Record Retention for Residents’ Files and Records
gme-adm-0023
About This Policy
- Effective Date:
- 06-12-2013
- Date of Last Review/Update:
- 04-08-2026
- Responsible University Office:
- Graduate Medical Education
- Responsible University Administrator:
- Senior Associate Dean for GME
- Policy Contact:
- GME Assistant Director Emilie Leveque
eleveque@iu.edu
- Policy Feedback:
- If you have comments or questions about this policy, let us know with the policy feedback form.
- Print or view a PDF of this policy
- Many policies are quite lengthy. Please check the page count before deciding whether to print.
Scope
This policy applies to all Indiana University School of Medicine (IUSM) Graduate Medical Education (GME) trainee physicians.Policy Statement
Trainees are employees of the University for the purposes of record keeping. Indiana Code 5-14-3-4 provides that employee records are generally confidential except for certain public information, as specifically outlined in the statute. Medical records of employees are required to be maintained in separate files, according to other laws, rules, and regulations.
Trainee records, like those for employees, can be shared within the institution with individuals who hold supervisory or otherwise legitimate oversight responsibilities for the trainee or the program. Specifically, this may include department chairs, program directors, and program or graduate medical education committees.
Permanent records may be paper or electronic. Regardless of the format, a process should be in place that ensures ongoing access to the files in case of natural disaster or program closure. The GME office will work with individual programs to develop a process that ensures continued availability of training information indefinitely.
Reason for Policy
The purpose of this policy is to define guidelines and procedures for appropriate retention of residents’ records and files.Procedures
Guidelines for Program Maintained Records and Files
Recruitment:
Records | Maintain for at least... | Location of Record |
Applications of those who applied but are not interviewed | 1 year | Program Files |
Applications of those who applied and interviewed but not hired | 2 years | Program Files |
Applications of those interviewed and accepted:
| Indefinitely | Program Files |
Individual Hired Trainees-Employment:
Records | Maintain for at least... | Location of Record |
Dates of employment/training | Indefinitely
| Program Files Medhub |
Documentation of prior training | 2 years
| Program Files/ GME RMS |
FMLA/LOA forms | Indefinitely | Program Files/GME RMS |
Individual Hired Trainees-Training:
Records | Maintain for at least... | Location of Record |
Rotation schedule | Indefinitely | Program Files/ GME RMS
|
Call Schedule | 2 years | Program Files |
Case logs | Indefinitely | Program Files |
Letter indicating readiness for independent practice | Indefinitely
| Program Files |
Evaluations · Monthly · Biannually --------------- · End of year summary · End of training summary | 3-5 years -------------- Indefinitely
| Program Files/ GME RMS ---------------
Program Files |
Disciplinary cases · Probation · Associated extension of training | Indefinitely
| Program Files
|
Termination for any reason (complete academic file) | Indefinitely | Program Files/ GME RMS
|
Moonlighting approval forms | 3-5 years | Program Files/ GME RMS
|
Documentation of scholarly activity | 3-5 years | Program Files
|
Guidelines for IUSM Office of Graduate Medical Education Records and Files
Individual Hired Trainees-Employment:
Records | Maintain at least... | Location of Records |
Medical School Diploma | Indefinitely | GME RMS
|
Verification of Prior GME Training | Indefinitely | Program Files/ GME RMS
|
Letter of Appointment | Indefinitely | GME RMS |
Licenses | Indefinitely | GME RMS
|
ECFMG Certificate | Indefinitely | GME RMS
|
Visa and I-9 Certification | Indefinitely
| GME RMS
|
Fringe Benefit Enrollment Forms | Indefinitely
| IU HR
|
Miscellaneous Employment Forms | Indefinitely | Program Files/GME RMS |
Dates of employment/training, extension of appointment | Indefinitely | GME RMS |
Individual Hired Trainees -Training:
Records | Maintain at least... | Location of Records |
Verification of Loan Deferments | Indefinitely
| GME RMS |
Maintain Malpractice Certificate | Indefinitely | GME Sharepoint |
Salary Verifications | Indefinitely | GME RMS |
Academic probation, grievance, notice of termination, disciplinary actions | Indefinitely | GME RMS |
Definitions
ACGME is the Accreditation Council for Graduate Medical Education.
A trainee is an IUSM resident or fellow, or a non-IUSM resident or fellow electively rotating through IUSM and provides clinical care as part of a GME program.
Implementation
The Designated Institutional Official (DIO) for GME is responsible for implementation of this policy.Oversight
Policy authority for this document resides with the Graduate Medical Education Committee. The DIO and the Graduate Medical Education Committee are responsible for oversight.History
- Policy gme-adm-0023 approved by GMEC and published on 05 June 2009.
- Policy reviewed, updated, and approved by GMEC on 12 June 2013.
- Policy updated for formatting 02 March 2018.
- Policy reviewed, updated, and approved by GMEC on 28 March 2018.
- Policy updated for formatting 27 June 2018.
- Reviewed and updated 10 April 2023.
- Policy approved by GMEC 19 April 2023.
- Policy updated 8 April 2026.