

a. PERMANENT.  Break file every 5 years.  Transfer to the National Archives when no longer needed for administrative purposes or when 10 years old, whichever is sooner.

b. Destroy in accordance with the instructions applicable to the records of which they are a part.

c. Destroy when no longer needed for reference.

d. Destroy immediately.

10-9

MOTION PICTURE FILE.  Motion picture films including negatives, masters, and prints of productions and unedited outtakes and trims that:

a. Provide documentation or the organization, functions, policies, procedures, and essential transactions of IHS, or contain information that is unique in substance, arrangement, or manner of presentation and unavailable in another form; or document actual events or phenomena which are significant; or utilize a significant new technology and represent an advance in the state of the art.

b. IHS-sponsored films intended for distribution:  file consists of the original negative or color original plus separate optical sound track and intermediate master positive or duplicate negative, plus optical sound track, and a sound projection print.

c. Films produced by or for IHS that are intended for internal staff use:  file consists of the original negative or color original plus sound and a projection print.

d. Films acquired by IHS - two projection prints.

e. Unedited outtakes and trims, the discards of film productions, which have been appropriately arranged, labeled, and described; file consists of the original  negative or color original and a work print.

f. Films resulting from a visual or electronic transfer of video recordings.

g. Are included as part of a project file, case file, report, or similar type of record.

h. Are not permanent records as described under parts a-f of this item.

i. Are faulty or technically poor photography.

a.  PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

b. PERMANENT. Cut off file in 5 year blocks.  Transfer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

c. PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

d. PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

e. PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

f. PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

g. Destroy in accordance with the instructions applicable to the records of which they are a part.

h. Destroy when no longer needed for reference.

i. Destroy immediately.

10-10

SOUND RECORDINGS FILE.  Sound recordings on tapes or discs that:

a. Provide documentation or the organization, functions, policies, procedures, and essential transactions of IHS, or contain information that is unique in substance, arrangement, or manner of presentation and unavailable in another form; or document actual events or phenomena which are significant; or utilize a significant new technology and represent an advance in the state of the art. Included are the administrative agenda tapes maintained by the Executive Secretary, which are arranged and numbered in chronological order. Other sound recordings generally are arranged alphabetically by title of recording.

b. Conventional mass-produced, multiple copy disk recordings - the tape, matrix or stamper, and one disc pressing.

a.  PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

b. PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old. Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency. 

c. PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

d. Dispose of in accordance with the approved disposition instructions applicable to the records of which they are a part.

e. Destroy when no longer needed.

f. Destroy immediately.

10-11

VIDEO RECORDINGS FILE.  Video recordings that:

a. Provide documentation or the organization, functions, policies, procedures, and essential transactions of IHS, or contain information that is unique in substance, arrangement, or manner presentation and unavailable in another form; or document actual events or phenomena which are significant; or utilize a significant new technology and represent an advance in  the state of the art. Includes videotapes on representation case hearing and related matters.  Included are the original or earliest generation of the recording.

b. Are included as part of a project file, report, or similar type of record.

c. Have been transferred by visual or electronic processes to motion picture film.

d. Are not permanent records as described under part a of this item.  Includes tapes of transitory interest and tapes on standard, widely available topics in the areas of training and Government operations.

e. Are faulty or technically poor recordings.

a.  PERMANENT. Cut off file in 5 year blocks.  Offer to the National Archives when 5 years old.  Records which are deemed to be unsuitable for permanent retention by the National Archives may be destroyed during archival processing without further notice to the Agency.

b. Dispose of in accordance with the approved disposition instructions applicable to the records of which they are a part.

c. Destroy after verifying adequacy of the film copy.

d. Destroy when no longer needed.

e. Destroy immediately.

10-12

AUDIOVISUAL FINDING AIDS AND PRODUCTION DOCUMENTATION FILE.  Consists of existing finding aids such as data sheets, shot lists, catalogs, indexes, and other textual documentation necessary for the proper identification, retrieval, and use of the above listed audiovisual records as well as production case files or similar files which include copies of production contracts, scripts, transcripts, or other documentation bearing on the origin, acquisition, release, or ownership of the audiovisual production.

Disposition should be made in accordance with instructions governing the disposition of the audiovisual to which the finding aids relate.  Cite the appropriate portions of items 10-1 through 10-11 on any transfer documentation.

10-13

NEGATIVE PRINTING PLATE FILES. Photographic negatives used for reproduction of major publications.  Arranged by title or requisition number according to fiscal year.  Negatives used for reprints are brought forward to the current year.

Destroy at the close of fiscal year in which publication is discontinued, superseded, or becomes obsolete or after 5 years if status of publication is not known.

11-1

SHORTAGE AREA SCHOLARSHIPS FILE. Designed to assign health personnel to areas of critical shortages in health professions.  Consists of reviews, site visits, applicant community profiles, biographical sketches, job descriptions, Accessibility and Utilization of Personnel Certification Statements, equipment lists, individual student files, tuition, invoices from participating schools, stipend payments to students, Notice of Grant Awards, and other related correspondence.

Cut off on completion of obligatory service (approximately 4-12 years) or upon final payment or resolution of any adverse audit findings. Transfer to the FRC when 2 years old.  Destroy when 6 years and 3 months old.