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<td colspan="6"><p><strong>Office of the Chief Information
Officer</strong></p>
<p><strong>Office of the Assistant Secretary for Resources and
Technology</strong></p>
<p><strong>Department of Health and Human Services</strong></p></td>
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<td colspan="6"><p>Policy for</p>
<p>Records Management</p>
<p>Employee Departures</p></td>
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<td colspan="7"><strong>September 24, 2007</strong></td>
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<td colspan="2"><strong>Project:</strong></td>
<td colspan="5">HHS OCIO Policy</td>
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<td colspan="2"><strong>Document Number:</strong></td>
<td colspan="5">HHS-OCIO-2007-0003</td>
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Table of Contents

[1. Purpose 1](#purpose)

[2. Background 1](#background)

[3. Scope 1](#scope)

[4. Policy 2](#policy)

[4.1 Federal Records 2](#federal-records)

[4.2 Documentary Materials 2](#documentary-materials)

[4.3 Records and Other Documentary Materials
2](#records-and-other-documentary-materials)

[4.4 Personal Records 3](#personal-records)

[4.5 Presidential Records (44 U.S.C.22)
3](#presidential-records-44-u.s.c.22)

[4.6 Maintenance 4](#maintenance)

[4.7 Departure Process 4](#departure-process)

[5. Roles and Responsibilities 6](#roles-and-responsibilities)

[5.1 The Deputy Assistant Secretary for Information Technology/HHS Chief
Information Officer
6](#the-deputy-assistant-secretary-for-information-technologyhhs-chief-information-officer)

[5.2 Department (HHS OCIO) Records Officer
6](#department-hhs-ocio-records-officer)

[5.3 Operating Division Chief Information Officers
6](#operating-division-chief-information-officers)

[5.4 OPDIV Records Management Officers
7](#opdiv-records-management-officers)

[5.5 Freedom of Information Act (FOIA) Official
7](#freedom-of-information-act-foia-official)

[5.6 Management Officials 7](#management-officials)

[5.7 HHS Employees 7](#hhs-employees)

[6. Applicable Laws/Guidance 8](#applicable-lawsguidance)

[7. Information and Assistance 8](#information-and-assistance)

[8. Effective Date/Implementation 8](#effective-dateimplementation)

[9. Approved 9](#approved)

[Attachment 1 - Department of Health and Human Services - Documentary
Materials Removal/Non-Removal Certification and Non-Disclosure Agreement
10](#attachment-1---department-of-health-and-human-services---documentary-materials-removalnon-removal-certification-and-non-disclosure-agreement)

# Purpose

The purpose of this Department of Health and Human Services (HHS)
Information Technology (IT) Policy is to establish the policy for
ensuring that all material created, received or maintained during an
employee's employment or appointee's tenure with the Federal Government
that meets the criteria for a Federal record remains in Federal custody
when an employee or appointee departs the Agency. It also reiterates the
special consideration given to Presidential Records Retention
requirements (44 U.S.C. 22).

This Policy is a first issuance.

# Background

Government employees/appointees create and maintain Federal records as
part of their official responsibilities. In addition to Federal records,
Senior Executives can create and accumulate other documentary materials
including Presidential records and personal records while in the work
place. The National Archives and Records Administration (NARA) has
issued guidance for Federal agencies regarding the management of records
and other types of documentary material. Because of the different
possible interpretations that could be made, these guidelines have been
consolidated and applied to the HHS work place under this policy.

# Scope

This Policy applies to all Department Operating Divisions (OPDIVs) and
Staff Divisions (STAFFDIVs), including the Office of the Secretary, and
organizations conducting business for and on behalf of the Department
through contractual relationships. This Policy does not supersede any
other applicable law or higher level agency directive, or existing labor
management agreement in effect as of the effective date of this policy.

Agency officials shall apply this policy to employees, contractor
personnel, interns, and other non-government employees by incorporating
references in contracts or memorandums of agreement as conditions for
establishing Government policy documents, under the instruction and
direction of Government management.

OPDIV/STAFFDIVs shall use this policy or may create a more restrictive
policy, but not one that is less restrictive, less comprehensive or less
compliant with this Department Policy.

# Policy

The Department of Health and Human Services must account for decisions,
communications, and processes taken to protect the health of all
Americans and to account for the essential human services provided to
those in need. This standard applies to all Federal employees,
regardless of type of appointment. In addition, high-level officials and
appointees may be required to account for records that could be
classified as documentary and/or Presidential records. It is the policy
that within the first 30 days of employment, all employees including
senior level officials or political appointees be briefed regarding the
types of records they will be required to protect and the different
methods for meeting the Federal guidelines. Officials upon departure
from HHS will follow the steps outlined in 4.7 Departure Process.

## Federal Records

Federal Records are all documentary materials, regardless of physical
form, formats

and types of media, made or received by an agency under Federal law or
in connection with the transaction of public business and preserved or
appropriate for preservation as evidence of HHS functions,
organizations, decisions, studies and activities.

## Documentary Materials 

According to [36 CFR
1222](http://www.archives.gov/about/regulations/part-1222.html#parta).12b(1),
"documentary materials" is a collective term for records, non-record
materials, and personal papers that refers to all media containing
recorded information, regardless of the nature of the media or the
method(s) or circumstance(s) of recording.

## Records and Other Documentary Materials

These are relevant HHS operational records and non-record materials, in
all media (regardless of physical form, formats and types of media),
that may constitute evidence in a particular lawsuit, administrative
proceeding, audit, investigations or historic reference.

**4.3.1 Operational records**

Operational records are those records created or maintained by HHS staff
while conducting HHS business.

**4.3.2 Non-record Materials**

Non-record materials are those Government-owned documentary materials
that do not meet the statutory definition of "records" ([44 U.S.C.
3301](http://www.archives.gov/about/laws/disposal-of-records.html#def))
***or*** that have been excluded from coverage by the definition.
Non-record materials expressly excluded from the statutory definition of
records are:

**4.3.2.1** library and museum materials made or acquired and preserved
solely for reference or exhibition purposes,

**4.3.2.2** extra copies of documents kept only for convenience of
reference, and

**4.3.2.3** stocks of publications and processed documents.

**4.3.3** Working Files and Similar Materials

Working files and similar materials include preliminary drafts, rough
notes, worksheets, correspondence and memos, reports, and other similar
materials (see [36 CFR
1222](http://www.archives.gov/about/regulations/part-1222.html#partc).34\[c\]),
which fall within the scope of "documentary materials", regardless of
whether such materials qualify as HHS operational records.

## Personal Records

Personal records are those materials that belong to an individual, not
the agency. Certain files are clearly personal, such as those that are
not used in the transaction of agency business. Personal records may
contain references to or comments on agency business, but they are
considered personal if they are not used in the conduct of business.

**4.4.1** Business or Professional Records

Records created before entering Government service; files created during
or relating to previously held positions, political materials, and
reference files.

**4.4.2.** Private Records

Records brought into, created, or received in the office; family and
personal correspondence and materials documenting professional
activities and outside business or political pursuits, including
manuscripts and drafts for articles and books and volunteer and
community service records that are considered personal, even if created
or received while in office, because they do not relate to agency
business.

**4.4.3** Personal Files

Work-related personal files including diaries, journals, notes, and
personal calendars and appointment schedules; though work-related, they
may be personal if they are used only as reminders and personal
observations on work-related topics, not for the transaction of
Government business or as documentary reference for legal issues.

## Presidential Records (44 U.S.C.22)

Any documentary materials, or any reasonably separable portion thereof,
created or received by the President, his immediate staff, or a unit or
individual of the Executive Office of the President whose function is to
advise and assist the President, in the course of conducting activities
which relate to or have an effect upon the carrying out of the
constitutional, statutory, or other official or ceremonial duties of the
President.

**4.5.1** Includes any documentary materials relating to the political
activities of the President or members of his staff, but only if such
activities related to or had a direct effect upon the carrying out
constitutional, statutory, or other official ceremonial duties of the
President.

**4.5.2** Records do not include official records of an agency, personal
records; stock of publications and stationery or extra copies of
documents produced only for convenience of reference, when such copies
are clearly so identified.

##  Maintenance 

Federal Records, Personal Records and Presidential Records will not be
intermixed. Each group will be clearly marked and maintained separately.

**4.6.1** Federal Records will be created and maintained in accordance
with the HHS guidelines.

**4.6.2** Personal records will be created and maintained in accordance
with the HHS guidelines.

**4.6.3** Presidential records will be created and maintained in
accordance with 44 U.S.C. 22 and HHS guidelines.

## Departure Process

All employees shall clearly designate as personal, and maintain
separately from the records of the office, those papers of a private or
nonofficial nature that pertain to their personal affairs. If
information about private matters and Department business appears in the
same document, the document should be copied at the time of receipt,
with the personal information deleted. If the private or nonofficial
papers of a Health and Human Services (HHS) official are kept in the
official\'s office, they shall be filed separately from the official
records of the office. For electronic information it means saving the
private information in a separate electronic file without Federal
documentation; and for the paper information it means placing the
information in a separate physical folder.

**4.7.1** Responsibilities.

Records Officers shall:

a.  ensure that nonrecord material being removed by a departing employee
    or official is examined by the HHS re viewing official for the
    purpose of providing the appropriate protection for information that
    is restricted from release under the Privacy Act or other statutes,
    regulations or executive orders;

b.  obtain signed form: \"Documentary Material Removal/Non-Removal
    Certification and Non-Disclosure Agreement;"

c.  ensure that the signed forms, and related documentation are retained
    in a centralized file for at least 10 years within the Personnel or
    Records Management office; and ensure that no departing official or
    employee shall remove records or nonrecord materials relating to any
    pending or contemplated civil, criminal, or administrative
    proceeding or other program activity when the information, if
    released, would impair or prejudice the outcome of the proceeding or
    Government policy determinations, decisions, or other actions.

**4.7.2** Procedures for Removal of Papers

a.  All records, originals and copies, are under the control of HHS
    regardless of how and by whom they were created or obtained. Removal
    of documentary material must be approved by the Freedom of
    Information Act (FOIA) official in accordance with the provisions of
    this policy to ensure HHS' ability to claim privileges in
    litigation, to claim FOIA exemptions and to protect sensitive and
    classified information.

b.  No documentary material, even though judged to be nonrecord
    material, shall be withdrawn if this will create such a gap in the
    files as to impair the completeness of essential documentation.
    Indexes, or other finding aids, necessary for the use of the
    official files may not be removed.

c.  Personal diaries, which are really private records of public
    activities, are private property and may be removed. When the
    matters dealt with in such work aids as office diaries, logs,
    calendars, memoranda of conferences and telephone calls are covered
    elsewhere by adequate records, such work aids may be removed
    provided they do not contain information otherwise prohibited from
    removal. This applies to personal papers created and/or maintained
    on paper as well as in electronic format.

d.  Extra copies (photocopies, etc.) of records may be removed under
    certain circumstances. Prior to removal, it must be determined that
    no legal or policy reason exists that would prevent removal and that
    the record copy, or other necessary copies, are available in the
    Department. If the copy is of a document originating with another
    agency, the requirements of the originating agency must be
    determined.

e.  Any violation of the statutory and regulatory limitations placed on
    removal of documentary material by HHS officials who resign or
    retire will be forwarded to the HHS Office of Physical Security, who
    shall confer with the Inspector General regarding such violations.

f.  Records will not be disposed of while they are the subject of a
    pending request, appeal, subpoena, or lawsuit under the Freedom of
    Information Act or the Privacy Act, as provided for in General
    Records Schedule (GRS) 14.

**4.7.3** Review of Papers

An HHS Records Officer shall be consulted prior to removing personal
papers and the Records Officer will, in turn, consult with the
Department (HHS OCIO) Records Officer and NARA if questions arise. The
Office of Presidential Libraries is interested in the private papers of
high level officials because these papers are an invaluable adjunct to
the public records of an Administration. A retiring official may place
restrictions on access to papers as deemed necessary if the official
decides to make use of these archival depositaries.

> .

# Roles and Responsibilities

## The Deputy Assistant Secretary for Information Technology/HHS Chief Information Officer

> The Deputy Assistant Secretary for Information Technology (DASIT)/HHS
> CIO, under the authority delegated by the Assistant Secretary for
> Resources and Technology (ASRT), shall:

1.  ensure the Department compliance and conformance with Public Laws,
    NARA regulations, OMB and GAO regulations, policies, standards,
    procedures, and instructions concerning agency operations and
    reviews;

2.  ensure development of Department Resources Management (RM) policy;

3.  disseminate the HHS RM policy for OPDIV review, comment, and

4.  disseminate the approved HHS RM policy.

## Department (HHS OCIO) Records Officer

The Department (HHS OCIO) Records Officer shall brief the Secretary,
Deputy Secretary and Assistant Secretaries regarding their Records
Management responsibilities within the first 30 days of their arrival.

## Operating Division Chief Information Officers

Operating Division (OPDIV) Chief Information Officers (CIOs) are
responsible for:

> **5.3.1** approving, disseminating and implementing HHS RM policy
> within their respective organizations;
>
> **5.3.2** developing and approving, when needed, OPDIV RM policies
> that are more restrictive than the HHS (Department issued) policies
> but not less restrictive or less comprehensive or compliant with the
> Department policy;
>
> **5.3.3** training all employees on RM policies (Department policy
> and/or OPDIV/STAFFDIV policy), as appropriate; and
>
> **5.3.4** implementing security controls required by RM policy.

##  OPDIV Records Management Officers

> **5.4.1** Identify and establish records management standards when
> needed, that are more restrictive than the HHS (Department issued)
> policies but not less restrictive, less compliant or less
> comprehensive;

2.  conducting periodic inspections for approved certifications of
    record removal;

3.  evaluating and measuring compliance with Federal and HHS records
    management guidelines; and,

4.  providing Records Management training.

## Freedom of Information Act (FOIA) Official

Provide approval to remove copies of Federal records if appropriate for
release to the general public.

## Management Officials

Management officials, in their supervisory role, are responsible for:

> **5.6.1** ensuring employees participate in the development of and the
> timely review of HHS RM policy and adhere to said HHS RM policy;
>
> **5.6.2** ensuring employees attend records management training; and
>
> **5.6.3** informing users (employees, contractors, interns, etc.) of
> their rights and responsibilities, including the dissemination of the
> information in policy.

## HHS Employees 

Users, including employees, contractors, interns, etc., are responsible
for:

> **5.7.1** participating in the development of policy or initiating
> OPDIV RM policy that is not less restrictive, less comprehensive or
> less compliant with the Department policy;
>
> **5.7.2** responding timely to comments made regarding policy during
> the policy Review Process;
>
> **5.7.3** adhering to the HHS Records Management Policies;
>
> **5.7.4** working collaboratively to address issues with the Records
> Officer;
>
> **5.7.5** seeking guidance from their supervisors when in doubt about
> the implementation of a specific policy;
>
> **5.7.6** familiarizing themselves with any special requirements for
> accessing, protecting and utilizing data, including Privacy Act and
> Section 508 requirements, copyright requirements, and procurement
> sensitive data; and
>
> **5.7.7** adhering to all conditions set forth in chapter 4, Policy.

# Applicable Laws/Guidance

Authorities include:

> a\. [44 U.S.C
> 22](http://www.archives.gov/federal-register/codification/executive-order/12667.html)
> Presidential records.
>
> b\. [44 U.S.C.
> 29](http://www.archives.gov/about/laws/records-management.html#2909)
> Records Management by the Archivist of the United States and by the
> Administrator of General Services.
>
> c\. 44 U.S.C 31 Records Management by Agency Head.

# Information and Assistance

Direct questions, comments, suggestions or requests for further
information to the HHS Records Officer at (202) 205-8548.

# Effective Date/Implementation

The effective date of this policy is the date the policy is approved.

These policies and procedures will not be implemented in any recognized
bargaining unit until the union has been provided notice of the proposed
changes and given an opportunity to fully exercise its representational
rights.

The HHS policies contained in this issuance shall be exercised in
accordance with Public Law 93-638, the Indian Self-Determination and
Education Assistance Act, as amended, and the Secretary\'s policy
statement dated August 7, 1997, as amended, titled \"Department Policy
on Consultation with American Indian/Alaska Native Tribes and Indian
Organizations.\" It is

HHS\' policy to consult with Indian people to the greatest practicable
extent and to the extent permitted by law before taking actions that
affect these governments and people; to assess the impact of the
Department\'s plans, projects, programs and activities on tribal and
other available

resources; and to remove any procedural impediments to working directly
with tribal governments or Indian people.

# Approved

[\_\_\_\_\_\_\_\_\_\_
/s/\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}
\_\_\_\_\_[September 24, 2007]{.underline}\_\_\_

Michael W. Carleton DATE

HHS Chief Information Officer

# Attachment 1 - Department of Health and Human Services - Documentary Materials Removal/Non-Removal Certification and Non-Disclosure Agreement {#attachment-1---department-of-health-and-human-services---documentary-materials-removalnon-removal-certification-and-non-disclosure-agreement .unnumbered}

**Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Office:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Telephone Number: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Planned
Departure Date: \_\_\_\_\_\_\_\_\_\_\_\_**

**1**. **Records that May Not be Removed.**

**(1)** Any material, regardless of the media, that meets the definition
of a Federal Record. **(2**) Any information not normally released to
the general public, unless prior approval has been obtained from the
Records Officer and the Freedom of Information Act (FOIA) Officer.

**2**. **Documentary Materials that May Be Removed: Personal Papers.**

Examples of personal papers include: papers accumulated by an official
before joining Government service that are not used subsequently in the
transaction of Government business; materials relating solely to an
individual\'s private affairs, such as outside business pursuits,
professional affiliations, or private political associations that do not
relate to agency business; diaries, journals, personal correspondence,
or other personal notes that are not prepared or used for, or circulated
or communicated in the course of transacting Government business (36
C.F.R., Section 1222.36(a), (b), and (c)). Copies of Federal Records if
appropriate for release to the general public as determined by the FOIA
Officer.

**3**. **Penalties for Unlawful Removal of Records.**

Criminal penalties are provided for the unlawful removal or destruction
of Federal records (18 U.S.C. 641 and 2071) and for the unlawful
disclosure of certain information pertaining to national security (18
U.S.C. 793, 794, 798 and 952).

**4. Are you removing any nonrecord documents, such as extra copies of
agency records, from the Department Of Health and Human Services? If
yes, go to a. If no, go to b.**

**a. YES \_\_\_\_ Complete the below certification with the Reviewing
Official (an HHS Records Officer).**

**Initials**

**CERTIFICATION**

**I certify that the documents that I am removing from the Department of
Health and Human Services have been reviewed and approved for removal.
They do not include any documents relating to any pending or
contemplated civil, criminal, or administrative proceeding or other
program information, if released, would impair or prejudice the outcome
of the proceeding or Government policy determinations, decisions, or
other actions (Examples: classified documents; record copies; documents,
even though judged to be a nonrecord, that will create a gap in the
files; and indexes and finding aids necessary to use the official
files). These documents are briefly described in the attachment.**

**I agree to keep all nonpublic materials absolutely confidential and
will not disclose their contents or existence without prior permission
from the appropriate Department of Health and Human Services Reviewing
Official.**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_**

**Sign and Print your Name Date**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Organization and Title of HHS Reviewing Official Telephone Number**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Signature of HHS Reviewing Official Date**

**Attachment: Description of documents.**

**Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Office:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Telephone Number: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Planned
Departure Date: \_\_\_\_\_\_\_\_\_\_\_\_**

**b. NO \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Complete the
certification below.**

**Initials**

**CERTIFICATION**

**By my signature below, I certify that I am not removing any documents
from the Department of Health and Human Services.**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_**

**Signature Date**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Print your Name**