Local Schedule HR, Retention Schedule for Records of Public Health Agencies

Related:

(Second Edition, Effective April 3, 2011) 13 TAC §7.125(a)(11)

Download: Word | PDF

Table of Contents

This schedule establishes mandatory minimum retention periods for records of public health agencies. The term “local public health agency” means any local health department or unit owned, operated, or leased by a local government, including: public health districts, public hospitals, hospital districts, hospital authorities, animal control departments, animal shelters, and the abolished office of county inspector of hides and animals. Public health agencies owned, operated, or leased by a state agency, including state universities, should follow the retention periods set forth in that state agency’s records retention schedule. No local government office may dispose of a record listed in this schedule prior to the expiration of its retention period. A records control schedule of a local government may not set a retention period that is less than that established for the record in this schedule. Original paper records may be disposed of prior to the expiration of their minimum retention periods if they have been microfilmed or electronically stored pursuant to the provisions of the Local Government Code, Chapter 204 or Chapter 205, as applicable, and rules of the Texas State Library and Archives Commission adopted under those chapters. Actual disposal of such records by a local government is subject to the policies and procedures of its records management program.

Destruction of local government records contrary to the provisions of the Local Government Records Act of 1989 and administrative rules adopted under it, including this schedule, is a Class A misdemeanor and, under certain circumstances, a third degree felony (Penal Code, Section 37.10). Anyone destroying local government records without legal authorization may also be subject to criminal penalties and fines under the Public Information Act (Government Code, Chapter 552).

INTRODUCTION

The Government Code, Section 441.158, provides that the Texas State Library and Archives Commission shall issue records retention schedules for each type of local government, including a schedule for records common to all types of local government. The law provides further that each schedule must state the retention period prescribed by federal or state law, rule of court, or regulation for a record for which a period is prescribed; and prescribe retention periods for all other records, which periods have the same effect as if prescribed by law after the records retention schedule is adopted as a rule of the Commission.

The retention period for a record applies to the record regardless of the medium in which it is maintained. Some records listed in this schedule are maintained electronically in many offices, but electronically stored data used to create in anymanner a record or the functional equivalent of a record as described in this schedule must be retained, along with the hardware and software necessary to access the data, for the retention period assigned to the record, unless backup copies of the data generated from electronic storage are retained in paper or on microfilm for the retention period.

Unless otherwise stated, the retention period for a record is in calendar years from the date of its creation. The retention period applies only to an official record as distinct from convenience or working copies created for informational purposes. Where several copies are maintained, each local government should decide which shall be the official record and in which of its divisions or departments it will be maintained.Local governments in their records management programs should establish policies and procedures to provide for the systematic disposal of copies.

A local government record may not be destroyed if any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record is initiated prior to the destruction of the record until the completion of the action and the resolution of all issues that arise from it or until the expiration of the retention period of the record, whichever is later.

If a record described in this schedule is maintained in a bound volume of a type in which pages were not meant to be removed, the retention period, unless otherwise stated, dates from the date of last entry.

If two or more records listed in this schedule are maintained together by a local government and are not severable, the combined record must be retained for the length of time of the component with the longest retention period. A record whose minimum retention period on this schedule has not yet expired and isless than permanent may be disposed of if it has been so badly damaged by fire, water, or insect or rodent infestation as to render it unreadable, or if portions of the information in the record have been so thoroughly destroyed that remaining portions are unintelligible. If the retention period for the record ispermanent in this schedule, authority to dispose of the damaged record must be obtained from the director and librarian of the Texas State Library and Archives Commission. A Request for Authority to Destroy Unscheduled Records (Form SLR 501) should be used for this purpose.

Certain records listed in this schedule are assigned the retention period of AV (as long as administratively valuable). This retention period affords local governments the maximum amount of discretion in determining a specific retention period for the record described. Although AV may be used as a retention period on a records control schedule of a local government, it is in the best interests of any records management program that fixed retention periods are assigned for records. AV records tend to accumulate and go unmanaged.

Use of Asterisk (*)

The use of an asterisk in this second edition of Local Schedule HR indicates that the record is either new to this edition, the retention period for the record has been changed, or substantive amendments have been made to the description or remarks concerning the record. An asterisk is not used to indicate minor amendments to grammar or punctuation.

ABBREVIATIONS USED IN THIS SCHEDULE

AV - As long as administratively valuable
CFR – Code of Federal Regulations
FE – Fiscal year end
TAC – Texas Administrative Code
US – Until superseded

RECORDS OF PUBLIC HEALTH AGENCIES

Retention Notes: a) For records of county medical examiners and emergency medical services agencies, and for emergency communications records, see Local Schedule PS (Records of Public Safety Agencies).

b) For administrative, financial, personnel, and support services records not included in this schedule, see Local Schedule GR (Records Common to all Governments).

PART 1: RECORDS COMMON TO PUBLIC HEALTH AGENCIES

Retention Note: This part provides retention periods for records common to two or more of the public health agencies included in this schedule.

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4750-01

APPOINTMENT RECORDS

  

AV.

  

HR4750-02

GRANT RECORDS

All records and supporting documentation necessary to disclose the services provided and financial management of the grant.

    

HR4750-02a

GRANT RECORDS

Women, infants, children (WIC).

3 years following the date of the submission of the final expenditure report for the period to which the report pertains.

By regulation - 7 CFR 246.25(a)(2).

Retention Notes: a)If any litigation, claim, negotiation, audit, or other action involving the records has been started before the end of the three-year period, the records must be kept until all issues are resolved, or until the end of the regular three-year period, whichever later.

b)Records of non-expendable property acquired in whole or in part with WIC program funds must be retained for 3 years after its final disposition.

HR4750-02b

GRANT RECORDS

Title XX family planning.

5 years from the date of the service, or until all audit questions are resolved, whichever later.

By regulation - 1 TAC 354.1004.

HR4750-02c

GRANT RECORDS

Early childhood intervention (ECI).

(1) All necessary records and claims to fully document the services and supplies provided.

(2) All records pertaining to the financial management of the grant.

5 years from the date of service or until all audit questions, appeal hearings, investigations, or court cases are resolved, as applicable.

5 years from the date of submission of the annual or final report or until all audit questions are resolved, whichever later.

By regulation - 40 TAC 108.709.

By regulation - 40 TAC 108.709.

HR4750-02d

GRANT RECORDS

Other grants funded through Medicaid.

5 years from the date of the service or until all audit questions are resolved, whichever later.

By regulation - 1 TAC 354.1004.

HR4750-02e

GRANT RECORDS

Other federal grants and cooperative agreements such as community health services projects, project grants for genetic diseases testing and counseling programs, hemophilia treatment centers, etc.

3 to 7 years or until resolution of all issues arising from claim, negotiation, audit, or other actions. See retention note.

Retention Note: To determine the retention period, see Retention Note (b) to Part 2: Financial Records in Local Schedule GR (Records Common to All Governments).

HR4750-03

MEDICAL WASTE MANAGEMENT RECORDS

      

HR4750-03a

MEDICAL WASTE MANAGEMENT RECORDS

Records of on-site treatment by generator of medical waste (animal waste, bulk human blood and blood products, microbiological waste, pathological waste, and sharps), including date of treatment, amount of waste treated, method/conditions of treatment, person performing treatment, and written procedures. For incinerators the hours of operation and all monitoring and testing results are also required.

2 years.

By regulation - 30 TAC 111.127(b) for operators of on-site medical waste incinerators, and by authority of this schedule for all other types of treatment.

HR4750-03b

MEDICAL WASTE MANAGEMENT RECORDS

Waste shipment records maintained by the generator of medical waste such as waste shipping control tickets, tracking forms, exception reports, shipment logs, and receipts from the transporter documenting the weight of waste collected and date of collection.

3 years.

By regulation - 30 TAC 330.1207(b)(3).

*HR4750-04

MEDICARE RECORDS

Billing and cost report materials.

5 years after the month the cost report is settled.

By regulation - Medicare Claims Processing Manual, Chapter 1, Sec. 110.3.

HR4750-05

OPERATIONAL PERMITS, LICENSES, AND CERTIFICATIONS

Permits, licenses, and certifications from the Texas Department of State Health Services or other government agencies as required by law or regulation for the operation of local government owned laboratories, clinics, or other health-related facilities; and any reports, correspondence, or other documentation bearing directly on the application for, the issuance of, or the renewal of the permit, license, or certificate.

Expiration or cancellation + 3 years.

  

HR4750-06

PLANNING RECORDS

Reports, studies, analyses, projections, and other planning documents relating to the development of local health, sanitary inspection, and environmental quality programs and public hospitals.

5 years.

Retention Note: Before disposal, appraise for continuing administrative usefulness and historical value. Those records relating to major development projects and other records considered of historical value should be retained PERMANENTLY.

HR4750-07

RADIATION CONTROL RECORDS

      

*HR4750-07a

RADIATION CONTROL RECORDS

Records showing the receipt, transfer, and disposal of all licensed or registered sources of radiation. Documentation of disposal should include waste shipping records, such as manifests and receipts.

Until termination of license or certificate of registration.

By regulation – 25 TAC 289.202(tt)(2).

HR4750-07b

RADIATION CONTROL RECORDS

Records of radiation protection programs.

(1) Documentation of the provisions of the program.

(2) Audits and other reviews of program content and implementation.

(3) Records at additional sites authorized by a licensee or certificate of registration.

Until termination of license or certificate of registration.

3 years.

Period specified for the authorized activity.

By regulation - 25 TAC 289.202(mm).

By regulation - 25 TAC 289.202(mm)(2).

By regulation - 25 TAC 289.202(ll)(5).

*HR4750-07c

RADIATION CONTROL RECORDS

Routine surveys, instrument calibrations, and package surveys.

3 years.

By regulation - 25 TAC 289.202(nn)(1).

HR4750-07d

RADIATION CONTROL RECORDS

Surveys used for dose determination; results of air sampling, surveys, and bioassays; and results of measurements and calculations used to evaluate the release of radioactive effluents to the environment.

Until termination of license or certificate of registration.

By regulation - 25 TAC 289.202(nn)(2).

HR4750-07e

RADIATION CONTROL RECORDS

Tests for leakage or contamination of sealed sources of radioactive material.

5 years.

By regulation - 25 TAC 289.202(oo).

HR4750-07f

RADIATION CONTROL RECORDS

Cumulative occupational exposure history.

Until termination of license or certificate of registration.

By regulation - 25 TAC 289.202(pp).

HR4750-07g

RADIATION CONTROL RECORDS

Records used to prepare BRC Form 202-2 or equivalent for the Texas Department of State Health Services.

3 years.

By regulation - 25 TAC 289.202(pp).

HR4750-07h

RADIATION CONTROL RECORDS

Records of planned special exposures.

Until termination of license or certificate of registration.

By regulation - 25 TAC 289.202(qq)(2).

HR4750-07i

RADIATION CONTROL RECORDS

Records of individual dose monitoring results, including at least annual updates of BRC Form 202-3 or records containing all the information required by BRC Form 202-3.

Until termination of license or certificate of registration.

By regulation - 25 TAC 289.202(rr)(5).

HR4750-07j

RADIATION CONTROL RECORDS

Records documenting compliance with the dose limit for individual members of the public.

Until termination of license or certificate of registration.

By regulation - 25 TAC 289.202(ss).

HR4750-07k

RADIATION CONTROL RECORDS

Records of the disposal of licensed materials by discharge into sanitary sewage or treatment by incineration.

Until termination of license or certificate of registration.

By regulation - 25 TAC 289.202(tt).

HR4750-07l

RADIATION CONTROL RECORDS

Records of testing entry control devices for very high radiation areas.

3 years.

By regulation - 25 TAC 289.202(uu).

*HR4750-07m

RADIATION CONTROL RECORDS

Tests of protective equipment including aprons, gloves, and shields.

3 years.

By regulation - 25 TAC 289.227(s)(1)(I).

*HR4750-07n

RADIATION CONTROL RECORDS

Records of receipt, transfer, and disposal of radiation machines; correspondence to and from the Texas Department of State Health Services regarding radiation machines' records of surveys, calibrations, spot checks, maintenance, and modifications performed on radiation machines after April 1, 1989.

Until termination of certificate of registration or until inspection by the Texas Department of State Health Services, whichever occurs first.

By regulation - 25 TAC 289.226; 289.227(s)(1)(R); 289.229(k); 289.232(k)(1)(X)(i); 289.233(j)(2)(N); or 289.253(dd)(5), depending on type of machine.

*HR4750-07o

RADIATION CONTROL RECORDS

Documentation of test calibrations to determine compliance with the standards for human diagnostic x-ray systems (radiographic, radiographic/fluoroscopic, dental, and computed tomography), including any numerical readings and any corrections or repairs.

3 years.

By regulation - 25 TAC 289.226; 289.227(s)(1)(S); 289.229(k); or 289.253(dd)(5), depending on type of system.

*HR4750-07p

RADIATION CONTROL RECORDS

Images of spot checks for computed tomography (CT) x-ray systems.

3 years.

By regulation - 25 TAC 289.227(s)(1)(M).

*HR4750-07q

RADIATION CONTROL RECORDS

Records for mammography x-ray systems.

(1) Quality assurance (QA) records for mammography systems including annual review of quality assurance program, documentation of equipment monitoring, checks of quality control items, and any necessary corrections.

(2) Mammography equipment evaluations performed by a licensed medical physicist.

(3) Annual Mammography Survey Report performed by a licensed medical physicist.

(4) Original mammograms.

Until the next annual inspection has been completed and the agency has determined that the facility is in compliance with

the QA requirements or until the test has been performed

two additional times at the required frequency, whichever is longer.

2 years.

7 years.

Until the earlier of a) 5 years; b) if additional mammography of the same patient is not performed by the facility, 10 years; or c) at the request of the patient or physician, the original mammogram may be forwarded to another medical institution.

By regulation - 25 TAC 289.230(ff)(3).

By regulation – 25 TAC 289.230(ff)(3).

By regulation – 25 TAC 230(ff)(3).

By regulation – 25 TAC 230(i)(4).

*HR4750-07r

RADIATION CONTROL RECORDS

Records for therapeutic x-ray systems of less than 1 MeV.

(1) Calibrations of the therapy system.

(2) Spot check measurements and records of any necessary corrective actions.

3 years.

3 years.

By regulation - 25 TAC 289.229(k).

By regulation - 25 TAC 289.229(k).

*HR4750-07s

RADIATION CONTROL RECORDS

Records for therapeutic x-ray systems of more than 1 MeV.

(1) Calibrations of the therapy system and of the dosimetry system.

(2) Spot check measurements and records of any necessary corrective actions.

3 years.

3 years.

By regulation - 25 TAC 289.229(k).

By regulation - 25 TAC 289.229(k).

*HR4750-07t

RADIATION CONTROL RECORDS

Records and reports of misadministration of radionuclides.

Until termination of licenseor certificate of registration.

By regulation - 25 TAC 289.202(nn)(2).

HR4750-08

REPORTS TO GOVERNMENT AGENCIES

Reports to local, state, or federal agencies regarding any aspect of local public health activities and programs except for those reports specified elsewhere in this schedule.

    

HR4750-08a

REPORTS TO GOVERNMENT AGENCIES

Annual reports.

PERMANENT.

  

HR4750-08b

REPORTS TO GOVERNMENT AGENCIES

Special reports that are not recapitulated in annual reports.

AV unless otherwise required by requesting government.

  

HR4750-08c

REPORTS TO GOVERNMENT AGENCIES

Interim or periodic reports on a less than annual basis that are recapitulated in an annual report or in a special report under (b).

1 year.

  

HR4750-09

SPECIAL PROJECTS AND RESEARCH DOCUMENTATION

  

10 years after completion of research or project.

Retention Note:Review before disposal, records may have PERMANENT retention for historical and/or future research value.

HR4750-10

SURVEY AND INSPECTION REPORTS

Includes building and fire inspections, and Joint Commission on the Accreditation of Healthcare Organizations (JCAHO) surveys. Does not include surveys for monitoring radiation (see item number HR4750-07).

3 years.

  

*HR4750-11

VOLUNTEER SERVICE FILES

Information about individual volunteers and duties they perform.

US or date of separation+ 3 years.

  

*HR4750-12

MEDICAID PROVIDER RECORDS

Records documenting services rendered.

    

*HR4750-12a

MEDICAID PROVIDER RECORDS

All records necessary to fully disclose the services provided, including financial records relating to program services.

5 years from date of service or until all audit questions, appeal hearings, investigations, or court cases are resolved.

By regulation – 1 TAC 354.1004 and Texas Medicaid Provider Procedures Manual, Chapter 1.

*HR4750-12b

MEDICAID PROVIDER RECORDS

Freestanding Rural Health Clinics (RHCs).

6 years.

By regulation – Texas Medicaid Provider Procedures Manual, Chapter 1.

*HR4750-12c

MEDICAID PROVIDER RECORDS

Hospital-based Rural Health Clinics (RHCs).

10 years.

By regulation – Texas Medicaid Provider Procedures Manual, Chapter 1.

return to top

PART 2: RECORDS OF LOCAL PUBLIC HEALTH AUTHORITIES

Retention Notes: a)In this part the term "local health authority" means local health units, local health departments, public health districts, and health personnel appointed by municipalities and counties without organized local public health departments or districts.

b)This part should not be used for the records of a hospital owned, operated, or leased by a local government (see Part 3: Records of Local Public Hospitals).

SECTION 2-1: MEDICAL RECORDS

Retention Note: Records in this section have retention periods based on recommendations of the Texas Department of State Health Services and must be destroyed by shredding, pulping, or burning (if allowed by local ordinance).

Record Number

Record Title

Record Description

Retention Period

Remarks

*HR4775-01

COMMUNICABLE DISEASE SURVEILLANCE FORMS

Copies of surveillance forms completed by Texas Department of State Health Services personnel and maintained by local health authorities.

7 years past date last encounter occurred or until patient reaches 21st birthday, whichever later.

  

*HR4775-02

DENTAL RECORDS AND REFERRALS

  

5 years.

By regulation - 22 TAC 108.8(b) for minimum retention required for dental records maintained by dentist.

Retention Note: Because of the use of these records for identification purposes, the Texas Department of Public Safety recommends dental records be maintained a minimum of 10 years.

HR4775-03

IMMUNIZATION RECORD AND CONSENT FORMS

      

HR4775-03a

IMMUNIZATION RECORD AND CONSENT FORMS

Adults.

10 years following end of calendar year in which consent form was signed.

  

*HR4775-03b

IMMUNIZATION RECORD AND CONSENT FORMS

Persons under the age of 18.

21st birthday or 10 years following end of calendar year in which consent form was signed, whichever later.

  

HR4775-04

PATIENT RECORDS

Medical records, including laboratory reports and master index to records, of persons treated in local health programs and similar records created as the result of control or surveillance measures instituted by a local health authority.

    

*HR4775-04a

PATIENT RECORDS

Adult health, child health, chronically ill and disabled children, and communicable diseases.

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By regulation - 22 TAC 165.1(b).

*HR4775-04b

PATIENT RECORDS

Family health.

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

Byregulation - 22 TAC 165.1(b).

*HR4775-04c

PATIENT RECORDS

Family planning, including Title XX medical records.

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By regulation - 22 TAC 165.1(b).

Retention Notes: a)The retention period of records that document the use of an I.U.D. will begin at the end of the effective life of the I.U.D.

b)The retention period of records that document the surgical implantation of contraceptives will begin when the contraceptive is exhausted.

*HR4775-04d

PATIENT RECORDS

Maternal health.

7 years past the last date on which service was given, mother’s 21st birthday, or until the infant's 21st birthday, whichever later.

By regulation - 22 TAC 165.1(b).

*HR4775-04e

PATIENT RECORDS

Sexually transmitted diseases except syphilis and HIV/AIDS.

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By regulation - 22 TAC 165.1(b).

*HR4775-04f

PATIENT RECORDS

Syphilis.

(1) Positive test results.

(2) Negative test results.

7 years past the date of patient's death, if known; or 18 years from last date of service, if not known.

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

Recommendation of the Texas Department of State Health Services.

By regulation - 22 TAC 165.1(b).

*HR4775-04g

PATIENT RECORDS

HIV/AIDS.

7 years past the date of patient's death, if known; or 18 years from last date of service, if not known.

Recommendation of the Texas Department of State Health Services.

*HR4775-04h

PATIENT RECORDS

Tuberculosis (including, but not limited to, x-rays and/or digital images).

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By regulation - 22 TAC 165.1(b).

*HR4775-04i

PATIENT RECORDS

Leprosy (Hansen's disease).

PERMANENT.

  

*HR4775-04j

PATIENT RECORDS

Disease intervention records involving sexually transmitted diseases, including investigations, interviews, and disease intervention case management notes.

3 years past last date of service or until the patient’s 21st birthday, whichever comes later.

Recommendation of the Texas Department of State Health Services.

HR4775-05

SCREENING PROCEDURES

Microscopical, cultural, serological, and other screenings and tests, performed in local government-owned laboratories or clinics that do not become part of the patient records of a local health program. If such tests or screenings do become part of the patient records of a local health program, they should be retained for the period listed for that program under item number HR4775-04.

    

*HR4775-05a

SCREENING PROCEDURES

Health risk appraisal; blood pressure screening; blood pressure referral; vision, hearing, and speech; diabetics screening; syphilis serology; gonorrhea; other laboratory screenings and tests.

7 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By regulation – 22 TAC 165.1(b).

*HR4775-05b

SCREENING PROCEDURES

HIV.

(1) Anonymous test results.

(A) Positive test results, including serology, counseling notes, risk reduction plan, and prevention case management records.

(B) Negative test results, including serology, counseling notes, and risk reduction plan.

(2) Seropositive confidential test results, including serology and medical records.

(3) Seronegative confidential test results, including serology, counseling notes, and risk reduction plan.

(4)Prevention counseling notes, risk reduction plans, and case management records compiled on HIV positive clients.

(A) Adults.

(B) Children.

1 year past test date or last date of service, whichever comes later.

90 days from test date or results given to client, whichever comes first.

7 years after the patient's death, if known; or 18 years after seropositive results, if not known.

7 years past the last date of services or until the patient's 21st birthday, whichever later.

7 years after last date of service or patient’s death if known.

3 years after 21st birthday, even in death, or 7 years; whichever comes later.

Recommendation of the Texas Department of State Health Services.

Recommendation of the Texas Department of State Health Services.

Retention Note: The Director and Librarian of the Texas State Library, by authority of the Local Government Code, Section 202.004(a), hereby consents to the return of these test results to clients as a permitted exception to the statutory prohibition against the alienation of local government records.

Recommendation of the Texas Department of State Health Services.

By regulation – 22 TAC 165.1(b).

Recommendation of the Texas Department of State Health Services.

Recommendation of the Texas Department of State Health Services.

*HR4775-05c

SCREENING PROCEDURES

Infant screening for genetic or metabolic disorders.

Until the patient's 21st birthday.

By regulation – implicit in requirements of 22 TAC 165.1(b).

*HR4775-06

SEXUALLY TRANSMITTED DISEASE (STD) AND HUMAN IMMUNODEFICIENCY VIRUS (HIV) INTERVENTION RECORDS

STD and HIV intervention records including investigations, interviews, and disease intervention case management notes.

Last date of service or patient’s 21st birthday, whichever comes later.

Recommendation of the Texas Department of State Health Services.

return to top

SECTION 2-2: INSPECTION AND PERMIT RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4775-21

CITATIONS, NOTIFICATIONS OF VIOLATIONS, AND WARNING NOTICES

Copies of notifications or orders sent or given to owner, agent, or occupant of a business or property or to person holding a health permit to correct violations of state or local health laws, including documents verifying that the violations have been corrected.

Verification of correction + 3 years.

  

HR4775-22

ENVIRONMENTAL POLLUTION CONTROL TESTS

Pollutant measurements for air, soil, water, etc. and similar records of environmental quality testing except monitoring of the release of radioactive effluents (see item number HR4750-07).

3 years.

  

HR4775-23

FOOD QUALITY TEST REPORTS

Food tests, milk analyses, swab tests, and similar laboratory test reports relating to the testing and screening of food and food handling and processing equipment.

3 years.

  

HR4775-24

INSPECTION LOGS

Logs, registers, or similar records providing a chronological listing of sanitary evaluations performed.

1 year.

  

HR4775-25

PERMITS AND LICENSES

Permits and licenses issued by local health authorities relating to restaurants, taverns, food handling, dairy products, frozen dessert products, meat, vending machines, day care centers, home healthcare, nursing homes, environmental health, and all other situations, activities, or persons required to have local health permits pursuant to state or local laws or regulations.

    

HR4775-25a

PERMITS AND LICENSES

Applications for and copies of permits or licenses.

Expiration or revocation + 3 years for granted permits or licenses; date of denial + 1 year for denied applications.

  

HR4775-25b

PERMITS AND LICENSES

Applications and authorizations for variances or exemptions from licensing regulations.

Expiration or revocation + 3 years for approved variances or exemptions; date of denial + 1 year fordenied applications.

  

HR4775-25c

PERMITS AND LICENSES

Logs or reports of permits or licenses and variances or exemptions issued.

1 year.

  

HR4775-26

QUARANTINE RECORDS

Orders, notifications, warrant copies, and similar records relating to the isolation, quarantine, disinfection, or other control measures applied to persons, animals, objects, structures, and land to halt the introduction, transmission, and spread of communicable disease.

3 years after quarantine lifted.

Retention Note: If records include livestock quarantines, see CC1475-11 Livestock Quarantine Records.

HR4775-27

SANITARY EVALUATION REPORTS

Reports of sanitary inspections carried out by local health authority personnel on restaurants, taverns, dairies, food markets, hotels, motels, nursing homes, day care centers, campgrounds, vending machines, and other facilities or equipment as required by state law or regulation or by local ordinance.

3 years.

  

HR4775-28

WEIGHTS AND MEASURES RECORDS

Field test reports, follow-up reports, logs or reports of seals issued, and similar records relating to the certification of weights and measures in a local government.

3 years.

  

return to top

SECTION 2-3: MISCELLANEOUS RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4775-41

COMMUNICABLE DISEASE REPORTS (TO HEALTH AUTHORITY)

Reports and supporting documentation of communicable diseases received by local health authorities from physicians, dentists, hospitals, school districts, or others as prescribed by law.

3 years.

Retention Note: If, pursuant to law or regulation, a health authority institutes control procedures and a patient file is established as the result of a communicable disease report use retention periods for Patient Records (see item number HR4775-04).

HR4775-42

COMMUNICABLE DISEASE REPORTS (TO STATE)

Copies of periodic or emergency communicable disease reports from local health authorities to the Texas Department of State Health Services.

3 years.

  

HR4775-43

COMPLAINTS

Reports of complaints received by local health authorities from the public or from other local departments or agencies regarding possible violations of local or state health laws or regulations.

Resolution of the complaint + 3 years.

  

HR4775-44

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

      

*HR4775-44a

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Controlled substance logs and inventories, including suppliers' invoices and credit memos; biennial inventory of controlled substances required by the Drug Enforcement Administration (DEA); reports of theft or significant loss of controlled substances; reports of surrender or destruction of controlled substances; Schedule V nonprescription register book; DEA order form, and all copies of each unaccepted or defective order form and any attached statements or other documents.

2 years.

By regulation and by law - 21 CFR 1304.04(a); Health and Safety Code, Section 481.067(c); 37 TAC 13.207.

*HR4775-44b

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Prescriptions records, including copy 2 of the triplicate prescription form required to prescribe a controlled substance.

2 years after the date of the initial dispensing or the last refilling of the prescription, whichever later.

By regulation and by law - Health and Safety Code, Section 481.075(f)(2); Health and Safety Code, Section 483.023; Health and Safety Code 481.075(l)(2); 37 TAC 13.207).

Retention Note: For prescription records maintained in a data processing system, see 37 TAC 13.207 for specific requirements related to records medium.

HR4775-44c

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Records of each acquisition and each disposal of a dangerous drug.

2 years after the date of the acquisition or disposal.

By law - Health and Safety Code, Section 483.024.

*HR4775-45

RURAL HEALTH CARE CLINICS CERTIFIED FOR PARTICIPATION IN MEDICARE

Patient health records including identification and social data, evidence of consent forms, medical history, health assessment; reports of physical examinations, diagnostic and laboratory test results; physician's orders, reports of treatments and medications; and signatures of the physician or other health care professionals.

7 years from date of last entry.

By regulation - 42 CFR 491.10(c).

return to top

PART 3: RECORDS OF LOCAL PUBLIC HOSPITALS

SECTION 3-1: MEDICAL RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4800-01

BIRTH AND DEATH RECORDS

Copies of birth and death certificates sent to local registrars of vital statistics.

AV.

  

HR4800-02

INDEX TO PATIENT MEDICAL RECORDS

  

PERMANENT.

  

*HR4800-03

LOGS AND REGISTERS

      

*HR4800-03a

LOGS AND REGISTERS

Tumor registry files.

50 years or until patient’s death, if known, whichever sooner.

Retention Note: Review before disposal. Some records of this type may merit PERMANENT retention for future medical research.

*HR4800-03b

LOGS AND REGISTERS

Includes logs (e.g., delivery room, emergency room, surgery) and registries (e.g., trauma registers).

5 years.

  

*HR4800-04

PATIENT RECORDS

Medical records that include patient identification data; medical history; reports of relevant physical examinations; diagnostic and therapeutic orders; documentation of appropriate informed consent; clinical observations, including the results of therapy; reports of procedures, tests, and their results, including laboratory, pathology, and radiology reports; and conclusions at termination of hospitalization or evaluation/treatment. Includes treatment records for emergency room.

10 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By law - Health and Safety Code, Section 241.103.

Retention Note: The Health and Safety Code specifies that the hospital may not destroy medical records that relate to any matter that is involved in litigation if the hospital knows the litigation has not been finally resolved.

HR4800-05

PATIENT TRANSFER MEMORANDA

A copy of each memorandum of transfer, retained by both the sending and receiving hospitals and filed separately from the patient's medical record in a manner that will facilitate its inspection by the Texas Department of State Health Services or other regulatory agencies.

5 years.

  

return to top

SECTION 3-2: LABORATORY AND THERAPY RECORDS

Retention Note: This section is for laboratory, therapy, and x-ray records that do not become a part of the patient records of the hospital. If such tests, reports, screening, etc., do become a part of the patient records, they must be retained for the period listed under Patient Records (see item number HR4800-04).

Record Number

Record Title

Record Description

Retention Period

Remarks

*HR4800-21

BLOOD BANK RECORDS

Documentation of all significant steps in the collection, processing, compatibility testing, storage and distribution of each unit of blood and blood components.

10 years after the records of processing have been completed or 6 months after the latest expiration date for the individual product, whichever later.

By regulation - 21 CFR 606.160(d).

Retention Note: When there is no expiration date, records must be retained PERMANENTLY.

HR4800-22

ELECTROCARDIOGRAMS (EKG)

  

10 years.

  

HR4800-23

ELECTROENCEPHALOGRAMS (EEG)

  

5 years for normal tracings; 10 years for abnormal tracings.

  

HR4800-24

PATHOLOGY REPORTS AND SLIDES

  

10 years.

By regulation – 42 CFR 493.1105(6)(ii).

HR4800-25

RADIOLOGICAL SERVICES

Copies of reports and printouts; films; scans, and other image records, as appropriate.

5 years.

By regulation - 42 CFR 482.26(d)(2).

HR4800-26

REGISTERS OF TESTS

  

5 years.

  

HR4800-27

REQUESTS FOR TESTS

  

5 years.

  

HR4800-28

TEST RESULTS

Test results that do not become part of the patient records excluding those specified elsewhere in this section.

3 months.

  

HR4800-29

THERAPY TREATMENT RECORDS

Including consent forms.

5 years.

  

return to top

SECTION 3-3: MISCELLANEOUS RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4800-41

ADMISSION AND DISCHARGE REPORTS

  

3 years.

  

HR4800-42

CENSUS RECORD OF PATIENTS

  

10 years.

  

HR4800-43

COMMUNICABLE DISEASE REPORTS TO STATE AND LOCAL HEALTH AUTHORITIES

  

3 years.

  

HR4800-44

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

      

HR4800-44a

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Controlled substance logs and inventories, including suppliers' invoices and credit memos; biennial inventory of controlled substances required by the Drug Enforcement Administration (DEA); reports of theft or significant loss of controlled substances; reports of surrender or destruction of controlled substances; Schedule V nonprescription register book; DEA order form, and all copies of each unaccepted or defective order form and any attached statements or other documents.

2 years.

By regulation and by law - 21 CFR 1304.04(a); Health and Safety Code, Section 481.067(c); 37 TAC 13.207.

HR4800-44b

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Records of each acquisition and each disposal of a dangerous drug.

2 years after the date of the acquisition or disposal.

By law - Health and Safety Code, Section 483.024.

HR4800-44c

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Inpatient records - Original medication orders shall be maintained with the medication administration record in the medical records of the patient (see item number HR4800-04).

10 years past the last date on which service was given or until the patient's 21st birthday, whichever later.

By law - Health and Safety Code, Section 241.103.

*HR4800-44d

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Outpatient records - Prescriptions records, including copy 2 of the triplicate prescription form required to prescribe a controlled substance.

2 years from the date of filling or the date of the last refill dispensed, whichever later.

By regulation and by law - Health and Safety Code, Section 481.075(i)(2); Health and Safety Code, Section 483.023; 37 TAC 13.207.

*HR4800-45

DIETARY AND FOOD SERVICE

Food service records, menus, meal counts, dietary services studies, and rosters of patient diet orders.

AV.

  

*HR4800-46

HOUSEKEEPING ROOM RECORDS

  

AV.

  

HR4800-47

INFECTION CONTROL AND MONITORING RECORDS

  

10 years.

  

HR4800-48

NUCLEAR MEDICINE SERVICES

Copies of nuclear medicine reports and records of the receipt and disposition of radiopharmaceuticals.

5 years.

By regulation - 42 CFR 482.53(d)(1).

HR4800-50

SECURITY RECORDS

      

*HR4800-50a

SECURITY RECORDS

Incident reports.

2 years.

  

*HR4800-50b

SECURITY RECORDS

Daily watch logs.

2 years.

  

*HR4800-50c

SECURITY RECORDS

Lost and found logs.

After disposal of all items listed in the log + 1 year.

  

*HR4800-51

SOCIAL SERVICES CASE RECORDS

Documentation of social services provided, other than what is filed in the medical record.

5 years from the last date of service for adult clients, or 5 years beyond the age of 18 for minor clients.

By regulation - 22 TAC 781.409(4).

*HR4800-52

LABORATORY RECORDS

Test requisitions and authorizations (including patient’s chart or medical record if used as the test requisition or authorization); test procedures; analytic systems records; test system performance specifications; immunohematology records; blood and blood product records; transfusion records; proficiency testing records; quality system assessment records; and test reports. This includes both Clinical Laboratory Improvement Amendments (CLIA) and non-CLIA records.

2 years.

By regulation - 42 CFR 493.1105.

return to top

PART 4: COUNTY INDIGENT HEALTH CARE PROGRAM RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4825-01

[WITHDRAWN – see Local Schedule GR, Section 2-2 Accounting Records]

      

HR4825-02

CASE RECORDS

      

HR4825-02a

CASE RECORDS

Denied applicant- Application, written statement of truth of information signed by applicant, eligibility worksheet, assistance form, written notice of eligibility decision, reason for denial, and explanation of the county's appeal process.

FE + 3 years.

  

HR4825-02b

CASE RECORDS

Eligible applicant- Application, documentation and verification of eligibility, monthly financial and activity reports, and eligibility reviews.

3 years past the last date on which service was given.

  

*HR4825-03

STATE LEGALIZATION IMPACT ASSISTANCE GRANT RECORDS (SLIAG) (OBSOLETE RECORD)

This grant is no longer issued to Texas public health entities. However, any remaining records should be maintained for the full retention periods listed.

    

*HR4825-03a

STATE LEGALIZATION IMPACT ASSISTANCE GRANT RECORDS (SLIAG) (OBSOLETE RECORD)

Accounting records - Financial and supporting documents, statistical records, and any other records pertinent to the services for which a claim or cost report was submitted.

3 years and 90 days after the end of the contract period or for 3 years after the end of the federal fiscal year in which services were provided, if a provider agreement/contract has no specific termination date in effect.

Retention Notes: a)The contract period means the beginning date through the ending date specified in the original agreement/contract; extensions are considered separate contract periods.

b)If any litigation, claim, or audit involving these records begins before the three-year period expires, the provider must keep the records and documents for not less than three years and 90 days or until all litigation, claims, or audit findings are resolved.

c)The case is considered resolved when a final order is issued in litigation, or the Texas Health and Human Services Commission and the contractor enter into a written agreement.

d)Records of non-expendable property acquired under the contract must be maintained for three years after the final disposition of the property.

*HR4825-03b

STATE LEGALIZATION IMPACT ASSISTANCE GRANT RECORDS (SLIAG) (OBSOLETE RECORD)

Medical records - Case documentation of health services provided to eligible legalized aliens.

5 years after medical services end.

  

return to top

PART 5: ANIMAL CONTROL AND HEALTH RECORDS

Retention Note: The retention periods in this part are applicable to the records of any animal shelter owned and/or operated by a local government and of the local health authority designated by a commissioners’ court or the governing body of a municipality for the purposes of rabies control, pursuant to Health and Safety Code, Section 826.017.

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4850-01

ACTIVITY REPORTS AND LOGS

Daily or weekly activity reports or logs on animal shelter or animal control operations, including field officer reports, kennel log sheets, statistical summaries, logs of response to animal-related incidents, etc.

1 year.

  

*HR4850-02

ANIMAL BITE RECORDS

Records of investigation of bites by animals (for both dog-on-person incidents and dog-on-dog incidents), including reports or copies of reports by or to physicians, veterinarians, health officers, animal shelter personnel, law enforcement officers, or the Texas Department of State Health Services; quarantine reports relating to the observation and testing of the animal; and similar records pertinent to the disposition of animal bite incidents.

3 years; or, if the person bitten is a minor, until the person's 21st birthday, whichever later.

  

HR4850-03

ANIMAL PERMIT AND LICENSE RECORDS

Includes those issued to pet owners, kennel or wildlife exhibit operators, and other persons pursuant to local ordinance or order.

    

HR4850-03a

ANIMAL PERMIT AND LICENSE RECORDS

Applications for and copies of permits or licenses.

Expiration or revocation + 3 years for granted permits or licenses; date of denial + 1 year for denied applications.

  

HR4850-03b

ANIMAL PERMIT AND LICENSE RECORDS

Applications and authorizations for variances or exemptions from animal control licensing regulations.

Expiration or revocation + 3 years for approved variances or exemptions; date of denial + 1 year for denied applications.

  

HR4850-03c

ANIMAL PERMIT AND LICENSE RECORDS

Logs or reports of permits or licenses and variances or exemptions issued.

2 years.

  

HR4850-04

ANIMAL SHELTER CONTROL RECORDS

Records of each animal received at an animal shelter, including data relating to its admission and condition and its reclamation, adoption, sale, or destruction.

1 year.

  

HR4850-05

CITATIONS, NOTIFICATIONS OF VIOLATIONS, AND WARNING NOTICES

Animal control officer's copies of these instruments issued to members of the public or businesses subject to state and local animal control regulations, including documents verifying that the violations have been corrected.

Verification of correction + 3 years.

  

*HR4850-06

COMPLAINTS

Complaints received from the public or from other agencies regarding animal control issues, including possible violations of animal control regulations.

Resolution of the complaint + 3 years.

Retention Note: If investigation conducted due to complaint, see HR4850-15.

HR4850-07

COMMUNICABLE DISEASE REPORTS

Copies of reports of actual or suspected rabies, anthrax, brucellosis, or other reportable communicable diseases of animals or humans submitted by veterinarians or other personnel employed by an animal shelter to a local health authority.

3 years.

Retention Note: A communicable disease report, except one associated with an animal bite case as described in item number HR4850-02, need be retained among the records of an animal shelter only as long as administratively valuable if the health authority to which the report is submitted is part of the same government that operates the shelter.

HR4850-08

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

      

HR4850-08a

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Veterinary controlled substances logs and inventories.

2 years.

By regulation and by law - 21 CFR 1304.04(a); Health and Safety Code, Section 481.067; and 37 TAC 13.207.

HR4850-08b

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Record of each acquisition and each disposal of a dangerous drug.

2 years from date of acquisition or disposal.

By law - Health and Safety Code, Section 483.024.

HR4850-08c

CONTROLLED SUBSTANCE AND DANGEROUS DRUG RECORDS

Copy 3 of triplicate prescription form used to prescribe a controlled substance.

2 years.

By law - Health and Safety Code, Section 481.075(i)(2).

HR4850-09

LOST ANIMALS, REPORTS OF

Logs, registers, or reports of lost, strayed, or stolen animals.

1 year.

  

*HR4850-10

RABIES VACCINATION CERTIFICATES

Copies of certificates of rabies vaccinations performed by veterinarians.

Date of issuance + 5 years.

By regulation - 22 TAC 573.51(c).

HR4850-11

SHELTER AND QUARANTINE FACILITY INSPECTION REPORTS

      

HR4850-11a

SHELTER AND QUARANTINE FACILITY INSPECTION REPORTS

Annual inspection reports of publicly-owned animal shelters by a licensed veterinarian as required by Health and Safety Code, Section 823.003(d) in counties with a population of 75,000 or more, or any similar annual inspection reports of such shelters as may be required by municipal or county regulation.

3 years.

  

HR4850-11b

SHELTER AND QUARANTINE FACILITY INSPECTION REPORTS

Annual or other periodic inspection reports by personnel of the Texas Department of State Health Services of a shelter as an animal quarantine facility, including any documentation relating to the correction of deficiencies or to an appeal of report findings.

3 years.

  

HR4850-12

STERILIZATION DOCUMENTATION

Sterilization agreements, veterinary reports that sterilization would jeopardize animal's life, confirmation of sterilization, letters stating animal has died or was lost or stolen before sterilization, notices of failure to receive letters of confirmation, and records of reclamation from owners.

1 year.

  

*HR4850-13

MICROCHIP IMPLANT DOCUMENTATION

Applications, forms, or other information recorded to list the animal owner contact information, animal identification information, and microchip implant chip number.

15 years or until microchip is replaced, removed, or animal is no longer alive, whichever earlier.

  

*HR4850-14

DANGEROUS ANIMAL LIST

List of animals (usually dogs) that reside within the city or county limits that have been deemed vicious or dangerous by city or county officials. List might contain owner name and contact information, animal name, animal breed and color, picture of the animal, prior attack or offense, relocation information, or any other documentation to identify dangerous animal.

15 years, until the animal no longer resides inside the city or county limits, or the animal is no longer alive, whichever earlier.

  

*HR4850-15

ANIMAL RELATED INVESTIGATION RECORDS

All records that document investigations of animal cruelty, animal abandonment, tethering, dangerous/vicious animal reports, safety of animals in vehicles, and any other similar record that investigates animal related issues.

3 years.

Retention Note:

1) If records include investigations of bites by animals, see HR4850-02.

2) If investigation results in a civil case, refer to applicable civil case file records in Local Schedule CC, DC, LC, or PS4125-05.

*HR4850-16

DECEASED ANIMAL REMOVAL RECORDS

Records that document the removal of deceased animals from public areas.

1 year.

  

*HR4850-17

WILDLIFE OR LIVESTOCK CONTROL RECORDS

Records that document the trapping of wildlife or controlling of livestock on roadways or other public areas. Might include date, time, location, and details.

1 year.

  

*HR4850-18

SMALL ANIMAL QUARANTINE AGREEMENT FORMS

Records that document the agreement of terms from animal owners of their responsibility to pay for the quarantine services provided to their animal and acknowledgement of other services provided.

Release from quarantine or euthanization of animal + 2 years.

Retention Note: If records include livestock quarantines, see CC1475-11 Livestock Quarantine Records.

return to top

PART 6: RECORDS OF THE COUNTY INSPECTOR OF HIDES AND ANIMALS

Retention Note: Proposition 10, as submitted by House Joint Resolution No. 69 (effective December 4, 2007) and House Bill 328 of the 81st Legislative Session (effective May 19, 2009) officially abolished the constitutional authority for the office of county inspector of hides and animals. The retention periods in this part are now binding on the county clerk or any other current custodian of the records of a defunct office of the inspector of hides and animals. This part should also be used in determining the disposition of any extant records of the office of the county inspector of sheep, which was abolished in 1915.

Record Number

Record Title

Record Description

Retention Period

Remarks

HR4875-01

AUCTION RECORD

Record and account of proceeds from the sale at public auction of hides and animals seized and condemned by court order.

1 year after deposit of sale funds.

  

HR4875-02

EXPENSE AND COLLECTIONS REPORTS

Annual, monthly, or other periodic reports to the commissioners court or the county auditor of office expenses incurred or of fines, costs, judgments, claims, and commissions collected for the county.

AV.

  

HR4875-03

FEE BOOK

Account of fees received for the inspection of hides and animals and for the authentication and acknowledgment of bills of sale.

FE + 5 years.

  

*HR4875-04

INSPECTION RECORD

Record of inspection of each animal or hide sold in the county, leaving the county for sale or shipment, driven in the county for slaughter, slaughtered, or for other reasons as provided by law.

PERMANENT.

  

HR4875-05

MARKS AND BRANDS RECORD

Certified copies provided by the county clerk of recorded marks and brands in the county and persons authorized to gather, drive, or handle stock bearing each brand or mark, including subsequent notations of the sale of animals bearing the recorded brands.

PERMANENT.

  

return to top

Can't find what you're looking for? Email slrminfo@tsl.texas.gov or call 512-463-7610.

Get Acrobat
Download Acrobat (R) Reader

Page last modified: November 15, 2022