**HHS Guidelines for Establishing**

**An Electronic Recordkeeping Process**

**Appendix D**

DRAFT

Version 2.9

December 4, 2008

**Table of Contents**

[Overview 3](#overview)

[Definitions 3](#definitions)

[Sample General Records Schedule Disposition Schedule Entry
4](#sample-general-records-schedule-disposition-schedule-entry)

[Background for Creating your Filing System
5](#background-for-creating-your-filing-system)

[Filing 5](#filing)

[Business Cycle 5](#business-cycle)

[File Code 5](#file-code)

[Title 5](#title)

[Paper Records Filing System as our Model
6](#paper-records-filing-system-as-our-model)

[Filing Electronic Records 7](#filing-electronic-records)

[Email as a Record 9](#email-as-a-record)

[Managing Electronic Records 9](#managing-electronic-records)

[1. Creating an Outlook Data File 9](#creating-an-outlook-data-file)

[2. Create Outlook Personal Folders to Organize Email Storage
14](#create-outlook-personal-folders-to-organize-email-storage)

[3. Creating a Calendar Folder for Calendar Records
15](#creating-a-calendar-folder-for-calendar-records)

[4. Cleaning up Temporary Files that are NOT Records
17](#cleaning-up-temporary-files-that-are-not-records)

[5. Manage and organize existing email messages
18](#manage-and-organize-existing-email-messages)

[Manage and organize existing documents
19](#manage-and-organize-existing-documents)

[Long Term Safekeeping 20](#long-term-safekeeping)

# Overview

The purpose of this document is to provide Department of Health and
Human Services(HHS) the fundamental standards and guidelines for
establishing a "trustworthy" recordkeeping practice that can be applied
to HHS records today. These standards apply to all HHS personnel, both
federal employees and contractors. The goal is to create a set of
procedures to enable the effective and efficient management of
electronic records.

Recordkeeping requirements are found in statutes, regulations, and HHS
directives and/or authoritative issuances, providing general and
specific guidance for Federal agency personnel on particular records
created and maintained by the Agency. Controls for recordkeeping are
identified in [36 CFR Subpart B,
1236](http://www.archives.gov/about/regulations/part-1236.html#partb)
which can be found on the internet at
(http://www.archives.gov/about/regulations/part-1236.html#partb). For
more information on records management, please review HHS-OCIO Policy
for Records Management \[HHS-OCIO-2007-0004\].

Filing of existing paper records should continue to follow established
records management procedures. If you have questions, please check with
your Records Officer for guidance in filing all records.

## Definitions

[Disposition]{.underline} -- a comprehensive term that includes:

-   Destruction (disposal) of temporary records no longer needed for the
    conduct of business;

-   Transfer of inactive records to a Federal Records Center ;

-   Transfer of permanent records, determined to have sufficient
    historical or other value to warrant continued preservation, to NARA
    ; and,

-   Donation of temporary records to an eligible person or organization
    after the authorized retention period has expired and after NARA has
    approved the donation.

[File Plan]{.underline} -- the location of all files under the control
of a specific group/employee

[General Records Schedule (GRS)]{.underline} -- listing of Common
Federal Records with disposition instructions.

[Records]{.underline} -- all books, papers, maps, photographs,
machine-readable materials, or other documentary materials, regardless
of physical form or characteristics, made or received by an agency of
the United States 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
informational 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 of reference,
and stocks of publications and of processed documents are not
included.\" (44 USC 3301)

[Retention]{.underline} -- the amount of time a record is held.

[Schedule]{.underline} -- An approved set of records retention values.

[Transient and/or Temporary]{.underline} -- messages with short term
interest of 180 days or less. Any record that does not have a permanent
value to the Archivist.

## Sample General Records Schedule Disposition Schedule Entry

Time & Attendance.
\...\...\...\...\...\...\...\...\...\...\...\...\...\...\... GRS 2 (6-9)

0206 Leave Application Files

SF 71 or equivalent plus any supporting documentation of requests and
approvals of

leave.

a\. If employee initials time card or equivalent.

Destroy at end of following pay period.

b\. If employee has not initialed time card or equivalent.

Destroy after GAO audit or when 3 years old, whichever is sooner.

0207 Time & Attendance Source Records

> All time and attendance records upon which leave input data is based,
> such as time or sign-in sheets; time cards (such as Optional Form (OF)
> 1130); flexitime records; leave applications for jury and military
> duty; and authorized premium pay or overtime, maintained at duty post,
> upon which leave input data is based. Records may be in either
> machine-readable or paper form.
>
> Destroy after GAO audit or when 6 years old, whichever is sooner.

# Background for Creating your Filing System

## Filing

Each HHS office should work with their Records Officer, Records Liaison,
Manager or Coordinator to determine a process for filing that
incorporates all of the records being created and maintained in that
office. .

## Business Cycle

Records are collected, organized, categorized and disposition
instructions applied according to a business cycle. Your Records Officer
has determined the business cycle for each of your specific records
(calendar year, fiscal year, etc) and can provide you the proper
business cycle end dates for retention.

## File Code

Your Records Officer will have determined the correct file codes and
will follow the disposition authority to use with your particular office
and program area(s) based on the federal and HHS General Records
Schedules (GRS). The GRS code includes the disposition authority
established by the HHS Departmental Records Officer.

## Title

Use the title identified on your file plan. The title found in the file
plan can be and most likely is a major heading with the Record series
broken-down into sub-series. In such instances, the sub-series describe
which records should be included using this disposition authority.

Examples illustrating these concepts can be found in the sections that
follow.

# Paper Records Filing System as our Model

Use the current system of filing paper records and the associated
labeling of those files as a model to create your electronic filing
process. During the creation of your electronic filing process create
electronic folders that mirror your existing paper record filing system
and that matches your office filing plan.

Each file label identifies the records contained in the file folder. The
file label includes the file code, the title of the records series, and
type of record such as "temporary" or "permanent" as indicated in the
disposition information. The file labels specify certain disposition
codes to assist you in determining when the files should be moved out of
your office or destroyed.

An example of what a file label might look like is:

The following disposition abbreviations are often used on the file
labels:

> COFF or Cut off - Files are cut off or closed at the end of a business
> cycle (calendar year or fiscal). The amount of time the records should
> be held start when they are cut off.
>
> D -- Destroy. These records should be shredded if in paper form and
> deleted completely from your workstation if in electronic form.
>
> S/O - Retain until superseded or obsolete. These files are not cut
> off. They are held in the current files area until they are superseded
> or become obsolete.

# Filing Electronic Records

File codes will be used to identify and arrange electronic file folders
to organize your records. In this process, you will create a hierarchy
of folders based on the organization series and sub-series that matches
your paper folders and that have been identified in your file plan. For
example:

Electronic File Folders Structure

On the next page is an even more detailed example (used in the Executive
Secretariat's office) of how folders may be organized on your
workstation.

These folders are arranged by Year, by Office, and by specific document
type and file disposition code is noted at the end of the folder name.
You may not need every folder -- pick those that apply to your job
responsibilities. Later in this document there are instructions for
creating a .PST file in MS Outlook. Those instructions include steps to
create folders within the .PST which could look similar to the folder
structures shown below.

\[Note: .PST (Personal Storage Table) is a filename extension associated
with Personal Folders files used with certain Microsoft products.
Personal Folders (.pst) files are used to store local copies of
messages, calendar events, and other items within Microsoft Outlook.\]

![](media/image1.png){width="5.993055555555555in"
height="4.4944444444444445in"}

## Email as a Record

An e-mail message is a record if it documents the mission or provides
evidence of HHS actions. To determine if e-mail messages are records
consider the content of the message and whether the information:

-   contains information developed in preparing briefing papers, reports
    or studies;

-   reflects the official actions taken while conducting Agency
    business;

-   conveys information on Agency programs, policies or essential
    activities;

-   conveys statements of policy or the rationale for official decisions
    or actions;

-   documents verbal communication, such as meetings or telephone
    conversations, during which policy was discussed or formulated or
    agency activities were planned and discussed; or

-   directs the actions of others through assignments, action items,
    follow-up items, etc.

If an e-mail record meets the above criteria, you must keep it in
accordance with the HHS Records schedule. If the email is transient and
has minimal or no documentary or evidential value, NARA guidance permits
the deletion of the message ("transient" messages are those with short
term interest of 180 days or less). Delete personal or other e-mail that
does not fit the above criteria for a Federal record.

Informational emails are not considered records for filing purposes
unless you are the creator of the email.

# Managing Electronic Records

1.  Create one or more Microsoft Outlook .PST files for electronic
    Records storage

2.  Create Outlook folders inside the .PST files to organize storage

3.  Clean up existing transient (those with short term value) email
    messages

4.  Manage and organize existing email messages and calendar entries
    determined to be records.

5.  Manage and organize existing documents.

6.  According to proper schedule (Quarterly/Annually), move email to
    long term storage by copying folder structure with .PST files onto
    compact disc CD.

7.  Exiting employees must follow Human Resources departure procedures
    for Records Management including final disposition of all Records.

## 1. Creating an Outlook Data File

An Outlook Data file, also called a .PST file, is a computer file that
stores your email messages and other Outlook items, such as calendar
entries and contacts locally on your computer. Messages stored locally
**[do not count]{.underline}** toward your production mailbox which is
stored on the Exchange server. This feature allows users to manage their
mailbox (and records) and stay within the storage limits.

![](media/image2.png){width="1.21875in" height="2.3854166666666665in"}

Users can create a structured set of folders and subfolders in the new
.PST in the same way they may have created for their production mailbox
(Mailbox -- Last name, First name) located under the All Mail Folders.
(See example to the left)

Once the .PST is created and subfolders are created, users can drag and
drop mail from the production mailbox to the new personal folder (.PST
file). This will be used to organize the emails determined to be
records.

> You can create .PST files on your network (F:\\) drive or on your hard
> drive (c:\\). You are encouraged to create a folder named c:\\RM where
> you can store your Records Management files and emails.

![](media/image3.png){width="2.979861111111111in" height="1.93125in"}

Steps to Create PST Files

1.  

2.  Open Outlook

3.  Click *File*

4.  Click *New*

5.  Click *Outlook Data File*

6.  Click OK (Keep top highlighted selection -- desktop client is
    Outlook 2003)

7.  Before creating the Outlook Data File, you must create a folder to
    put it in. Do this by clicking on the second yellow folder icon on
    the bar as shown below. Change "Save in:"
    ![](media/image4.png){width="4.71875in"
    height="3.0833333333333335in"}by clicking the drop down menu and
    choose the "Local Disk (C:\\)" instead of the Outlook folder.

8.  Then Name the new Folder "RM" for Records Management. Click OK.

![](media/image5.png){width="4.666666666666667in"
height="3.0520833333333335in"}

9.  Now you will see RM in the Save in location. Now, you will create
    another folder named 2008 and place it under this new RM folder.
    Click on the second yellow folder again, enter the name of the
    folder and click OK.

![](media/image6.png){width="4.666666666666667in"
height="3.0104166666666665in"}

10. At the bottom, you will see the default file name is "Personal
    Folders.pst" -- this will cause confusion. Change the name of the
    file to your first name followed by the year, "Diane2008.pst". Click
    OK.

> \[Note: For most users one .PST file for each year should be fine. For
> users that store more than 2 gigabytes of email in a year, create
> multiple .PST files. For example, "Diane2008-Budget.pst" and another
> .PST named "Diane2008-Finance.pst" if Diane works with two different
> programs.\]

![](media/image7.png){width="3.0625in" height="3.75in"}
![](media/image8.png){width="3.0625in" height="3.75in"}

11. The next step is very important. Be sure to change the Name field
    above. This is the display name that appears in Outlook. It should
    match the Filename displayed in the File field as shown above.

12. Click OK

13. Compressible Encryption setting is fine.

14. Do not use a password.

15. Click OK

**\*\* Your .PST file has been created. \*\***

## 2. Create Outlook Personal Folders to Organize Email Storage

**NOTE:** Users must create a folder structure to match their office
file plan. Later, you can also create the same file structure on your
F:\\ or C:\\ Drive to store other non-email documents in the same place
you created your .PST file, such as
F:\\RM\\2008\\OfficeWorkingFiles1606\\Spreadsheets.

![](media/image9.png){width="3.8958333333333335in"
height="4.447916666666667in"}

[Steps to create a folder]{.underline}

1.  Right click on the root of the .PST file created "Diane2008"

2.  Click File, then New Folder or right click on "Diane2008", then New
    Folder

3.  Type the name of folder in the Name: field. Follow your file plans.
    You should start with the current year "2008" for example.

4.  Next Folder would be "Working Files 000.01" for example.

5.  Click on OK.

6.  Continue creating subfolders to match your office file plan for your
    job responsibilities.

You will also need to create folders for your calendar entries. That
process is explained on the next page.

## 3. Creating a Calendar Folder for Calendar Records

1.  Select Folder list under All mail folders list

![](media/image10.png){width="6.0in" height="4.511111111111111in"}

![](media/image11.png){width="2.702777777777778in" height="3.25in"}

2.  Click on the root of the .PST file created

3.  Right click and click on new folder

4.  Name folder

![](media/image12.png){width="3.34375in" height="3.0in"}

5.  Select Calendar Items from the drop down menu under Folder contains:
    See example below

6.  Click OK

7.  Click on Calendar under All folders list

8.  Select "By Category" under Current View -- If current view list for
    calendar is not listed then click View, Arrange by, then click by
    Category **[OR]{.underline}** Click View, Arrange by and click Show
    Views In Navigation Pane (this will allow you to click by category
    from a list)

> ![](media/image13.png){width="6.052083333333333in"
> height="3.9659722222222222in"}

9.  Select Folder List again.

10. Select the calendar entries you want to move to the .PST file.

11. Drag and drop to the Calendar Items folder created above.

12. Calendar entries are now on the .PST file located on the C:\\ drive
    and now do not count against the mailbox size.

13. When finished you need to change your calendar view back and click
    on Mail to reset your mailbox view. **NOTE: You can only see the
    Calendar Items folder on the .PST file when you select the "Folder
    List".**

## 4. Cleaning up Temporary Files that are NOT Records

Before organizing your mailbox records, you should reduce your workload
by removing extemporaneous files from your mailbox that are not records.
Well managed mailboxes provide the Department with many benefits:

-   Smaller mailboxes are less subject to corruption and possible loss
    of valuable records,

-   Meets federal mandates to reduce Information Technology needs, and

-   Saves time, speeds network, more efficient, more cost effective.

**You should consult with your Records Officer before deleting any
emails that might be considered Records**.

Follow these four steps to manage your mailbox:

1.  Check the size of your mailbox file using Properties information.

2.  Search for large mail. Delete or Save attachments locally.

3.  Clean up calendar entries.

4.  Empty deleted items folder.

To check properties:

-   Right click on mailbox then select properties

    -   Click on Folder size then click on Server Data tab

    -   Check the total size (in KB, 100,000 KB equals 100 MB)

    -   Check the size of individual folders

    -   Folders to pay attention to are Calendar, Deleted Items, Sent
        Items, Inbox

Check Search Folder for Large Mail:

-   Save large attachments outside of Outlook;

-   Edit message noting placement of the attachment then delete the
    attachment and

-   Save the message.

Clean-up Calendar

-   Click on Find Icon at the top of the screen, then click on Options

-   Click on Advanced Find

-   In Look for: box click the drop down arrow and select "Appointments
    and Meetings"

-   Click on Find Now

-   All calendar items will appear in a separate window

-   Note the start and end time and recurrence columns (maximize to see
    full columns)

-   **If recurrence column is (none) you are safe to delete the
    appointment**

-   Select the calendar items for deletion by selecting item and holding
    the Shift Key to select groups of items OR hold the CTRL Key to skip
    around items

-   After selecting the items; Hold the shift then press the delete key
    to bypass placing the items in the "deleted items" folder

-   Click "yes" to delete permanently

-   **If recurrence column is other than "none" follow steps below:**

    -   Click on Calendar under All folders list

    -   Select "Recurring Appointments" under Current View -- If current
        view list for calendar is not listed then click View, Arrange
        by, then click By Category **OR** Click View, Arrange by and
        click Show Views in Navigation Pane (this will allow you to
        click by category from a list)

    -   Select the calendar items for deletion by selecting items that
        have reached the end of recurrence cycle

    -   **NOTE:** Any recurring appointments should be opened separately
        and deleted for the occurrence. If this is not done the entire
        series will be deleted from the calendar.

Empty Deleted Items Folder

-   Users can set an option to empty folder on exit of Outlook:

    -   Click on Tools, then option then click on Other Tab

    -   Click in box "Empty Deleted Items Folder" upon exiting

    -   Click Apply then Click OK

## 5. Manage and organize existing email messages

[Steps to Drag and Drop Messages to a PST file folder]{.underline}

1.  Click on the folder under "All Mail Folders" (Inbox, Sent items,
    etc.).

2.  Click on the message or messages in the list. Once messages are
    highlighted then Drag and Drop to the appropriate folder that you
    created.

[Steps to select consecutive multiple messages]{.underline}

1.  Click on the first message then hold the Shift Key and then use the
    down arrow or Page Down buttons and click on the last message.

2.  All messages in between will be highlighted.

3.  Next, proceed to Drag and Drop as mentioned above.

[Steps to select various multiple messages]{.underline}

1.  Follow steps above except hold the CTRL Key and then Click on
    selected messages.

2.  Next, proceed to Drag and Drop as mentioned above.

# Manage and organize existing documents

You may have files that are not contained inside email messages. You
have stored these files on your local drive, on shared drives, and
perhaps on flash drives. If these files are records, they should be
organized in the same manner as the folders created inside your .PST
file.

Your .PST file should be located inside the appropriate file folders by
year and by program office for example as shown below. Please check with
your Records Officer regarding files outside of your mailbox that are
considered records.

![](media/image14.jpeg){width="4.999305555555556in"
height="5.266666666666667in"}

# Long Term Safekeeping

Based on your file plans and disposition schedule, records must be
removed from your day-to-day location and stored elsewhere for long term
safe keeping. Without a back up that someone in your office knows how to
locate and use then you have not created a "Trustworthy" records
management process. You have created something that puts the
organization at risk. The record could be lost.

Preservation of records using periodic temporary backup of electronic
records is heavily encouraged. These physical files must be transferred
to your temporary holding site per your file plan and disposition
schedule.

**REMEMBER - Periodically back-up your .PST file to a CD**

Finally, as part of the departure process for exiting employees, you
must follow Records Management requirements and HHS Human Resources
Records Management procedures. Be sure to back up all current records in
a new .PST file and turn over all backup .PST files and other files on
CD to Supervisor or directly to the appropriate records custodian in
your office before departing the Agency:

**Questions?**

**Contact your Records Officer or Larry Gray, HHS Records Officer at
(202) 205-8548.**