D12 HEALTH INFORMATION MANAGEMENT AND HEALTH RECORDS.pdf

January 2019

Veterans Health Administration

Washington DC 20420

RECORDS CONTROL SCHEDULE 10-1

Department of Veterans Affairs

TABLE OF CONTENTS

PART ONE

1. Purpose .................................................................................................................................................... I-1

2. Introduction .............................................................................................................................................. I-1

3. Records Management Responsibilities ..................................................................................................... I-2

4. Disposition of Records ............................................................................................................................. I-2

5. Permanent and Unscheduled Records ...................................................................................................... I-2

6. Media Neutral Records ............................................................................................................................. I-3

7. Damage to and Unauthorized Destruction of Records ............................................................................. I-3

8. Records Freezes & Litigation Holds ........................................................................................................ I-4

9. Vital Records ............................................................................................................................................ I-5

10. Personal Papers ....................................................................................................................................... I-5

11. Termination of Office/Service and Deactivation of Field Activity ........................................................ I-5

12. Department of Veterans Affairs (VA) Policy ......................................................................................... I-5

PART TWO

CHAPTER ONE – GENERAL ADMINISTRATION AND MANAGEMENT RECORDS

1000 Records Common to Most Offices within Agencies (GRS 23)- Deleted and replaced by NARA- See GRS 4.1 (1004), 4.2 (1006), 5.1 (1001) and 5.2 (2201).

1001 Common Office Records (GRS 5.1)

Code Title Page

1001.1 Administrative Records Maintained in Any Agency Office II-1-1

1001.2 Non-Recordkeeping Copies of Electronic Records II-1-1

1001.3 Records of Non-Mission-Related Internal Agency Committees II-1-2

1002 Agency Accountability Records (GRS 5.7)

1002.1 Internal Administration Accountability and Operational Management Control

Records

II-1-2

1002.2 Internal Control Review, Response, and Mitigation Management Records II-1-3

1002.3 Administrative Directives and Notices II-1-3

1002.4 Records about Authorizing and Managing Report Requirements and Parameters II-1-3

1002.5 Mandatory Reports to External Federal Entities regarding Administrative Matters II-1-3

1002.6 Records of Allegations and Claims that fall under U.S. Office of Special Counsel

Jurisdiction

II-1-3

NEW

1003 Administrative Management Records (GRS 16)- Deleted and replaced by NARA- See GRS 3.1

(2000), 4.1 (1004), 5.7 and 6.6.

1004 Records Management Records (GRS 4.1)

1004.1 Tracking and Control Records II-1-4

1004.2 Records Management Program Records II-1-4

1004.3 Vital or Essential Records Program Records II-1-4

1004.4 Copies of Vital Records II-1-5

1004.5 Forms Management Records II-1-5

1005 Information Services Records (GRS 14)- Deleted and replaced by NARA- See GRS 4.2 (1006),

6.4 (1900) and 6.5 (1925).

1006 Information Access and Protection Records (FOIA/Privacy)

1006.1 General Information Request Files II-1-5

1006.2 Access and Disclosure Request Files II-1-5

1006.3 Internal Information Access and Protection Program Operation Records II-1-6

1006.4 Accounting for and Control of Access to Classified, Control Unclassified, and

Unclassified Records and Records Regarding FOIA, PA and MDR

II-1-6

1006.5 Privacy Act Accounting of Disclosures Files II-1-6

1006.6 Erroneous Release Records II-1-6

1006.7 Agency Reports to Congress, Department of Justice, or other entities Regarding

FOIA, PA, MDR and Similar Access and Disclosure Programs

II-1-7

1006.8 Legal and Regulatory Compliance Reporting Records II-1-7

1006.9 Privacy Act Amendment Request Files II-1-7

1006.10 Automatic and Systematic Declassification Review Program Records II-1-7

1006.11 Fundamental Classification Guidance Review Files II-1-7

1006.12 Classified Information Non-Disclosure Agreements II-1-7

1006.13 Personally Identifiable Information Extracts II-1-8

1006.14 Personally Identifiable Information Extract Logs II-1-8

1006.15 Privacy Act System of Records Notices II-1-8

1006.16 Records analyzing Personally Identifiable Information II-1-8

1006.17 Computer Matching Program Notices and Agreements II-1-8

1006.18 Virtual Public Access Library Records II-1-8

1008 Privacy Compliance Assurance Office (Reserved)

1008.1 Performance Audit Case Files II-1-9

1008.2 Facility Self-Assessment (FSA) Case File II-1-9

1008.3 VHA Privacy Compliance Assurance (PCA) Performance Audit and FSA Reports to Stakeholders

II-1-9

1008.4 VHA Health Care Facility Privacy, Freedom of Information Act (FOIA) and Records Management Monitoring Data

II-1-10

1008.5 VHA PCA Education, Training, and Guidance Material II-1-10

1009 Grants and Cooperative Agreement Records (GRS 1.2)

1009.1 Grant and Cooperative Agreement Program Management Records II-1-10

1009.2 Grant and Cooperative Agreement Case Files II-1-10

1009.3 Final Grant and Cooperative Agreement Products or Deliverables II-1-11

1009.4 Grants Related Records Not Covered by Any Other NARA-Approved Schedule II-1-11

1010 Printing, Binding, Duplication, and Distribution Records (GRS 13)- Deleted and replaced by NARA- See GRS 5.5, 5.7 and 6.5.

1018 Rulemaking Records (GRS 6.6)

1018.1 Records of Proposed Rule Development II-1-12

1018.2 Proposed and Final Rule Documents Published in the Federal Register II-1-12

1018.3 Public Comment II-1-12

1018.4 Federal Register Notices other than Proposed and Final Rules II-1-13

1018.5 Agency Input into the Unified Agenda II-1-13

1020 Temporary Commissions, Boards, Councils, and Committees (GRS 26)- Deleted and replaced by NARA- See GRS 5.1 (1001) and 6.2 (1021).

1021 Federal Advisory Committee Records (GRS 6.2)

1021.1 Substantive Committee Records (Non-Grant Review Committees) II-1-13

1021.2 Substantive Audiovisual Records (Non-Grant Review Committee) II-1-14

1021.3 Grant Review Committee Records II-1-15

1021.4 Committee Accountability Records II-1-15

1021.5 Non-substantive Committee Records II-1-15

1021.6 Committee Management Records II-1-15

1025 Travel and Transportation Records (GRS 9)- Deleted and replaced by NARA- See GRS

1.1 (4000), 2.2 (3020), 2.4 (3075) and 5.5 (2525).

1030 Ethics Program Records (GRS 25)- Deleted and replaced by NARA- See GRS 2.6 (3400) and 2.8 (1031).

1031 Employee Ethics Records (GRS 2.8)

1031.1 General Ethics Program Records II-1-16

1031.2 Referrals and Notifications of Violations of Criminal Conflict of Interest

Statutes and Other Potential Violations Files

II-1-16

1031.3 Reports of Payment Accepted from non-Federal Sources II-1-16

1031.4 Office of Government Ethics Program Questionnaire Records II-1-17

1031.5 Ethics Program Review Records II-1-17

1031.6 Public Financial Disclosure Reports II-1-17

1031.7 Confidential Financial Disclosure Reports II-1-17

1031.8 Alternative or Additional Financial Disclosure Reports and Related Records II-1-18

1031.9 Financial Disclosure Supporting Documentation II-1-18

1031.10 Ethics Agreements Records II-1-18

1070 Audiovisual Records (GRS 21)- Deleted and replaced by NARA- See GRS 2.2

(3020), 2.6 (3400), 4.1 (1004), 5.2 (2201), 5.6 (5252) and 6.4 (1900).

1100 General and Administrative Records

1100.1 General Correspondence II-1-19

1100.2 Accredited Service Representative File II-1-19

1100.3 Record Control File II-1-19

1100.4 Authorization File II-1-19

1100.5 AMIS Report Files II-1-19

1100.6 Equipment Record File II-1-19

1100.7 Human Service Review Organization (HSRO) File II-1-19

1100.8 Management Development Appraisal File II-1-19

1100.9 Management Development Folder File II-1-20

1100.10 Organization File II-1-20

1100.11 Record Charge-Out Cards II-1-20

1100.12 Reports (General/Miscellaneous) File II-1-20

1100.13 Reports Control File II-1-20

1100.14 Training and Education File II-1-20

1100.15 Work Order File II-1-20

1100.16 Board Action (Folder) File II-1-20

1100.17 Audit Case File (OIG) II-1-20

1100.18 Public Affairs Records II-1-21

1100.19 Reserved II-1-21

1100.20 Reserved II-1-21

1100.21 Administration Obligation File II-1-21

1100.22 Evaluations and Review Reports II-1-21

1100.23 Administrative Reports File II-1-21

1100.24 Contract Burial Arrangement File II-1-21

1100.25 Patient Locator File II-1-21

1100.26 Deposit Receipt File II-1-21

1100.27 Ward Morning Report II-1-21

1100.28 Guest Lodging File II-1-21

1100.29 Patient Service Locator File II-1-21

1100.30 Disposition Data Files (PTF) II-1-21

1100.31 Error Index File II-1-22

1100.32 Diagnostic and Operation Index File II-1-22

1100.33 Medical Administrative Assistant’s (MAA) Log II-1-22

1100.34 Lost and Found File II-1-22

1100.35 Records Retirement and Shipment Files II-1-22

1100.36 Indispensable (Vital/Essential) Records Control Schedule File II-1-22

1100.37 Transcription Files II-1-22

1100.38 Gains and Losses (G&L) File II-1-22

1100.39 History Files/Administrative Insurance History Files for Forms, Publications, and Records Management

II-1-23

1100.40 Educational Activity Records II-1-23

1100.41 Patients and Members Account File II-1-23

1110 Office of the Facility Director

1110.1 General Correspondence II-1-24

1110.2 Administrative Allotment and Obligation Files II-1-24

1110.3 Budgets II-1-24

1110.4 Committee, Board, and Conference Files II-1-24

1110.5 Investigation File II-1-24

1110.6 Management Project Files II-1-24

1110.7 Public Relations File II-1-24

1110.8 Administrative Reports Files II-1-25

1110.9 Evaluation and Review Reports II-1-25

1110.10 Classified Records II-1-25

1110.11 Personnel Security Clearance Records II-1-26

1115 Office of the Under Secretary for Health, Deputy Under Secretaries, Assistant

Deputy Under Secretaries, and VHA Program Offices

1115.1 General Correspondence II-1-27

1115.2 Public Affairs Records (Pending) II-1-27

1115.3 Primary Program Records (Pending) II-1-27

1115.4 Investigation File II-1-27

1115.5 Management Project Files II-1-27

1115.6 Reserved II-1-27

1115.7 Administrative Reports File II-1-27

1120 Chaplain Services

1120.1 Chaplain General Name File II-1-27

1120.2 Schedule of Work File II-1-27

1120.3 Tour-of-Duty Record File II-1-27

1120.4 Chapel Bulletins Files II-1-27

1120.5 Denominational Report File II-1-28

1120.6 National Chaplain Management Information System Records II-1-28

1130 Voluntary Service

1130.1 VA Form 10-7055, Application for Voluntary Service II-1-28

1130.2 Occasional Volunteer Time Sheet II-1-28

1130.3 Schedule Regular Volunteer by Organization Report II-1-28

1130.4 Potential Awards List II-1-28

1130.5 Terminated (RS) Volunteer Summary Sheet II-1-29

1130.6 Volunteer Service Records on Individuals Who Have Applied to Become

Volunteers

II-1-28

1140 Office of Academic Affiliation

1140.1 Clinical Trainee Onboarding Case File (CTOCF) (Updated) II-1-29

1140.2 Trainee Qualifications and Credentials Verification Letter (TQCVL) (Updated) II-1-29

1150 Office of Quality and Performance

1150.1 Health Care Provider Credentialing and Privileging Records II-1-29

1150.2 Health Care Provider Not Selected for VA Employment II-1-29

1150.3 Quality Management (QM) Records II-1-30

1160 Office of the Medical Inspector

1160.1 Medical Inspector’s Investigation Records II-1-30

1160.2 Medical Inspector Site Visit Reports II-1-30

1170 Office of the Inspector General, Department of Veterans Affairs

1170.1 Hotline Records II-1-30

1170.2 Congressional Case Work II-1-30

1170.3 Executive Correspondence II-1-30

1170.4 IG Personal Papers II-1-30

1170.5 Project Oversight Records II-1-30

1170.6 Working Papers II-1-30

1170.7 Follow-up Records II-1-30

1170.8 Semiannual Report to Congress and Strategic Plan II-1-31

1170.9 Investigative Case Files II-1-31

1170.10 Joint Review Reports II-1-31

1170.11 Hearing/Testimony Records II-1-31

1170.12 Government Accountability Office (GAO) Audit Performance Review Files II-1-31

1180 Office of General Counsel: VA Central Office and Regional Offices

1180.1 Correspondence II-1-31

1180.2 Electronic Tracking and Control Database II-1-32

1180.3 Labor Management Relations General and Case Files II-1-32

1180.4 Equal Employment Opportunity Commission (EEOC) Record Case Files II-1-32

1180.5 Administrative Grievance, Adverse Action & Disciplinary Records II-1-32

1180.6 Real Property Litigation Case Files II-1-32

1180.7 Freedom of Information & Privacy Act Request II-1-33

1180.8 Ethics Material II-1-33

1180.9 Hospital Reimbursement Records II-1-33

1180.10 Debt Collection Records II-1-33

1180.11 Litigation Files II-1-34

1180.12 Administrative Tort Claims II-1-34

1180.13 Bankruptcy Records II-1-34

1180.14 Office Administrative Files II-1-34

1180.15 Contract Files II-1-34

1180.16 Accreditation of Representatives & Service Organizations II-1-34

1180.17 Veterans Benefits II-1-35

1180.18 Appellate Litigation Files II-1-35

1180.19 Budget Materials II-1-35

1180.20 Enhanced Use Leases II-1-35

1180.21 Patent and Invention Licensing II-1-35

1180.22 State Licensing Board II-1-35

1180.23 Procurement Correspondence II-1-35

1180.24 Attorney Reviews of Agency Material II-1-35

1180.25 Legal Opinions II-1-35

1180.26 Interagency Agreements II-1-36

1180.27 Reports Files II-1-36

1180.28 Other Legal Services II-1-36

1180.29 Fiduciary and Guardianship II-1-36

1180.30 Electronic Mail and Word Processing II-1-36

1201 Ionizing Radiation Registry (IRR)

1201.1 Ionizing Radiation Registry (IRR) Records II-1-36

1202 Gulf War Registry (GWR)

1202.1 Gulf War Registry (GWR) Records II-1-37

1202.2 Electronic Mail and Word Processing Superseded by GRS 5.1 Item 020 II-1-37

1203 Agent Orange Registry (AOR)

1203.1 Agent Orange Registry (AOR) Records II-1-37

1250 Health Eligibility Center Records

1250.1 Health Eligibility Center Records II-1-38

1250.2 Tapes received from Social Security Administration and the Internal Revenue

Service

II-1-39

1250.3 Summary Reports and other Output Records II-1-39

1260 Care in the Community, Health and Medical Care Programs, VA

1260.1 Care in the Community, Health and Medical Care Program II-1-39

1270 Disaster Emergency Medical Personnel System

1270.1 Disaster Emergency Medical Personnel System (DEMPS) Records II-1-40

1270.2 Electronic Mail and Word Processing Systems II-1-40

1300 Patient Representation Program

1300.1 Patient Representation Program Records II-1-40

1900 Public Affairs Records

1900.1 Testimony by High-Level Representative before the House & Senate II-1-42

1900.2 Testimony of all other Officials at the VHA VACO HQ before House & Senate II-1-42

1900.3 Speeches and Journal Articles by High-Level Officials II-1-42

1900.4 Speeches and Journal Articles by all other Officials II-1-42

1900.5 Original Daily, Weekly, Monthly News Briefing Book/Binders II-1-42

1900.6 Audiovisual Records related to High-Level Officials II-1-42

1900.7 Audiovisual Records related to Public Service Announcements and Promotion

Material

II-1-42

1900.8 Veteran Health Administration Headquarters Publications II-1-43

1900.9 VHA Senior Executive Services (SES) personnel II-1-43

1900.10 VHA Senior-Level, SES Calendars and Appearance Files of Non-Capstone SES personnel

II-1-43

1900.11 Speeches and Articles by High-Level Regional Employees II-1-43

1900.12 Audiovisual Recordings of Significant Regional Events II-1-43

1900.13 New Release from VISNs or VA Medical Centers II-1-43

1900.14 Consent forms, not stored with related media II-1-43

1900.15 Public Affairs-Related Routine Operational Records II-1-44

1900.16 Public Correspondence and Communications Not Requiring Formal Action II-1-44

1900.17 Public Affairs Product Production Files II-1-44

1900.18 Routine Media Relations Records II-1-45

1900.19 Routine Audiovisual Records II-1-45

1925 Public Customer Service Records Including Call Centers (GRS 6.5)

1925.1 Public Customer Service Operation Records II-1-45

1925.2 Customer/Client Records II-1-45

1925.3 Reserved pending NARA Approval of Call Center Records II-1-46

1930 Veteran Health Administration Call Centers

1930.1 VHA Crisis Line Records II-1-46

1930.2 Medical Advice/Direction Call Centers II-1-46

1930.3 Contract/Finance Related Call Center II-1-46

1930.4 Veteran Administration and/or Veteran Benefits Call Centers II-1-46

1930.5 Facility General Information Call Center II-1-46

1950 Library Services

1950.1 Library network (VALNET) VA Records II-1-46

1950.2 Library Operations Records II-1-59

1950.3 Inter Library-Loan (ILL) Requests II-1-59

CHAPTER TWO- INFORMATION TECHNOLOGY

2000 General Technology Management Records (GRS 3.1)

2000.1 Information Technology Development Project Files II-2-1

2000.2 Information Technology Operations and Maintenance Records II-2-2

2000.3 Configuration and Change Management Records II-2-3

2000.4 Information Technology Oversight and Compliance Records II-2-3

2000.5 Data Administration Records II-2-4

2000.6 Technology Management Administrative Records II-2-5

2000.7 Technical and Administrative Help Desk Operations Records II-2-5

2100 Information Systems Security Records (GRS 3.2)

2100.1 Systems and Data Security Records II-2-5

2100.2 Computer Security Incident Handling, Reporting, and Follow-up Records II-2-5

2100.3 System Access Records II-2-6

2100.4 System Backups and Tape Library Records II-2-6

2100.5 Backups of Master Files and Databases II-2-6

2100.6 PKI Administrative Records II-2-6

2200 Input Records, Output Records, and Electronic Copies (GRS 4.3)- Deleted and replaced by NARA- See GRS 5.1 (1001) and 5.2 (2201).

2201 Transitory and Intermediary Records (GRS 5.2)

2201.1 Transitory Records II-2-10

2201.2 Intermediary Records II-2-10

2300 Records of the Chief Information Officer (GRS 27)- Deleted and replaced by NARA- See GRS

4.2 (1006) and 6.3 (2310).

2301 Information Technology Records (GRS 4.2)

2310.1 Information Technology Program and Capital Investment Planning Records

2310.2 Enterprise Architecture Records

2500 Communications Records (GRS 12)- Deleted and replaced by NARA- See GRS 1.1 (4000), 5.5

(2525) and 5.6 (5252).

2525 Mail, Printing and Telecommunication Service Management Records (GRS 5.5)

2525.1 Mail, Printing, and Telecommunication Services Administrative and Operational Records

II-2-15

2525.2 Mail, Printing, and Telecommunication Services Control Records II-2-15

2525.3 Metered Mail Records II-2-15

2525.4 Lost, Destroyed, or Damaged Shipment Records II-2-15

CHAPTER THREE- CIVILIAN PERSONNEL

3000 Records of Civilian Personnel Records (GRS 1)- Deleted and replaced by NARA- See GRS 2.1 (3010), 2.2 (3030), 2.3 (3050), 2.5 (3300), 2.6 (3400) and 2.7 (3015).

3010 Employee Acquisition Records (GRS 2.1)

3010.1 Classification Standards II-3-1

3010.2 Position Descriptions II-3-1

3010.3 Position Review and Classification Appeals II-3-1

3010.4 Certification of Classification II-3-1

3010.5 Job Vacancy Case Files II-3-2

3010.6 Job Application Packages II-3-2

3010.7 Case Files on Lost or Exposed Job Test Materials II-3-2

3010.8 Request for Non-Competitive Personnel Action II-3-2

3010.9 Interview Records II-3-2

3010.10 Political Appointment (Schedule C) Records II-3-2

3010.11 Excepted Service Appointment Records II-3-3

3010.12 Special Hiring Authority Program Records II-3-3

3010.13 Records Related to Individual Employees Hired Under Special

Temporary Authority

II-3-3

3010.14 Pre-Appointment Files II-3-3

3010.15 Records Delegation of Authority for Examination and Certification II-3-3

3010.16 Delegated Authority Audits II-3-3

3015 Employee Health and Safety Records (GRS 2.7)

3015.1 Clinic Scheduling Records II-3-4

3015.2 Occupational Injury and Illness Program Records II-3-4

3015.3 Occupational Health and Safety Training Records II-3-4

3015.4 Workplace Environmental Monitoring and Exposure Records II-3-4

3015.5 Safety Data Sheets (SDS) II-3-5

3015.6 Occupational Individual Medical Case Files II-3-5

3015.7 Non-Occupational Individual Medical Case Files II-3-6

3015.8 Non-Occupational Health and Wellness Program Records II-3-6

3015.9 Employee Assistance Program (EAP) Counseling Records II-3-6

3015.10 Employee Drug Test Plans, Procedures, and Scheduling Records II-3-7

3015.11 Employee Drug Test Acknowledgement of Notice Form II-3-7

3015.12 Employee Drug Test Specimen Records II-3-7

3015.13 Employee Drug Test Results II-3-7

3020 Employee Management Records (GRS 2.2)

3020.1 Employee Management Administrative Records II-3-17

3020.2 Workforce and Succession Planning Records II-3-17

3020.3 Employee Incentive Award Records II-3-17

3020.4 Official Personnel Folder (OPF/eOPF) II-3-17

3020.5 Notifications of Personnel Actions II-3-17

3020.6 Employee Eligibility Verification Records II-3-18

3020.7 Employee Performance File System Records II-3-18

3020.8 Supervisors’ Personnel Files II-3-18

3020.9 Records Related to Official Passports II-3-18

3020.10 Volunteer Service Program Administration Records II-3-19

3020.11 Volunteer Service Case Files II-3-19

3020.12 Skill Set Records II-3-19

3050 Employee Relations Records (GRS 2.3)

3050.1 Alternative Dispute Resolution Records II-3-20

3050.2 Reasonable Accommodation Records II-3-20

3050.3 Equal Employment Opportunity (EEO) Records II-3-21

3050.4 Anti-Harassment Records II-3-21

3050.5 Labor Management Relations Agreement Negotiation Records II-3-21

3050.6 Administrative Grievance, Disciplinary, and Adverse Action Files II-3-22

3050.7 Displaced Employee Program Files II-3-22

3050.8 Telework/Alternate Worksite Records II-3-23

3075 Employee Compensation and Benefits Records (GRS 2.4)

3075.1 Records Used to Calculate Payroll, Arrange Paychecks Deposit, and

Change Previously Issued Paychecks

II-3-23

3075.2 Tax withholding and Adjustment Documents II-3-24

3075.3 Time and Attendance Records II-3-24

3075.4 Agency Payroll Records for Each Pay Period II-3-24

3075.5 Wage and Tax Statements II-3-24

3075.6 Payroll Program Administrative Records II-3-24

3075.7 Donated Leave Program Administrative Records II-3-24

3075.8 Wage Survey Files II-3-24

3075.9 Incentive Package Records II-3-25

3075.10 Workers’ Compensation (Personnel/Personal Injury Compensation) records II-3-25

3075.11 Requests for Health Benefits Under Spouse Equity II-3-25

3075.12 Child Care Subsidy Program Individual Care File II-3-25

3075.13 Transportation Subsidy Program Administrative Records II-3-26

3075.14 Family Medical Leave Act Program Administrative Record II-3-26

3100 Payrolling and Pay Administration Records (GRS 2)- Deleted and replaced by NARA- See GRS

2.4 (3075) and 2.5 (3300).

3200 Healthcare Retention and Recruitment Office

3200.1 Healthcare Retention and Recruitment Office Records II-3-29

3300 Employee Separation Records

3300.1 Separation Program Management Records II-3-30

3300.2 Individual Employee Separation Case Files II-3-30

3300.3 Records Documenting Capture of Institutional and Specialized Knowledge II-3-30

3300.4 Individual Employee Separation Records Required to be Placed in Separating

Employee’s OPF

II-3-30

3300.5 Phased Retirement Administrative Records II-3-31

3300.6 Phased retirement individual case file II-3-31

3400 Employee Training Records

3400.1 Non-Mission Employee Training Program Records II-3-31

3400.2 Ethics Training Records II-3-32

3400.3 Individual Employee Training Records II-3-32

3400.4 Senior Executive Service Candidate Development Program (SESCDP) II-3-32

CHAPTER FOUR – FINANCE MANAGEMENT

4000 Financial Management and Reporting Records (GRS 1.1)

4000.1 Financial Transaction Records Related to Procuring Goods and Services, Paying

Bills, Collecting Debts, and Accounting

II-4-1

4000.2 Records Supporting Compilation of Agency Financial Statements and Related Audit, and All Records of All Other Reports

II-4-3

4000.3 Property, Plant, and Equipment (PP&E) and Other Asset Counting II-4-3

4000.4 Cost Accounting for Stores, Inventory, and Materials II-4-3

4000.5 Construction Contractors’ Payroll files II-4-3

4000.6 Accounting Administrative Files II-4-4

4000.7 Administrative Claims Files II-4-4

4000.8 Waiver of Claims Files II-4-4

4000.9 Expenditure Accounting General Correspondence and Subject Files II-4-4

4000.10 Contract Appeals Case Files II-4-4

4000.11 Vendor and Bidder Information II-4-4

4100 Budget Preparation, Presentation, and Apportionment Records (GRS 5)- Superseded by

Transmittal #29, Dec 2017, GRS 1.3- See 4110 series.

4110 Budgeting Records (GRS 1.3)

4110.1 Budget Formulation, Estimates, Justifications, and Submissions Records II-4-5

4110.2 Budget Execution Records II-4-6

4110.3 Budget Reports II-4-6

4110.4 Budget Preparation Background Records II-4-6

4110.5 Budget Administration Records II-4-6

CHAPTER FIVE – LOGISTICS AND FACILITIES

5000 Procurement and Supply Records (GRS 3)- GRS 3 was superseded by GRS 1.1, 5.2, 5.4 (5020), and 5.7 (1002).

5020 Facility, Equipment, Vehicles, Property and Supply Records (GRS 5.4)

5020.1 Facility, Space, Vehicle, Equipment, Stock, and Supply Administration and

Operational Records

II-5-5

5020.2 Real Property Ownership Records II-5-5

5020.3 Vehicle and Equipment Ownership Records and Operation Manuals II-5-5

5020.4 Excess Personal Property, Equipment, and Vehicle Records II-5-5

5020.5 Facility Design, Engineering, and Construction Records II-5-5

5020.6 Facility Design, Engineering, and Construction Operations Records II-5-5

5020.7 Facility, Space, Equipment Inspection, Maintenance, and Service Records II-5-5

5020.8 Housing Rental and Lease Records II-5-6

5020.9 Land Vehicle and Water Vessel Inspection, Maintenance, and Service Records II-5-6

5020.10 Aircraft Inspection, Maintenance, and Modification Records II-5-6

5020.11 Vehicle and Heavy Equipment Operation Records II-5-6

5020.12 Aircraft Flight Operation Records II-5-6

5020.13 Aircraft Operational Support Records II-5-6

5020.14 Vehicle and Vessel Accident and Incident Records II-5-6

5050 Property Disposal Records (GRS 4)- GRS 4 was superseded by GRS 5.4 (5020) (DAA-GRS-

2016-0011-0011).

5070 Stores, Plant, and Cost Accounting Records (GRS 8)- GRS 8 was superseded by GRS 1.1 (DAA-

GRS-2016-0013-0001).

5100 Space and Maintenance Records (GRS 11)- Superseded by GRS 5.4 (5020) (DAA-GRS-2016-

0011-0011).

5150 Housing Records (GRS 15)- Superseded by GRS 5.4 (5020) (DAA-GRS-2016-0011-0008).

5200 Cartographic, Arial Photographic, Architectural, and Engineering Records (GRS 17)- Superseded by Transmittal #27, Jan 2017, GRS 2.4 and 6.4- See 1900 and 5020 series.

5250-5255 Police Service, Physical Security and Protective Services Records (GRS 18)- Superseded by Transmittal #27, Jan 2017, GRS 4.2 (DAA-GRS-2017-0013-0003).

5252 Police Service, Physical Security and Protective Services Records (GRS 5.6)

5252.1 Security Administrative Records II-5-13

5252.2 Key and card Access Accountability Records II-5-14

5252.3 Uniform and Equipment Tracking Records II-5-14

5252.4 Property Pass Records II-5-14

5252.5 Records of Credit Card Abuse and Postal Irregularities II-5-14

5252.6 Unclaimed Personal Property Records II-5-14

5252.7 Interagency Security Committee Member Records II-5-14

5252.8 Facility Security Assessment Records II-5-14

5252.9 Records of Routine Security Operations II-5-14

5252.10 Accident and Incident Records II-5-15

5252.11 Visitor Processing Records II-5-15

5252.12 Personal Identification Credentials and Cards II-5-15

5252.13 Local Facility Identification and Card Access II-5-15

5252.14 Sensitive Compartmented Information Facility (SCIF) Accreditation Records II-5-15

5252.15 Sensitive Compartmented Information Facility (SCIF) Inspection Records II-5-15

5252.16 Canine (K-9) Service Records II-5-15

5252.17 Personnel Security Investigative Reports II-5-15

5252.18 Personnel Security and Access Clearance Records II-5-16

5252.19 Index to the Personnel Security Case Files II-5-16

5252.20 Information Security Violations Records II-5-16

5252.21 Insider Threat Administrative and Operations Records II-5-16

5252.22 Insider Threat Inquiry Records II-5-16

5252.23 Insider Threat Information II-5-16

5252.24 Insider Threat User Activity Monitoring (UAM) Data II-5-19

Police Services and Security IT Systems

5252.25 Police and Security Records- VA/Police and Software Package II-5-19

5252.26 VA Police Badge and Training Record System II-5-19

5252.27 Video Surveillance Monitoring Records II-5-19

5252.28 Electronic Video of Significant Incidents II-5-20

5252.29 Management Control Records II-5-20

Police Services and Security IT Administrative Records

5252.30 General Correspondence II-5-20

5252.31 Record Control Files II-5-20

5252.32 Authority Files II-5-20

5252.33 Equipment Record File II-5-20

5252.34 Organization File: Police Service Organization Chart II-5-20

5252.35 Reports (General/Miscellaneous) II-5-20

5252.36 Training Education File II-5-20

5252.37 Evaluations and Review Reports (Police Service Inspection) II-5-21

5252.38 Legal Opinions II-5-21

5252.39 Interagency Agreements (Police Service Memorandum of Understanding

(MOU))

II-5-21

5252.40 Personal Injury Files II-5-21

5252.41 Position Classification Files II-5-21

5253 Personnel Security Clearance Records Code Title Page

5253.1 Security Clearance Administrative Subject Files II-5-16

5253.2 Personnel Security Clearance Files II-5-16

5253.3 Personnel Security Clearance Status Files II-5-17

5253.4 Security Violations Files II-5-17

5253.5 Classified Information Nondisclosure Agreements II-5-17

5254.1 Continuity Planning and Related Emergency Planning Files II-5-17

5254.2 Employee Emergency Contact Information II-5-18

5254.3 Reserved II-5-18

5254.4 National Defense Executive Reserve (NDER) Case Files II-5-18

5300 Motor Vehicle and Aircraft Maintenance and Operation Records (GRS 10)- Superseded by GRS 5.4 (DAA-GRS-2016-0011-0001)

5400 Engineering Service

5400.1 Buildings, Grounds and Equipment File Plan II-5-20

5400.2 Morgue Inspection Files II-5-21

5400.3 Quarters Appraisal File II-5-21

5400.4 Construction Contract Files (Copies) II-5-21

5400.5 Maintenance and Repair Contract Files II-5-21

5400.6 Maintenance and Repair Work Order File II-5-21

5400.7 Service Contract File II-5-21

5400.8 Safety and Fire Prevention File II-5-21

5400.9 Federal Occupational Injuries and Illness File II-5-21

5400.10 Accident Injury, Occupational, Illness or File Reports File II-5-21

5400.11 Inspection Report and Test File II-5-21

5400.12 Laundry Machine Maintenance Record File II-5-22

5400.13 Operating Log File II-5-22

5400.14 Physical Record Card File II-5-22

5400.15 Physical Records Information File II-5-22

5400.16 Recording Charts Files II-5-22

5400.17 Motor Vehicle Inspection File II-5-22

5500 Environmental Management Services

5500.1 Contract File Related to Environmental Services II-5-22

5500.2 Pest Management Plan Files II-5-22

5500.3 Pest Management Certification File II-5-22

5500.4 Pest Management Record File II-5-22

5500.5 Grounds Management File II-5-22

5500.6 Sanitation Procedures File II-5-23

5500.7 Sanitation Standards File II-5-23

5500.8 Sanitation Maintenance File II-5-23

5500.9 Bed Service Operations Files II-5-23

5500.10 Glazing Maintenance Operation File II-5-23

5500.11 Waste Management Operation File II-5-23

5500.12 Laundry Operations File II-5-23

5500.13 Linen Quota File II-5-23

5500.14 Linen Inventory File II-5-23

5500.15 Linen Replacement File II-5-23

5500.16 Uniform Record File II-5-23

5500.17 Patient’s Valuable Records File II-5-23

5500.18 Beneficiaries Effects and Valuables Audit File II-5-23

5500.19 Locker Assignment File II-5-23

5500.20 Space Specification File II-5-24

5500.21 Signage Specification File II-5-24

5500.22 Interior Design Plan File II-5-24

5550 Canteen Services

5550.1 Canteen Operation Budget File II-5-24

5550.2 Vending and Service Contract Files II-5-24

5550.3 Price Agreement Change Notice File II-5-24

5550.4 Price Agreement List File II-5-24

5550.5 Equipment Inventory (Canteen) II-5-24

5550.6 Equipment Transfer File (Canteen) II-5-24

5550.7 Reserved II-5-24

5550.8 Reserved II-5-24

5550.9 Consolidated Inventory Summary File II-5-24

5550.10 Food Department Cost and Inventory Control File II-5-24

5550.11 Overstock List File II-5-24

5550.12 Receiving Register File II-5-24

5550.13 Stock Check Sheet File II-5-25

5550.14 Reserved II-5-25

5550.15 Employee Work Schedule File II-5-25

5550.16 Wage Schedule Files II-5-25

5550.17 Employee Compensation File (Copies) II-5-25

5550.18 Exit Interview File II-5-25

5550.19 Notification of Personnel Action Files II-5-25

5550.20 Petty Cash or Change Fund Receipt File II-5-25

5550.21 Financial Statement File II-5-25

5550.22 Monthly Statement File II-5-25

5550.23 Cash Register Tape File II-5-25

5550.24 Coupon Book Register File II-5-25

5550.25 Payroll Deduction Receipt File II-5-25

5550.26 ARS Document File II-5-25

5550.27 POMS Support Documents II-5-26

5550.28 Reserved II-5-26

5550.29 Price Adjustment Voucher Worksheet File II-5-26

5550.30 Reserved II-5-26

5550.31 Vendors Purchase Order File II-5-26

5550.32 Bank Reconciliation File II-5-26

5550.33 Equipment Voucher File II-5-26

5550.34 Equipment Inventory File II-5-26

5550.35 Equipment Transfer File II-5-26

5550.36 Credit Card Receipt File II-5-26

5550.37 General Ledger File II-5-26

5550.38 Journal Voucher File II-5-27

5550.39 Consolidated Inventory Summary File II-5-27

5550.40 Voucher Stock File II-5-27

5550.41 Travel Voucher File II-5-27

5550.42 Purchase Card File II-5-27

5700 Office of Acquisition and Material Management

5700.1 Purchase Order Register II-5-27

5700.2 Schedule File II-5-27

5700.3 Contract File (On-Site Audit) II-5-27

5700.4 Vendor Performance File II-5-28

5700.5 Form/Form Letter/Publication File II-5-28

5700.6 Forms and Publications Requests File II-5-28

5700.7 Shipments Not Covered by Bill of Lading Register II-5-28

5700.8 Supply Processing and Distribution (SPD) Requisition File II-5-28

5700.9 Master Item List File II-5-28

5700.10 Sterilization Record File II-5-28

5700.11 Tray Layout Card File II-5-28

5700.12 Tax Exemption Certification File II-5-28

5700.13 Catalog Listing File II-5-28

5700.14 Equipment Inventory List II-5-28

5700.15 Excess Property File II-5-29

5700.16 Gas Cylinder File II-5-29

5700.17 Property Accountability File II-5-29

5700.18 Property Voucher File II-5-29

5700.19 Property Voucher Register II-5-29

5700.20 Transaction Register II-5-29

5700.21 Reserved II-5-29

5700.22 Total Control Register File II-5-29

5700.23 Requisition Register II-5-29

5700.24 Supply Requisition File II-5-29

5700.25 Equipment and Testing File II-5-29

5700.26 Reserved II-5-29

5700.27 Reserved II-5-29

5700.28 Hearing Aid and Stump Sock Record File II-5-29

CHAPTER SIX- HEALTHCARE RECORDS

6000 Health Information Management Service

6000.1 Health Record Folder or Consolidated Health Record (CHR) III-6-1

6000.2 Electronic Health Record III-6-2

6000.3 Application for Medical Benefits (Applicants Not in Need of Care File) III-6-2

6000.4 Application for Medical Benefits (Transfer-Out File) III-6-2

6000.5 Privacy Complaint Files III-6-3

6000.6 Electronic Tracking System Files III-6-3

6000.7 Domiciliary Members Treatment Folder III-6-3

6000.8 Domiciliary Members Correspondence Folder III-6-3

6000.9 Outpatient Treatment Folder File III-6-3

6000.10 Hospital Counseling Resources File III-6-4

6010 Patient-Generated Data (PGD)

6010.1 Patient/User Profile III-6-4

6010.2 Patient Generated Health Data & Observations of Daily Living Data (ODLD) III-6-4

6010.3 Medical Assessment Forms III-6-4

6010.4 Stored Images/Documents III-6-5

6010.5 Special Forms III-6-5

6010.6 Video/WAV Files (multimedia) III-6-5

6050 Veteran (Outreach) Center Records

6050.1 Outreach Counseling Folder File III-6-5

6100 Nursing Service

6100.1 Twenty-Four (24) Hour Report File III-6-5

6100.2 Alcohol and Narcotics Record File III-6-5

6100.3 Community Nursing Program File III-6-6

6100.4 Detail Sheet File III-6-6

6100.5 Medication Card File III-6-6

6100.6 Patient Count File III-6-6

6100.7 Procedure Card File III-6-6

6100.8 Daily Assignment File III-6-6

6100.9 Fee Basis Nurses File III-6-6

6100.10 Volunteer Worker File III-6-6

6100.11 Tour of Duty Record File III-6-6

6100.12 Monthly Report of Restraint and Seclusion III-6-6

6110 Social Work Service

6110.1 Patient Index File III-6-6

6110.2 Social Work Clinical Working File III-6-6

6110.3 Social Worker Index File III-6-6

6110.4 Community Placement Facilities File III-6-6

6110.5 General Resource File III-6-7

6120 Rehabilitation Medicine Service

6120.1 Patient Index Card and Attendance Record III-6-7

6120.2 Rehabilitation Medicine Patient Folder File III-6-7

6120.3 Volunteer Workers Record File III-6-7

6200 Surgical Service

6200.1 Operation Log File III-6-7

6200.2 Schedule of Operation File III-6-7

6200.3 Mechanical Circulatory Assist Device (MCAD) Tracker III-6-7

6200.4 Transplant Referral and Cost Evaluation/Reimbursement (TRACER) III-6-7

6200.5 Referral Review Process: VA Transplant Center III-6-8

6200.6 Pre-Operative Case Management Tool III-6-8

6200.7 Continuous Improvement in Cardiac Surgery Program (CISCP) Database III-6-8

6200.8 National Surgical Quality Improvement Program (NSQIP) Database III-6-8

6200.9 VA Surgical Quality Improvement Program (VASQIP) Database III-6-8

6200.10 Ophthalmic Surgical Outcome Database (OSOD) III-6-9

6270 Spinal Cord Injury Service

6270.1 Spinal Cord Dysfunction Registry III-6-9

6270.2 Report of Patients with Spinal Cord Injury or Disease, Patient’s File III-6-9

6270.3 Spinal Cord Injury Home Care Unity Quarterly Activity Report File III-6-10

6300 Neurology Service

6300.1 Electroencephalograph (EEG) Records File III-6-10

6400 Mental Health and Behavioral Sciences Service (Pending SF 115 Approval)

6400.1 Clinical Psychology Research Folder File III-6-10

6400.2 Mental Health/Hygiene Folder File III-6-10

6400.3 Psychology Test Data and Work Sheet File III-6-10

6400.4 Homeless Providers Grant Per Diem File III-6-10

6400.5 Unsuccessful Grant Application File III-6-11

6500 Geriatrics and Extended Care Service

6500.1 Unsuccessful Grant Application Files III-6-11

6500.2 Reserved III-6-11

6500.3 State Home Construction File III-6-11

6600 Dental Service

6600.1 Beneficiaries Ledger Record File III-6-11

6600.2 Dental Appointment Record File III-6-11

6600.3 Dental Laboratory Requisition and Work Record File III-6-11

6600.4 Dental Card Index III-6-11

6600.5 Dental Master Card File III-6-11

6600.6 Dental X-Ray Film File III-6-12

6600.7 Laboratory Case Load Ledger File III-6-12

6600.8 Precious Metals Ledger File III-6-12

6600.9 Precious Metals Issue File III-6-12

6600.10 Old Gold Turn-In File III-6-12

6600.11 Precious Metals Record Card File III-6-12

6650.1 Medical Videos III-6-12

6675.1 Tumor Registry Index File Folder III-6-13

6653 Sleep Study Records

6653.1 Polysomnography (PSG) Tracings File III-6-12

6653.2 Polysomnography (PSG) Audio/Video Files III-6-12

CHAPTER SEVEN – ANCILLARY RECORDS

7000 Medical Service

Code Title Page

7000.1 Electrocardiograph Tracing File III-7-1

7000.2 Tuberculosis Case Register Card File III-7-1

7000.3 Cardiac Catheterization Film (Motion Picture) III-7-1

7000.4 Echocardiogram Video Cassette Recording Tapes III-7-1

7000.5 Emergency Room Register (Log) III-7-1

7100 Laboratory Service

7100.1 Autopsy Protocol File III-7-1

7100.2 Blood Bank Monitoring File (Card) III-7-1

7100.3 Blood Donor File III-7-1

7100.4 Blood Issue File III-7-1

7100.5 Blood Source File III-7-1

7100.6 Blood Transfusion Request and Record File III-7-2

7100.7 Laboratory Examinations File III-7-2

7100.8 Laboratory Methods File III-7-2

7100.9 Laboratory Reports File III-7-2

7100.10 Morgue Record File III-7-2

7100.11 Tissue Examination Record File III-7-2

7100.12 Test Requisition File III-7-2

7100.13 Test Record File III-7-2

7100.14 Laboratory Copies Test Reports (Preliminary, Final, Corrected) III-7-2

7100.15 Pathology Test Reports III-7-2

7100.16 General Laboratory Quality Control Records and Proficiency Test Surveys III-7-2

7100.17 Test Procedures File III-7-2

7100.18 Proficiency Testing Records III-7-2

7100.19 Records of Remedial Action After Proficiency Testing (PT) Failure III-7-2

7100.20 Instrument Maintenance Records III-7-2

7100.21 Instrument Maintenance Records (repairs, parts, replacement records) III-7-3

7100.22 Personnel Records III-7-3

7100.23 Body Fluids III-7-3

7100.24 Peripheral Blood Smears, Body Fluids Smears III-7-3

7100.25 Bone Marrow Smears III-7-3

7100.26 Permanently Stained Slides for Microbiology (e.g. gram, trichrome) III-7-3

7100.27 Specimens from Blood Bank Donors and Recipients III-7-3

7100.28 Donor and Recipient Records III-7-3

7100.29 Records of Employee Signatures, Initials, Identification Codes III-7-3

7100.30 Test Procedures (Transfusion Medicine) Manual III-7-3

7100.31 Blood Bank Test Records and Reports III-7-3

7100.32 Quality Control Records and Proficiency Test Surveys III-7-3

7100.33 Blood and Blood Products Quality Control Records III-7-3

7100.34 Records of Permanently Deferred Donor III-7-3

7100.35 Infectious Disease Records III-7-3

7100.36 Tissue Banking Records for Transplantation III-7-3

7100.37 Histopathology Stained Slides III-7-3

7100.38 Histopathology Blocks III-7-3

7100.39 Wet Tissue III-7-3

7100.40 Reports (Surgical Pathology) III-7-3

7100.41 Accession Logs (Surgical Pathology) III-7-3

7100.42 Surgical Pathology Maintenance Records III-7-4

7100.43 Cytology Slides (Negative, Unsatisfactory) III-7-4

7100.44 Cytology (Suspicious, Positive) III-7-4

7100.45 Cytology Fine Needle Aspiration Slides III-7-4

7100.46 Reports (Cytology) III-7-4

7100.47 Accession Log Reports (Cytology) III-7-4

7100.48 Wet Tissue (Autopsy) III-7-4

7100.49 Paraffin Blocks III-7-4

7100.50 Slides (Autopsy) III-7-4

7100.51 Reports (Autopsy) III-7-4

7100.52 Accession Logs (Autopsy) III-7-4

7100.53 Electronic Mail Records and Word Processing Files III-7-4

7100.54 Tissue Banking Donor and Recipient Records for Transplantation III-7-4

7200 Radiology Service

7200.1 X-ray Film Inventory File III-7-4

7200.2 Radiation Monitoring File III-7-4

7200.3 Radiation Protection Instruction File III-7-4

7200.4 Radium and Radon Control File III-7-4

7200.5 Patient Therapy File (Radiology Service) III-7-4

7200.6 X-ray Film File (General) III-7-4

7200.7 X-ray Film File (Teaching) III-7-5

7200.8 X-ray Pathological Index File III-7-5

7200.9 X-ray Register File III-7-5

7200.10 X-ray Film (Entrance and Separation) III-7-5

7200.11 Mammography X-ray III-7-5

7250 Nuclear Medicine Service

7250.1 Nuclear Scan Alphabetical Index File III-7-6

7250.2 Nuclear Scan Pathological Index File III-7-6

7250.3 Nuclear Scan File III-7-6

7250.4 Nuclear Scan File- Research and Cooperative Studies III-7-6

7250.5 Nuclear Scan File—Research and Cooperative Studies III-7-6

7250.6 Procedures for Safely Opening Package File III-7-6

7250.7 Records of Radiation Protection Programs III-7-6

7250.8 Results of Surveys and Calibrations III-7-6

7250.9 Records of Lifetime Occupational Radiation Dose III-7-7

7250.10 Records Relating to All Aspects of Planned Special Exposures III-7-7

7250.11 Records of Individual Monitoring Results III-7-7

7250.12 Compliance Records for Dose Limits for Individual Members of the Public III-7-7

7250.13 Records of Waste Disposal III-7-7

7250.14 Manifest and Acknowledgement of Receipt for Transferred Waste III-7-7

7250.15 Molybdenum-99, strontium-82, and strontium-85 Concentrations III-7-7

7250.16 Records of Import to Safe and Effective Decommissioning III-7-8

7250.17 Records of Receipt, Transfer, and Disposal III-7-8

7250.18 Statements of Authority and Responsibilities File III-7-8

7250.19 Letter of Authorization for Mobile Nuclear Medicine Service File III-7-8

7250.20 Records of Changes to Radiation Protection Program III-7-8

7250.21 Written Directives III-7-8

7250.22 Records of Medical Events III-7-8

7250.23 Records of Instrument Calibrations Used to Measure the Activity of

Unsealed Byproduct Material

III-7-9

7250.24 Records of Survey Instrument Calibration III-7-9

7250.25 Records of Measurement of Radiopharmaceutical Dosages III-7-9

7250.26 Records of Leak Tests on Brachytherapy Sources III-7-9

7250.27 Records of Leak Tests and Physical Inventory of Sealed Sources III-7-9

7250.28 Records of Ambient Exposure Rates III-7-9

7250.29 Records of Release of Patients to the Public III-7-9

7250.30 Records of Mobile Nuclear Medicine Services III-7-9

7250.31 Records of Each Disposal of Byproduct Material as Ordinary Trash III-7-9

7250.32 Lists of Individuals Receiving Radiation Safety Training III-7-10

7250.33 Records of Dosages of Unsealed Byproduct Material for Medical Use III-7-10

7250.34 Records of Patients Surveys Following Source Removal III-7-10

7250.35 Records of Brachytherapy Source Accountability III-7-10

7250.36 Records of Calibration, Inter-comparison of Dosimetry Equipment III-7-10

7250.37 Records of Installation, Maintenance, Adjustment, and Repair of Remote

After Loader Units

III-7-10

7250.38 Records of Current Training for Each Hazmat Employee III-7-10

7400 Pharmacy Service

7400.1 Federal Supply Schedule File III-7-10

7400.2 Decentralized Contracts File III-7-10

7400.3 Purchase Order File III-7-10

7400.4 Controlled Substance II Order File III-7-11

7400.5 Schedule II and Schedule III Narcotics and Alcohol Register III-7-11

7400.6 Excess Alcohol and Narcotics File III-7-11

7400.7 Formula Cards File III-7-11

7400.8 Inventory File III-7-11

7400.9 Investigational Drug File III-7-11

7400.10 Pharmacy Order File III-7-11

7400.11 Prescription File III-7-11

7400.12 Standardization Recommendations File III-7-11

7400.13 Stock Locator Index File III-7-11

7400.14 Stock Record Card File III-7-11

7500 Nutrition and Food Service

7500.1 Receipt File III-7-11

7500.2 Cost Accounting File III-7-11

7500.3 Cost Analysis File III-7-11

7500.4 Meal Ticket File (Patient) III-7-11

7500.5 Meal Ticket File (Employee) III-7-11

7500.6 Meal Control File III-7-12

7500.7 Diet File III-7-12

7500.8 Diet Prescription File III-7-12

7500.9 Menu File III-7-12

7500.10 Recipe File III-7-12

7500.11 Patient Education File III-7-12

7600 Recreation Therapy Service

7600.1 Activity Worksheet File III-7-12

7600.2 Clearance Record File III-7-12

7600.3 Equipment Charge-Out File III-7-12

7600.4 Patient Record Card File III-7-12

7600.5 Volunteer Workers Record File III-7-12

7700 Prosthetic and Sensory Aids Service

7700.1 Commercial Source Folder File III-7-12

7700.2 Record of Prosthetics Service File III-7-12

7700.3 Orthopedic and Prosthetics Appliance Clinic Team Folder File III-7-12

7700.4 National Prosthetic Patient Database (NPPD) and Related Records III-7-12

7700.5 Home Improvement Structural Alterations III-7-13

7700.6 Automobile Adaptive Equipment (AAE) III-7-13

7700.7 Home Respiratory Care III-7-13

7700.8 Prosthetic (Amputee) III-7-13

7760 Audiology and Speech Pathology Services

7760.1 Hearing Aid Loaner File III-7-13

7760.2 Hearing Aid Battery Records III-7-13

7760.3 Equipment Charge-Out File III-7-13

7760.4 Clinical Appointment Schedule III-7-13

7760.5 Hearing Aid Inventory File III-7-13

7760.6 Clinical Audiology and Speech Pathology Folder File III-7-14

7760.7 Audiology Accumulative Record File III-7-14

7800 Occupational Health Programs

7800.1 Automated Safety Incident Surveillance and Tracking System (ASISTS) III-7-14

7800.2 Word Processing and Electronic Records III-7-14

7800.3 Occupational Health Recordkeeping System (OHRS) III-7-15

7800.4 Environment of Care (EOC) Master File/Database Assessment and

Compliance Tool

III-7-15

CHAPTER EIGHT – RESEARCH AND DEVELOPMENT

8000 General Program Records

8000.1 ORD Subject Files III-8-1

8000.2 Program Management Files III-8-1

8000.3 Congressional Relations Files III-8-1

8000.4 Briefing Records III-8-1

8000.5 Field Correspondence Files III-8-1

8000.6 Education, Training, and Outreach Files III-8-1

8050 Technology Transfer

8050.1 Invention Disclosure Case Files III-8-2

8050.2 Patent Case Files III-8-2

8050.3 Cooperative Agreement Files III-8-2

8050.4 VA Confidential Disclosure Agreements III-8-2

8050.5 Technology Transfer Agreements III-8-2

8050.6 License Transmittal Files III-8-2

8100 Non-Profit Research and Education Corporations (NPC)

8100.1 Annual Reports from Non-Profit Research and Education Corporations (NPCs) III-8-2

8100.2 Audit Case Files III-8-2

8150 Intramural Research Funding

8150.1 Requests or Solicitations for Research III-8-3

8150.2 Approved or Funded Case Files III-8-3

8150.3 Not Approved, Withdrawn, or Appealed Case Files III-8-3

8150.4 Merit Review FACA Committee Files III-8-3

8200 VA Central Institutional Review Board (IRB) and VA Central Office (VACO) Human Research Protection Program (HRPP)

Code Title Page

8200.1 VA Central IRB Protocol Files III-8-3

8200.2 VA Central IRB Operating Files III-8-4

8200.3 VACO Human Research Protection Program (HRPP) Files III-8-4

8250 Human Research Protection Program (HRPP) Accreditation

8250.1 Accreditation Application Case Files III-8-4

8250.2 Accreditation Organization Contract Files III-8-4

8300 VA Field Facility Research Program

8300.1 Documentation of Required Activities III-8-5

8300.2 Research Accreditation III-8-5

8300.3 Research Publications III-8-5

8300.4 Veterinarian Medical Unit Files III-8-5

8300.5 Research Biosafety and Biosecurity Program Files III-8-5

8300.6 Researcher Investigator Files III-8-5

8300.7 Research Review Committee and Subcommittee Protocol Files III-8-6

8300.8 Research Review Committee or Subcommittee Operating Files III-8-6

8500 Office of Research Oversight (ORO)

8500.1 Case Records Containing Official Determinations III-8-7

8500.2 Evidential Records III-8-7

8500.3 Policy and Guidance Records III-8-7

8500.4 Formal Briefing Records III-8-7

8500.5 Congressional Relations Records III-8-7

8500.6 Transitory Records with Limited Historical Value III-8-7

8500.7 Duplicate Records III-8-8

8500.8 Reference Documents III-8-8

8500.9 Supplemental Records III-8-8

8500.10 Correspondence III-8-8

8500.11 Office of Research Compliance and Assurance (ORCA) Records III-8-8

8500.12 Work Status Records III-8-8

8600 Office of Research Oversight Research Case Files

8600.1 Research Misconduct Case Records Involving Allegations Referred for an

Inquiry and/or Investigation

III-8-8

8600.2 Research Misconduct Case Records Involving Allegations that are Not Referred for an Inquiry and/or Investigation

III-8-9

8600.3 Case Records Maintained Throughout VHA for Government-wide Suspensions and Debarments Based on Research Impropriety

III-8-9

January 2019 RCS 10-1

I-1

VHA RECORDS CONTROL SCHEDULE 10-1

1. PURPOSE

The Records Control Schedule (RCS) 10-1 provides Veterans Health Administration (VHA) records retention and disposition requirements for VHA Central Office, Program Offices, and field facilities. The primary purpose of this revision is to incorporate changes to RCS 10-1 issued since the last publication date of September 2017. The schedule is divided into eight chapters.