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Part 5, Chapter 15:  Manual Appendix 5-19-C

Planning and Arranging Files


  1. INVENTORY OF RECORD AND NONRECORD MATERIALS

    The first step in setting up a filing system is to conduct an inventory of all record and nonrecord materials in your office files.  During the initial inventory, the record and nonrecord material of each individual work station in your organization should be inventoried.

    To conduct the initial files inventory in your organization, obtain the Indian Health Service (IHS) publication, "Guide to Developing the IHS Files Maintenance and Disposition Plan," from the IHS Records Management Officer (RMO).  From the guide (page 28), use the "IHS File Station Inventory Worksheet" to provide a description and specific information on:

    1. The Name of Files Contents.

    2. The Physical Location of the Files.

    3. A Brief Description of the Files Contents.

    4. The Files Start and End Dates.

    The goal of the files inventory is to list separate, identifiable record series (groups) that exist in your office.  Most offices have file tabs or names in their files to identify the different record series (groups) that exist within their office.  See Manual Appendix 5-15-C, Attachment 1, for examples of identifiable record series.

    Each office must identify the types of filing equipment currently being utilized to maintain information/data including file cabinets, shelf files, modular equipment files, desk drawers, vaults, boxes, etc.  The location of the various types of filing equipment must also be identified to ensure a comprehensive inventory.  It is also necessary to identify the off-site locations used for records storage, e.g., the IHS Headquarters West warehouse.

  2. CLEANING OUT THE FILES

    The second step in setting up a filing system involves files clean-up activities.  A careful look at the individual papers in the files would make a person wonder why so many documents were filed in the first place.  Because many managers routinely drop all incoming papers into the "file" box instead of dropping some into the wastebasket.

    The manager unable to predict precisely what papers will be needed, but aware of the necessity to produce information when it is called for, too often makes the off-hand decision to file.  The wise manager recognizes that indiscriminate filing is likely to be the least productive of all office tasks.  Filing unneeded papers, in addition to wasting manpower, wastes equipment.  While Federal records disposal laws and regulations require agencies to keep complete records that reflect actions taken, they also permit agency managers to choose whether or not to file many types of papers for which they will have no further use.  Here are a few tips on cleaning out the files.

    1. FILING FEWER PUBLICATIONS.  Eliminate needless periodicals, newsletters, and other publications received for general information is one sure method of reducing needless filing.  Unless these documents are retained separately as reference files, they present an obstacle to rapidly finding other documents as needed.  The file manager should begin by listing the publications received by the office regularly, review the list, and develop disposition guidelines.  If publications must be filed, their retention period can be shortened by setting up a revolving file whereby the oldest issue is discarded as the latest is added.

    2. FILING FEWER "INFORMATION ONLY" COPIES.  Only those items that need to be referred to later should be filed.  Copies of letters and forms that are intended to provide informational updates on activities external to the office usually should not be filed.  It may safely be assumed that the originating office can produce additional copies when needed.

    3. FILING FEWER DIRECTIVES.  Individual policy issuances belong to an overall IHS directives system.  The Management Policy Support Staff, Office of Management Services, is responsible for maintaining a library of current policy issuances in the IHS.  Also, each Area has a designated Directives and Delegations Control Officer, who is responsible for maintaining copies of current policy issuances.  Only the policy issuances which are necessary to conduct daily business should be maintained in the office filing system

    4. FILING FEWER COPIES OF ROUTINE COMMUNICATIONS.  Another way to limit needless filing is to eliminate file copies of routine communications that require no record.  Here are some proven procedures for eliminating copies:

      1. When granting routine requests for publications, blank forms, or other printed supplies, attach the request to the materials being sent.  Because this returns the incoming document to the sender, there is nothing to be filed.

      2. When appropriate, answer routine request from other offices by placing the information at the bottom of the request.  There is nothing to be filed because the incoming document is returned to the sender.

      3. When transmitting materials not requested by letter, avoid routine transmittal letters with their attendant file copies.  Instead, show on routing slip any necessary information, such as a the name of the forwarding office and the purpose of the material.  If some record seems necessary, note relevant facts on the office file copy of the transmitted material.

      4. When using form letters, return the request for information with the form letter if possible.  If the request must be filed, place on it the date of the reply, the number of the form letter, and any fill-in information.

    5. REDUCING "EXTRA COPY" FILES.  Too many managers set up extra copy files.  These "crutch" records pop up everywhere - the file an employee keeps of copies of all papers he has prepared; a second set of key papers kept against the possibility that the main file will not produce the record; a "reading file" or "day file" circulated for information, but then retained; or a file containing extra copies arranged as an index to the main file.

      Extra copy files can and will undermine the main files.  Extra copy files often split documents that should be kept together in the main file - all the facts on a matter.  There is always the temptation to keep an extra copy file next to the manager's desk and include in it some related materials that actually belong to the main file.  In time, the documentation in the "extra copy" file may even rival the main file documentation, until no one is quite sure who has the whole story.  One good, complete file is much more useful than several files maintained haphazardly.

    6. REDUCING COPY DISTRIBUTION.  Reducing copy distribution provides the most effective way for offices to limit needless filing.  Information copies of documents are a vital part of the communications chain, but before routinely sending copies to every person, some simple tips should be followed.  Some questions to ask are:

      • Have the copies been requested?
      • What valid purpose will each copy serve?
      • Could a reading file that is periodically circulated among interested staff be as informative as the present distribution system?

  3. SEPARATING FILES INTO BASIC GROUPS

    Five file cabinets of the 5-drawer type hold about 100,000 pieces of paper.  File managers find that breaking down papers in the file cabinets to be the secret to finding the needle of information in the office's haystack of papers.

    Begin by breaking down the stack of papers into basic groups:  Program records, administrative records, transitory correspondence, reference materials, and personal papers.

    1. PROGRAM RECORDS

      The most important files to identify and maintain in each office are comprised of "program records."  "Program records" are records documenting the unique, substantive activities for which each specific office is responsible.  Examples of IHS "program records" include environmental health project files, contract health services patient case files, tribal health program files, official personnel files, travel orders (official copies), etc.  In the IHS, "program records" include the official record copies of all documentation created by program and administrative functions within the agency (office of record).

      All program records should be identified by a record series contained in the IHS Records Disposition Schedule (RDS) or the National Archives and Records Administration (NARA) General Records Schedule (GRS).  Program records should be labeled using the records series title and file codes provided in one of the two schedules.  Program records should be filed separately from other file contents in an easily accessible location.

      See Attachment 2, Manual Appendix 5-15-C, "IHS RDS Table of Contents" for primary subject area information included in the IHS RDS.  Indian Health Service staff should use this "Table of Contents" to locate record series information corresponding with "program records" created and maintained in their office.  See Attachment 3, Manual Appendix 5-15-C, for examples of file labels for "program records" and "administrative records."

    2. ADMINISTRATIVE RECORDS

      The second most common group of file contents are "administrative records."  Administrative records are records retained by an originating office as its record of initiation of an action, request, or response to requests for information.  Administrative records must be maintained in a separate filing area from the program records.

      Files of "administrative records" include copies of documents submitted to other offices for action including travel vouchers, budget feeder documents, purchase orders, and training requests.  Administrative records should be labeled using the file codes established by the office.

      The authorized disposition for "Office Administrative Files (Records)" as stated in the NARA GRS 23, Item 1, reads:  "Destroy when 2 years old, or when no longer needed, whichever is sooner."  Examples include:

      • Equipment requests and receipts (office copies)

      • Purchase orders, contracts, or invoices (office copies)

      • Organization charts and staffing documentation (office copies)

      • Personnel files (unofficial)

      • Supply requisitions (office copies)

      • Training requests (office copies)

      • Travel orders and vouchers (office copies)

    3. TRANSITORY CORRESPONDENCE

      Transitory correspondence files consist of correspondence and other papers of short-term interest.  These records involve routine transactions or do not contain information of continuing reference value.

      Examples of transitory material are:

      • Transmittal letters or forms

      • Requests for routine information or printed or processed materials, such as pamphlets, newsletters, catalogs, and circulars

      • Papers which do not have any documentary or evidential value after their contents are incorporated into other documents, i.e., drafts, short-hand notes, etc.

      The recognition and separate maintenance of transitory material is important.  Transitory correspondence often may be authorized for disposal within 6 months or less; however, transitory material that has served its purpose should be destroyed immediately.  Transitory correspondence that is temporarily needed for reference is normally filed chronologically, i.e., by date, so that the papers may be easily destroyed after a short retention period, usually no more than 90 days.

    4. REFERENCE MATERIALS

      Every IHS office will maintain various types of reference materials.  Reference materials are:

      1. Nonrecord documents which are commonly used for informational purposes.

      2. Reference materials should be filed separately from the "program records" and "administrative records" in each IHS office.

      3. Reference materials should be destroyed as soon as they become obsolete.  Obsolete reference materials occupy much needed space throughout IHS facilities.  If reference material is obsolete then destroy it.

      4. Examples of reference materials include:

        • Vendor catalogs
        • Copies of public laws
        • Research and literature articles
        • Newsletters produced by other organizations
        • Publications produced by tribal or medical organizations
        • Training announcements

    5. PERSONAL PAPERS

      Personal papers are files that individuals have organized and maintained for their personal use as opposed to official use.  These documents of a private or unofficial character that pertain to an individual's personal affairs should be kept at the individual's work station.  Personal papers should at all times be clearly designated as nonofficial and filed separately from all records within the office.

      Indian Health Service employees are discouraged from maintaining duplicate files of official program records at their individual work stations.  This practice leads to duplicate file situations, creates confusion, and results in a waste of paper.

      However, it is common practice for IHS staff to maintain personal copies of their personnel actions, travel vouchers, training documentation, Employee Performance Management System documentation, etc., at their individual work stations.

  4. FILES MAINTENANCE AND DISPOSITION PLAN

    Each official file station will prepare one IHS Form 521, "Files Maintenance and Disposition Plan," covering its "program records" and one IHS Form 521, "Files Maintenance and Disposition Plan," covering its "administrative records."  See Attachment 5, Manual Appendix 5-15-C, the "Files Maintenance and Disposition Plan," IHS Form 521.

  5. ANNUAL RECORDS REPORT

    1. REPORTING REQUIREMENTS.

      1. All IHS offices/programs maintaining any file material are required to submit an annual report of records destroyed and retired during the fiscal year (FY), address problems and concerns, and make recommendations for changes.  The reported volume of records destroyed should include the total number of "program" and "administrative" records destroyed during the FY.  The reported volume of records transferred to the FRC will include only "program" records.  See Attachment 6, Manual Appendix 5-15-C, IHS Form 520, the "Annual Records Report."

      2. Each File Manager will submit a report for records in their file station(s) on a FY basis to the appropriate Area RMO/Headquarters RML.  All annual records reports should be submitted to the Area RMO/Headquarters RML by the last week of October in the new FY.  The Area RMO/Headquarters RML will submit the compiled reports to the IHS RMO by the first week of November of the new FY.

      3. The information resources management staff will submit an inventory of electronic records annually.  This inventory is due by January 15 and will be submitted to the IHS RMO who will submit the inventory to the Department of Health and Human Services RMO by February 15.

  6. SELECTING FILING ARRANGEMENTS

    Once the "program records" and "administrative records" have been identified and separated within a files collection, the best method for arranging each type of file must be determined.  The arrangement selected should permit ease of filing and retrieval of file documents.  See Attachment 5, Manual Appendix 5-15-C for file arrangement information.

    The "program records" and "administrative records" are usually characterized by a distinctive filing feature.  These features are characteristics by which documents are filed and retrieved.  Such features as subjects, dates, titles, names, or numbers provide the means by which to arrange records in order to facilitate their retrieval.

    To select a system for arranging records, the File Manager must find out how users will most often request the particular records, that is, which "filing feature" they most frequently use.  Listed below are examples of six filing arrangements.

    1. SUBJECTIVE ARRANGEMENT

      Subject filing is the process of arranging and filing records according to their general informational content.  This brings together all papers on the same topic.  Sometimes "the subject" is based on some characteristic of the document.  Titles of forms are often used as subjects; e.g., printing requisitions or position descriptions (PD).

    2. CHRONOLOGICAL ARRANGEMENT

      This system is used to arrange files in date sequence when the date is the primary means of reference.  Transitory, reading, and suspense files are usually arranged chronologically.

    3. GEOGRAPHICAL ARRANGEMENT

      Papers can be arranged by geographical locations such as region, state, county, etc.  This arrangement is used when the geographical location is the primary means of reference.

    4. ORGANIZATIONAL ARRANGEMENT

      This arrangement is used when the grouping of documents by the name of the pertinent organization is the primary means of reference.

    5. ALPHABETICAL ARRANGEMENT

      This arrangement is used to file documents by names of persons, companies, agencies, etc., in alphabetical sequence.  It is very important to follow standard rules to achieve uniformity.  The number of alphabetical subdivisions used in a file depends on the number of names in the file and whether the materials to be filed are papers, index cards, case files, etc. As a general rule, an alphabetical subdivision guide for each 10 to 20 name folders, or for each 25 to 50 name cards, should be provided.

    6. NUMERICAL ARRANGEMENT

      This system is used to arrange records identified and referred to by number, such as contracts, grants, purchase orders, etc.  Numbers will not be assigned to documents for the sole purpose of arrangement for filing because this practice requires the establishment of additional indexes to locate the documents.

  7. PREPARING FILE COPIES

    The following preliminary steps should be taken in preparing documents for filing:

    1. Remove envelopes, rubber bands, paper clips, pins, and other temporary fasteners.

    2. Determine that the file is complete and all necessary enclosures or attachments are accounted for.

    3. Remove all mail control forms, classified cover sheets, and routing slips except those which contain remarks of significant record value.

    4. Remove superseded drafts showing no substantive changes.

    5. Ensure that parts of another file are not accidentally attached.

    6. Inspect all documents to assure they have been authorized for filing.  Incoming letters which did not require a reply should have the word "File," the date, and the initials of the person forwarding the communication for filing in the upper right margin.  This notation is the file authority and shows that the proper official has seen the document and "certified" the need for filing it.  Copies of outgoing letters should be initialed by the originator to indicate authority to file.

    7. Mend (reinforce with transparent tape) all torn or frayed papers.

    8. Destroy duplicate copies of documents to be placed in the same records series.

    9. Place the file copy of any outgoing reply on top of the related incoming letter and any pertinent attachment and staple.

  8. PLACING MATERIAL IN THE FILES

    The material should be filed in the appropriate folder with the top of the document toward the left of the file drawer as the reader faces it.  In a loose file, staple together directly related papers concerning the same transaction.  In a fastened file, arrange units of the file material in chronological order with most recent date on top.

    Following are guidelines for fastening papers or filing loose:

    1. FASTEN PAPERS IN:

      1. Large case files which receive extensive use and have a long life.

      2. Any other vital file when the entire folder is charged out.

    2. FILE PAPERS LOOSE IN

      1. Subject files when individual papers rather than entire folders are charged out.

      2. Small, routine project files.

      3. Larger project files with low reference or a short life.

    3. FILING CLASSIFIED OR CONFIDENTIAL RECORDS

      The same general filing guidelines used for unclassified records are used in filing classified materials.  However, the following safeguards apply.

      1. File classified records separately in cabinets or rooms affording the security required by the Privacy Act, 5 U.S.C. 522a.

    4. CHARGING MATERIAL FROM THE FILES

      When records are removed from the file and forwarded to an individual or office, a record of such loan should be made.  A file chargeout record such as Optional Form (OF) 23 should be filled out and put in the folder or file drawer in place of the withdrawn material.  Place the file chargeout record at the exact location of the withdrawn material with the "OUT" portion clearly visible.  The File Manager should review the file chargeout record forms periodically and request the return of files that have been charged out for a long period of time.

    5. MAINTAINING THE FILES

      Neatness and orderliness are essential to filing efficiency.

      1. Identify File Drawers and Shelves.

        Label file drawers and shelves to indicate what files, subjects, or names are filed in them.  Indicate the year, if appropriate.

      2. Prevent Overcrowding the Files.

        Allow at least 4 inches of space in each active file drawer to permit sufficient working space.

      3. Keep Papers Straight.

        When placing material in file folders, do not let the papers extend beyond the edges of the folders.  Crease or fold papers when necessary.

      4. Avoid Overloading File Folders.

        When the contents of the folder increase to the point that papers begin to obscure folder labels, crease the bottom of the folder at the second expansion line to increase the capacity of the folder.  When folder content reaches three-fourths of an inch, either:

        1. Add a new folder bearing the same file designation in front of the full folder and show inclusive dates on the folders.

        2. Subdivide the contents of the folder, if practical, by adding new file designations.

      5. Avoid Cluttering the Files.

        Bulky material should be filed in filing equipment suitable to its size and not mixed with standard size documents.  Cross-reference the material so that it can be readily identified with the related papers in the regular files.

    6. ODD-SIZED RECORDS

      These records should be filed separately because of their size or physical characteristics.  These records include films, tapes, cartographic materials and drawings, computer printouts, and photographs.

  9. FILING EQUIPMENT

    Filing equipment and supplies include file cabinets, shelf files, visible files, mechanized files, file guides, folders, labels, and similar items used in handling and processing papers and other documentation.

    1. STANDARDIZATION

      Standard equipment and supplies will be used to the maximum extent possible.  Standard items promote efficient and simplified file operations and have these advantages: interchangeability, lower cost through quantity purchasing, simplified stocking, and uniform appearance.

    2. TECHNICAL ASSISTANCE

      Offices anticipating major continuing needs for any type of filing equipment should seek technical guidance from the appropriate RMO well in advance of submitting another equipment requisition or before the needs become critical.  As alternatives to approving large purchases of filing equipment, the IHS RMO may issue additional records disposition authorizations, shorten records retention periods, offer suggestions for miniaturization of records through micrographics, or recommend installation of other forms of recordkeeping.

    3. FILE CABINETS

      Filing equipment should be standardized to accommodate the type of records most often received at a particular file station.

      1. The general purpose letter-size vertical file cabinet (5 drawers high, 1 drawer wide) is standard and recommended for active correspondence and similar documents.

      2. Do not shift records among cabinets without changing drawer labels.

      3. Legal-size cabinets are restricted to those files where the volume of legal-size material is more than 20 percent of the total volume of the file.  When the standard letter-size cabinet generally meets the needs of the file station, the small amount of legal-size material which is received should be folded to fit the letter-size folders.

      4. Lateral files and nonstandard vertical file cabinets (1-, 2-, 3-, or 4-drawer cabinets) may be considered for use in office areas where volume of records is comparatively small (e.g., executive level offices, i.e., offices of board members.)

      5. To determine how many file drawers the office will fill each year, allow 1 drawer for each 4,000 sheets of active records anticipated for the period and 5,000 sheets of inactive records.  Adequate growth space should be reserved to last until the file cutoff.  Planning can eliminate shifting files, which is hard work.

      6. Use the middle cabinet drawer for the most active material, saving the top and bottom drawers for less active files not yet removable from the office.  Older cabinets may also be used for less active files.

    4. SHELF FILES

      Shelf file cabinets are more appropriate than drawer filing cabinets for filing certain material, such as inactive files in records holdings areas (e.g., closed case files) or current records which total 200 linear feet or more and do not require frequent reference or to which very little new material is being added.  Shelf filing is less expensive to purchase and, because of its adaptable height, uses space that less flexible drawer-type cabinets often waste.

    5. SPECIALIZED FILES EQUIPMENT

      Card records and indexes, photographs, maps and drawings, microforms, and data processing materials can be housed in standard file equipment which has been modified or equipped with properly designed trays or accessories.  Many kinds of specialized housings have been designed for the storage of these various types of odd-sized records.  Offices considering specialized files equipment should seek technical assistance from their Area RMO or Headquarters RML to ensure selection of equipment best suited to their needs.

    6. NONSTANDARD EQUIPMENT

      Nonconventional files equipment includes lateral shelving, suspended shelving, mobile shelf sections, rotary units, elevator units, and specialized power retrieval.

      1. The purchase of nonstandard equipment can only be justified when use of the equipment will result in savings in labor costs (through reduced staff size and increased productivity), space, and equipment costs (through additional records capacity).  Better appearance, convenience to users and File Managers, and system "modernization" do not justify the purchase of this type of equipment.

  10. FILING SUPPLIES

    An efficient files system organizes the files so users can understand it at a glance.  To achieve this goal requires correct use of guide cards, folders, drawer labels, shelf labels, and folder labels.  Selecting and using the proper file supplies saves time and money.

    1. FOLDERS

      1. Pressboard folders are authorized only for case and project files, or when the kraft folders will not withstand the added volume or use.  The standard pressboard folder is 25 point, vertical, 1-inch expansion with a square cut self-tab.

      2. Kraft folders meet the majority of filing requirements.  These folders are recommended for their durability, neatness, price, and safety.  The standard kraft folder is 11 point, vertical, flat type, scored for 3/4-inch expansion, with a square cut reinforced tab.  Prepare folders only as needed.

      3. Straight edge folders used in drawer-type filing units may be transferred to shelf type units (without attaching new side tabs) provided the original labeling is placed at either the far right or left side of the folder.

    2. FOLDER LABELS

      Use folder labels to place captions on the folder tab in a neat, uniform, and legible manner.  Standard pressure-sensitive labels are packed in a continuous strip (roll or fan-folded) with 248 in a box.  Labels are 3 inches by 1/2 inch and are avaiLABEL in plain white or with 3/32 inch-wide identification strip in various colors.  See Manual Appendix 5-15-C Attachment 3 for examples of captions on labels.

    3. FILE GUIDES

      Standard guide cards or dividers make files more usable.  In addition to serving as an index to the files and thereby reducing the area of search, they also help folders stand erect in the file.  Four to six guide cards evenly distributed in a drawer will keep folder labels visible by preventing the bottom of one folder from slipping underneath another.

      1. The number of guides depends on the file scheme used.  Highly active files may properly have an average of six folders to a single guide.  Normally active files would have more folders to a guide, perhaps 10, depending on the complexity of the arrangement.

      2. Guides for inactive files are not needed if folder labels are complete.  When destroying documents or retiring files to the records center, reuse the guide cards.

  11. INDIAN HEALTH SERVICE FORMS

    The following IHS forms cited in this manual are for use in files operations.

    1. IHS Form 521, "Files Maintenance and Disposition Plan" Manual Appendix 5-15-C, Attachment 5.

    2. IHS Form 520, "Annual Records Report," Manual Appendix 5-15-C, Attachment 6.

  12. STANDARD FORMS

    When records become eligible for transfer, the File Manager is responsible for contacting the nearest FRC to acquire the necessary forms and instructions to transfer the records.  Each FRC, upon request, provides specific instructions to transfer records and instructions for completing and maintaining the necessary forms, i.e., SF-135, "Records Transmittal and Receipt."  (See Manual Appendix 5-15-C, Attachment 7)

    1. Optional Form (OF) 11, "Reference Request--Federal Records Centers"

    2. OF 21, "Cross-Reference"

    3. OF 22, "Continuity Reference"

    4. OF 23, "Chargeout Record"

    5. Standard Form (SF) 135, "Records Transmittal and Receipt"

    6. SF 135A, "Records Transmittal"

    7. National Archives (NA) Form 13001, "Notice of Intent to Destroy Records"

Attachment 1
Manual Exhibit 5-15-C

(For a copy of this Attachment please contact your Area Directive, Delegation and Control Officer or the Management Policy and Internal Control Staff at 301-443-2650)

Attachment 2

IHS RECORDS DISPOSITION SCHEDULE

TABLE OF CONTENTS

 1 -   GENERAL
    1-1     Indian Health Manual
    1-2     Other Issuance Series
    1-3     Indian Health Program
    1-4     Organization of the Agency
    1-5     Delegations of Authority
    1-6     Program Administration
    1-7     Research Activities
    1-8     Federal Employees Health Program
    1-9     Occupational Health & Safety Management Program
    1-10     Emergency Operation of IHS Field Activities
    1-11     Authorized Dollar Thresholds - P.L. 93-638 Contracts & Grants by Area
    1-12     IHS employee Immunization Program
2 - SERVICES TO INDIANS AND OTHERS
    2-1     Indians
    2-2     Payment for Services
    2-3     Contract Health Services
    2-4     Other Beneficiaries
    2-5     Health Services for Indian and Alaksa Native Advanced Students
    2-6     Patient Registration
3 - PROFESSIONAL SERVICES
    3-1     (Vacant)
    3-2     Dental
    3-3     Medical Records
    3-4     Nursing
    3-5     Nutrition and Dietetics
    3-6     Laboratory Services
    3-7     Pharmacy
    3-8     Social Work Services
    3-9     Eye Care Program
    3-10     Preventive Health
    3-11     Environmental Health
    3-12     Health Education
    3-13     Maternal & Child Health
    3-14     Mental Health Programs
    3-15     Physical Therapy
    3-16     Community Health Representative Program
    3-17     Emergency Medical Services
    3-18     Alcoholism/Substance Abuse Program
    3-19     Urban Indian Health Program
    3-20     Patient Rights
    3-21     Medical Imaging
    3-22     Anesthesia Program
 4 -   STAFF SERVICES/SPECIAL PROGRAMS
    4-1     Communications/Public Affairs
    4-2     Medical Facilities & Patient Management
    4-3     Program Analysis Reports & Statistics
    4-4     Program Planning for Indian Health Service
    4-5     Office of Tribal Affairs
    4-6     Training
    4-7     (Vacant)
    4-8     Equal Employment Opportunity Program
    4-9     Quality Assurance Program
5 - MANAGEMENT SERVICES
    5-1     General Administration
    5-2     Financial Management
    5-3     Office Services
    5-4     Personnel
    5-5     Acquisition Management
    5-6     Supply Management
    5-7     Security
    5-8     Travel
    5-9     Facilities Management and Linen Service
    5-10     Houskeeping
    5-11     Real Property
    5-12     Personal Property
    5-13     Quarters Management Program
    5-14     Bio-Medical Engineering
    5-15     Records Management
    5-16     Management Control Systems
    5-17     Acquisition of Federal Information Processing Resources
    5-18     Facilities Operations and Maintenance
    5-19     Grants and Agreements
    5-20     Program Integrity and Ethics

Attachment 3

FILE LABELS

A good folder label should use no more than three typewritten lines.  Folder LABELs include primary filing features, e.g.:

  1. Disposition number from IHS RDS.

  2. Case file number.

  3. Fiscal or calendar year file began (FY or CY)

  4. File name.

For a sample of the file labels please contact your area Directives, Delegations and Internal Controls Officer, or the Management Policy and Internal Control Staff the below samples are not exact

SUBJECT FILE LABEL

5-15-3  FY 1996

RECORDS MANAGEMENT


CASE FILE LABEL

123-555 FY 1996
NEW MEXICO CONSTRUCTION


ADMINISTRATIVE RECORD LABEL
ADM - 1   FY 1996

TRAVEL - LEE VING


TRANSITORY FILE LABEL

TRANSITORY FILE

OCTOBER  --  DECEMBER

Attachment 4

For a sample of the file labels please contact your area Directives, Delegations and Internal Controls Officer, or the Management Policy and Internal Control Staff at 301-443-2650 the below samples are not exact

READING FILE LABELS

READING FILE

The current 90-day folder is always in front of the series.  The previous 90-day folder is always in the back of the series with reading material accumulated during that period.

FOR EXAMPLE:

At the end of December, Folder 1 is moved to the back of the file.  Folder 2 is moved to the Folder 1 position, and is ready to receive reading materials.  Folder 3 is now Folder 2 and remains empty.  Folder 4 becomes Folder 3.

FOLDER 1

READING FILE    FY97

JANUARY  --  MARCH


FOLDER 2

READING FILE    FY97

APRIL  --  JUNE


FOLDER 3

READING FILE    FY97

JULY  --  SEPTEMBER


FOLDER 4

READING FILE    FY97

OCTOBER  --  DECEMBER

Manual Exhibit 5-15-C - Attachment 5


(For a copy of this Attachment please contact your Area Directive, Delegation and Control Officer or the Management Policy and Internal Control Staff at 301-443-2650)

Manual Exhibit 5-15-C - Attachment 6


(For a copy of this Attachment please contact your Area Directive, Delegation and Control Officer or the Management Policy and Internal Control Staff at 301-443-2650)

Manual Exhibit 5-15-C - Attachment 7

FEDERAL RECORDS CENTER LOCATIONS

Federal Records Centers (FRC) and the Indian Health Service (IHS) facilities served are listed below.

Area Area
ATLANTA FRC

  NASHVILLE AREA

CHICAGO FRC

  BEMIDJI AREA

DENVER FRC

  ABERDEEN AREA

  BILLINGS AREA

FORT WORTH FRC

  ALBUQUERQUE AREA

  OKLAHOMA CITY AREA

  IHS HEADQUARTERS WEST, ALBUQUERQUE NM

  GALLUP SU

  SHIPROCK SU

LOS ANGELES FRC

  SOUTHERN CALIFORNIA AREA

  NAVAJO AREA

  PHOENIX AREA

  OFFICE OF HEALTH PROGRAM

  RESEARCH AND DEVELOPMENT

  TUCSON, AZ

SAN FRANCISCO FRC

  NORTHERN CALIFORNIA AREA

SEATTLE FRC

  ALASKA AREA

  PORTLAND AREA

WASHINGTON NATIONAL RECORDS CENTER

  IHS HEADQUARTERS EAST, ROCKVILLE, MD

FEDERAL RECORDS CENTERS AND REGIONAL ARCHIVES

Office of Federal Records Centers: (301) 713-7210

National Centers Washington National Records Center
4205 Suitland Road
Washington, DC  20409-0002

Area served: District of Columbia, Maryland, West Virginia, and Virginia (Except U.S. Court records for Maryland, Virginia, and West Virginia)

National Personnel Records Center (Military Personnel Records)
9700 Page Avenue
St. Louis, MO  63132-5100

Area served: Designated records of the Military Departments and the U.S. Coast Guard.

National Personnel Records Center (Civilian Personnel Records)
111 Winnebago Street
St. Louis, MO  63118-4199

Area served: The entire Federal Government personnel records of separated Federal employees; medical and pay records of all Federal employees; designated medical records of Army and Air Force military personnel and their dependents; and records of agencies in the St. Louis area (Missouri only), of Scott AFB, IL, and of the Memphis Service Center, Internal Revenue Service.

Pittsfield Federal Records Center
100 Dan Fox Drive
Pittsfield, MA  01201-8230

Area served: National collection of long term records

Regional Centers

Boston Federal Records Center
380 Trapelo Road
Waltham, MA  02154-6399

Area served: Maine, Vermont, New Hampshire, Massachusetts, Connecticut, and Rhode Island

New York Federal Records Center
Military Ocean Terminal,
Building 22 Bayonne, NJ  07002-5388.

Area served: New York, New Jersey, Puerto Rico, and the Virgin Islands

Philadelphia Federal Records Center
14700 Townsend Road
Philadelphia, PA  19154-1025

Area served: Delaware, Pennsylvania, and U.S. court records for Maryland, Virginia and West Virginia

Atlanta Federal Records Center
1557 St. Joseph Avanue
East Point, GA  30044-2593

Area served: North Carolina, Tennessee, Mississippi, Alabama, Georgia, Florida, and Kentucky

Chicago Federal Records Center
7358 South Pulaski Road
Chicago, IL  60629-5898

Area served: Illinois, Wisconsin, Minnesota, and U.S. court records for Indiana, Michigan, and Ohio.

Dayton Federal Records Center
3150 Sprinboro Road
Dayton, OH  45439-1883

Area served: Indiana, Michigan, and Ohio except for U.S. court records

Kansas City Federal Records Center
2312 East Bannister Road
Kansas City, MO  64131-3060

Area served: Kansas, Iowa, Nebraska, and Missouri (except the greater St. Louis area)

Fort Worth Federal Records Center
501 W. Felix Street,
Building 1, Dock 1
P.O. Box 6216
Fort Worth, TX  76115-0216

Area served: Texas, Oklahoma, Arkansas, Louisiana, and New Mexico

Denver Federal Records Center
Bldg. 48, Denver Federal Center
P.O. Box 25307
Denver, CO  80225-0307

Area served: Colorado, Wyoming, Utah, Montana, North Dakota, and South Dakota

Los Angeles Federal Records Center
24000 Avila Road
P.O. Box 6719
Laguna Niguel, CA  92607-6719

Area served: Arizona, Clark County Nevada, and southern California (Counties of San Luis Obispo, Kern, San Bernadinio, Santa Barbara, Ventura, Orange, Los Angeles, Riverside, Inyo, Imperial, and San Diego)

San Fransisco Federal Records Center
1000 Commodore Drive
San Bruno, CA  94066-2350

Area served: Nevada Except Clark County, California except southern Californa, American Samoa

Seattle Federal Records Center
6125 Sand Point Way NE
Seattle, WA  98115-7999

Area served: Washington, Oregon, Idaho, Alaska, Hawaii, and Pacific Ocean area (except American Samoa)

NARA Regional Archives

The NARA regional archives facilities can also provide information on records preservation and records recovery.  They may also provide other sources of information or assistance, such as lists of records recovery specialists, and advice in developing a records recovery plan.  Addresses of the regional archives are listed below.

National Archives - New England Region
380 Trapelo Road
Waltham, MA  02154-6399

National Archives - Pittsfield Region
100 Dan Fox Drive
Pittsfield, MA  01201-8230

National Archives - Northeast Region
201 Varick Street
New York, NY  10014-4811

National Archives - Mid-Atlantic Region
9th and Market Streets,
Rm. 1350
Philadelphia, PA  19107-4292

National Archives - Southeast Region
1557 St. Joseph Avenue
East Point, GA  30344-2593

National Archives - Great Lakes Region
7358 South Pulaski Road
Chicago, IL  60629-5898

National Archives - Central Plains Region
2313 East Bannister Road
Kansas City, MO  64131-3060

National Archives - Southwest Region
501 West Felix Street
Bldg. 1, Dock 1
P.O. Box 6216
Fort Worth, TX  76115-0216

National Archives - Rocky Mountain Region
Denver Federal Center, Bldg. 48
P.O. Box 25307
Denver, CO  80225-0307

National Archives - Pacific Southwest Region
24000 Avila Road,
1st Floor East
P.O. Box 6719
Laguna Nigel, CA  92607-6719

National Archives - Pacific Sierra Region
1000 Commodore Drive
San Bruno, CA  94066-2350

National Archives - Pacific Northwest Region
6125 Sand Point Way
Seattle, WA  98115-7999

National Archives - Alaska Region
654 West 3rd Avenue,
Room 012
Anchorage, AK  99501-2145


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