January 2021 Department of Veterans Affairs RECORDS CONTROL SCHEDULE 10-1 Veterans Health Administration Washington DC 20420 January 2021 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 January 2019. The schedule is divided into eight chapters. Each chapter covers a group of records, e.g., chapter one covers administrative records. The first four chapters include most of the National Archives and Records Administration (NARA) General Records Schedules (GRS). Space for additional records schedules is available to allow for future expansion. The VHA Records Management Office intends to update this schedule every three years in order to publish the most up to date records management requirements. Between updates the VHA Records Management Office will post new or revised schedules on the HIM/RM (Health Information Management/Records Management) website. Schedules are not required to be in the RCS 10-1 to be a legal schedule. Once a schedule is approved by the Archivist of the United States it must be used to manage the agency’s records. 2. INTRODUCTION a. Title 44, Section 3301, of the United States (U.S.) Code defines records as “all books, papers, maps, photographs, machine-readable materials or other documentary materials, regardless of the physical form or characteristics, made or received by an agency of the U.S. Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies decisions, procedures, operations, or other activities of the government or because of the information value of data in them. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience or reference, and stocks of publications and of processed documents are not included. These items are referred to as non-record materials. b. The VHA Records Control Schedule (RCS) 10-1 is the main authority for the retention and disposition requirements of VHA records. It provides a brief description of the records and states the retention period and disposition requirements. It also provides the NARA disposition authorities or the GRS authorities, whichever is appropriate for the records, in addition to program and service sections. c. The GRS provides disposal authorities for temporary administrative records common to all Federal agencies. It covers records relating to: personnel, budget and finance, procurement, information technology, and other common functions and activities of Federal agencies. Any deviation from the GRS must be authorized by NARA in accordance with 36 Code of Federal Regulations (CFR) 1228.42(B). Requests for deviations from either the RCS 10-1 or GRS retention and disposition requirements are to be submitted to the VHA Records Management Office 1 January 2021 via the Facility requesting the change and the primary VHA Program Office with authority over the record type that is being requested for change. 3. RECORDS MANAGEMENT RESPONSIBILITIES a. The Assistant Deputy Under Secretary for Informatics and Analytics (10P2), Executive Director Information Governance (10P2C) Health Information Management/Records Management Office will be referred to as the VHA Records Management Office throughout this document. The VHA Records Management Office is responsible for developing policies and procedures for effective and efficient records management throughout VHA including VHA Program Offices and Veterans Administration (VA) Medical Centers. In addition, the Office acts as the liaison between VHA and NARA on issues pertaining to records management practices and procedures. b. VHA Field/Facility Records Managers are responsible for all records management activities at their site. c. All VHA employees are responsible for ensuring that records are created, maintained, protected, and dispositioned in accordance with NARA regulations and VA policies and procedures. 4. DISPOSITION OF RECORDS The RCS 10-1 contains retention and disposition requirements for VHA records authorized by NARA or assigned a GRS authority. Record disposition refers to the transfer of records to an approved records storage facility, transfer of permanent records to NARA, the destruction of records, or other appropriate actions to dispose of records. Unless retrieved; records transferred to a storage facility shall be dispositioned after expiration of their retention requirements. 5. PERMANENT AND UNSCHEDULED RECORDS Permanent and unscheduled records in VHA custody must be reported through the VHA Records Management Office to NARA. Permanent (archival) records are defined as records appraised by NARA to have sufficient historical value or other value to warrant permanent preservation at the NARA. Un-appraised and unscheduled records are records that have not been evaluated to determine their record retention or disposition. Such records are to be retained until they receive disposition authority from NARA. The VHA Program Offices responsible for unscheduled records shall work with the Field/Facility Records Manager, VHA Records Management Office and the VHA Records Officer to identify, describe and submit to NARA a request for disposition authority using the NARA electronic Records Archives (ERA) system. 6. MEDIA NEUTRAL RECORDS 2 January 2021 a. A media neutral schedule item on a records disposition schedule (i.e., SF 115, Request for Records Disposition Authority or NARA Electronic Records Archives (ERA) records scheduling module) applies to the described records regardless of their medium. Program Offices must submit a new schedule request through the VHA Records Management Office to NARA for approval of electronic versions of previously scheduled records if: (1) The content and function of the records have changed significantly (e.g., the electronic records contain information that is substantially different from the information included in the hard copy series or are used for different purposes). (2) The previously approved schedule explicitly excluded electronic records. (3) The electronic records consist of program records maintained on an agency Web site. (4) The electronic records consist of temporary program records maintained in a format other than scanned image AND the previously approved schedule is not media neutral. b. Temporary still pictures, sound recordings, motion picture film, and video recordings. Apply the previously approved schedule to digital versions. c. Scanned images of temporary records, including temporary program records. Apply the previously approved schedule. d. Other temporary records maintained in an electronic format other than scanned images: (1) For temporary records that are covered by an item in the GRS (other than those GRS items that exclude electronic master files and databases) or an agency-specific schedule that pertains to administrative housekeeping activities, apply the previously approved schedule. If the electronic records consist of information drawn from multiple hard copy series, apply the previously approved schedule item with the longest retention period. This is common when creating an electronic system that replaces a number of paper and electronic record types. The older systems and paper records are now placed into a new system. In the past these records may have covered various disposition life cycles. In the case of finance records the range could have been from one to six years. If the records in the new electronic system cannot be dispositioned separately then they must be kept for the longest disposition, in this case six years. (2) For temporary program records covered by a NARA-approved media neutral schedule item (i.e., the item appears on a schedule submitted to NARA for approval before December 17, 2007, that is explicitly stated to be media neutral, or it appears on a schedule submitted to NARA for approval on or after December 17, 2007, that is not explicitly limited to a specific recordkeeping medium), are considered media neutral. An example of this is the Health Records Folder File or Consolidated Health Record (CHR). The original NARA approved records disposition schedule was NARA (Job No. N1-15-91-6 item 1). This schedule was written and approved in 1991 and was for the paper health record only. In 2000 3 January 2021 (VHA) created an “Electronic Health Record”. Since this record was not paper VHA was required to submit to NARA a request for an electronic record schedule NARA (Job No. N1-15-02-3). This records schedule was created in 2002 which makes both the paper and electronic health record media neutral for future changes. 7. DAMAGE TO AND UNAUTHORIZED DESTRUCTION OF RECORDS a. VHA records shall not be disposed of without the proper authorization to do so. Federal law prohibits unauthorized destruction or mutilation of Federal records. The penalty for such acts is a $2,000 fine, 3 years in prison, or both pursuant to Title 18 United States Code 2071. Damage to, and unauthorized destruction of records is to be reported to the VHA Records Office immediately upon knowledge of such an act of destruction. b. VHA officials must take measures to ensure