1-1

RESERVED

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.

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.

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.

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.

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.

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.

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.