USE ONLY
HHB]
INSTRUCTION SHEET
This handbook contains guidance for Agency personnel to effect uniform procedures in carrying out the files maintenance and use program.
3
Approveda.
USE ONLY
USE ONLY
FILES MANAGEMENT
DISTRIBUTION: AB
ADMINISraVriVE-^BERNAL USE ONLY
ADMINISTRAT1 INFORMATION AND RECORDS MANAC
FOREWORD
This handbook prescribes the procedures for implementing the Agency Bles maintenance and use program. Much of the information it contains was gathered from National Archives and Records Service (NABS) publications on case and subject Dies managementrevious Agency publication on subject firing. Where applicable, certain portions appearerbatim eilract while others have been tailored to meet the Agency's current requirementles management system.
II2water Dr-puly Director [Or
Administration
DISTRIBUTlONi AB
USE ONLY
ADMINFORMATION AND RECORDS MANAGEMENT
HHI
CONTENTS
CONTENTS
CHAPTER I: GENERAL
1.
1 PURPOSE AND
CHAPTER II: FILING SYSTEMS
TYPES OF
c OTHER TYPES OF
a.
b SUBJECT FILE
c FUNCTIONAL
OF SUBJECT FILE
I. FILE
FILE
FILE
8 FILES
SORTING OF THE
A LABELING OF FILE FOLDERS AND
c.
AND CHARGEOUT
8 DISPOSITION
CHAPTER Hii FILING EQUIPMENT AND SUPPLIES
9. FILING EQUIPMENT AND SUPPLIES
ADMINTbTTUTIVJ^PTI'ERNAL USE ONLY
ADMl NISTRATji^^PWrERNAL USE ONLY INFORM
HHBl AND RECORDS MANAGEMENT
CONTENTS
FILE
FILE
I. SURPLUS FILE
FILING
FILING SUPPLIES AND HEAVY-DUTY FILE
CHAPTER IV: MICROGRAPHICS
10. MICROGRAPHICS
AND
APPLICATION
EQUIPMENT
OF PAPER
SYSTEM
Figure
imA-rei
} equipmi
1. SAMPLE MEMORANDUM
FORM^-REQUISITION FOR MATERIEL AND/OR
OR TURN-IN FOR ADMINISTRATIVE SUPPLIES AND 19
FORmBBLmICROFILMING PROPOSAL FOR 20
A GLOSSARY OF FILE MANAGEMENT
B SUBJECT FILE CLASSIFICATION
C FILE EQUIPMENT AND
D GLOSSARY OF COMMON MICROCRAPHIC
E ELEMENTSICROCRAPHIC SYSTEM
INDEX
3
INITAL USE ONLY
ADMINlSTlUTIvE-INTER|Mr*EAND RECORDS MANAGEMENT
CHAPTER I: GENERAL
objective*iles management program are to organize agency files so thatcan be found quickly, to ensure complete records, to facilitate the selectionof records having permanent value, and to dispose of temporary records promptlyAlossary of files management terms).
handbook offers guidelines, procedures, and rules which, fn conjunction with otherprograms, will contribute toward meeting these objectives. The handbook is noton files, filing, or filing systems bul it does contain information thai should enablefor managing files to do so efficiently and economically.
B bl model subject file classification system for administrative records developedArchives and Records Serviceeneral Services Administration (GSAJ, for use byagencies. The model has been tailored for Agency use. It replaces thepreviously recommended as the Agency standard. While tbe model is not presented asft should be used as much as possible by Agency components when changing existingor when creating new subject file systems.
new feature emphasized in thishe use of the records control schedule io assist inof component 6le systems. The records control scheduleeady referencepermanent and temporary records and for applying disposition techniques in fileComponent file managers should become thoroughly familiar with this document.
AND AUTHORITY
f. requires each Federal agency "to make and preserve recordsand proper documentation of the organization, functions, policies, decisions,essential transactions of the agency designed to furnish (he Information necessary to protectand_ financial rights of the Government and of persons directly affected by (heThe law also requires each Federal agency to "establish and maintain anprogram for the economical and efficient management of the records of theprogram will provide for "effective controls over the creation, maintenance, and use ofthe conduct of current business."
handbook on files management Is part of Ihe Agency's records management program createdthe requirements of Chapterf. and improve the management of
Chief, Records Management Divisionffice of Information Services (OlSXAdaninistratlon, serves as the Agency Records Management Officer and provides staffassistance on records management to each directorate and independent office, developsdetailed regulations and procedures for implementing the records managementis responsible for Agency liaison with NARS.
Records Systems BranchRMD/OIS, develops, coordinates, and monitors themanagement program.
Records Management Officers {RMO's) are responsible for administering themanagement program within their areas of jurisdiction.
BMTNaL USE ONLY
INTERNAL USE ONLY INFORMATION AND RECORDS MANAGEMENT
d. The Agency Archives and Records Center (AARC) is the temporary archival staging area for the storage of the Agency's permanent records until they can be declassified and transferred to NARS or other Federal agencies. It Is not an extension of NARS. AARC provides for the storage, control, security, servicing, and processing of both permanent and temporary records which are not active enough to Justify being retained in mote expensive office equipment ot space.
c
c
USE ONLY
INFORMATION AND RECORDS MANAGEMENT
CHAPTER II: FILING SYSTEMS
Bleollection of records arranged in some systematic order. Federal3 defines the term "records" to Include "all boob, papers,or other documentary materials, regardless ol physical form or characteristics madeby any agency of the United States Government in pursuance of Federal law orwith the transaction of public business and preserved or appropriate for preservationagency or its legitimate successor as evidence of the organization, functions, policies,operations, or other activities of tbe Government or because of the infoiraationaldala containedxcluded from this definition are "Library and museum materialacquired and preserved solely for reference or exhibition purposes, extra copies ofonly for convenience of reference, and stocks of publications and of
information in this handbook primarily covers thc traditional types of files, mainlyare discussed in Chapter IV. and the basic tenets of filing are applicable to
OF FILES
A fileollection of records arranged in some systematiciling systemlan for organizing Bles into related categories. Generally, there are only two types of Bles: subject and case
a. SUBJECT FILES
Subject Bles document thc organization, policies, programs, and functions of an agency. These files consist mainly of general correspondence but also may include forms, reports, and other material relating to programs and functions but not to specific cases, projects, or transactions. Records are selected for filingubject Ble based on their informational content. It is important to understand the differenceubject file, which contains information of general planning and operations,ase file, which contains informationpecific action, event, person, organization, place, or project (sec Appendix HI
K CASE FILES
Case filespecific action, transaction, event, place, project, or otherase file may include one or several subjects relating to the specific topic. It is estimated by NARS thatercent of al) Federal records which are maintained tn folders are handled by the case file method. Some examples are:
The Official Personnel Folder, which is the meet commonly known type of case file used throughout the Federal Government
Protect files, which contain records relating to an assigned task or problem.
Transaction Bles (suchontracthich document the conducting of negotiations, business matters, and the like,articular conclusion or settlement.
TYPES OF FILES
Subject and case Bles account forercent of all Federal records. Other types of files include:
Transitory files, which contain records that lose their valuehort period of tune.
Working paper files, which contain records such as rough drafts, calculations, or notes assembled or created for use in the preparation or analysis of other documents. These files generally are disposed of when the task is complete and the firiished document prepared.
NLY
^^r^ INFORM A'
^^ffJvTERNAL USE ONLY
| AND RECORDS MANAGEMENT
6
echnical reference Bles. which contain copies of reports, studies, compilations of data, drawings,hat are needed only for ready reference and are not made part of the official case file. These nonrecord materials usually are disposed of when oo longer needed for reference.
UBJECT FILING
An objective of thc files management program is to achieve uniformity and ease in maintaining and using Agency records.tep towards meeting this objective,s recommended for filing administrative records throughout the Agency. This system is not meant to be all-inclusive, and it can be modified to meet individual office filing needs Many offices will be able to use the system for all of their administrative records while others will require the creation of different subject categories not found in the system. The remainder of this chapter provides background and instructions on creating subject filesubject file classification system
FILE CLASSIFICATION
Subject file cl^fication ts the dividing of records into broad groups of interrelated subjects called primary categories. These primary categories are then subdivided by successive levels of subordinaterimary (Recordsecondary (Filesnd tertiary (Subject File Classification SvstemX This process is referred toierarchical order and may be organized by concrete, abstract, or functional words. In order to work well in subject files, this process must be.
of Information Needs
The subject file classification should conform to the recordkeeping needs of the office. The terms selected should pattern tbe way information is requested from the files.
There should be suitable subject Ble categories for all existing and anticipated information needs.
Provision should be made for contracting or expanding the classification outline to allow subjects to be dropped or added as information needs change. M) Logical
File subjects should be grouped inay that the reason for such arrangement will be obvious.
Each subject title should be phrased to be exclusive of others. Select only one lerm loubfect
Each subject title should be precise In describing the file category. This will encourage filing at the lowest possible rung on the hierarchical ladder at which thereufficient volume of related records.
The principal advantageierarchical file arrangement is that it facilitates document retrieval by limiting the area of search.
c FUNCTIONAL GROUPINCS
Hierarchical order may be arranged by concrete, abstract, or functional words. Thc Agency subject file classification system is arranged using functional groupings because records are Ihe result of the performance of functions and they are used in relation to the functions. The subject categories selected as filing guides therefore reflect an organization's purpose, missions, programs, projects, or activities. The scope of the functions forile is organized determines tbe breadth of the
USE ONLY
AND RECORDS
categories An advantage to the use of functional groupings Is that itommon language lor record keepers and record users. Another advantage is that it Is relatively easy to add, delete, or modify functional groupings without changing the remainder of thi- Kim
Care should bc taken that excessive primary subiecb and lubdivtsioos are not created merely because these functions appear on an organization chart or are containedission and functions statement. Excessive subject categories lead to overlapping files and make it difficult to classify documents which vary only slightly. When subject categories become too highly specialized, there are always documents for which there is no appropriate filing place Conversely, when tbe subject categories are too broad, loo many subdivisions are created snd they become meaningless catchalls.
OF SUBJECT FILE CATEGORIES
sing too many subdivisions complicates tbe file structure and slows down the filing and retrieving of information, but using too few subdivisions turns the file* into irretrievable storage bins Three basic lacion to consider when determining the appropriate number of categories and subdivisions to be usedile arrangement are
of Hecordi Coveted
Establishing iiibfeut categoriesertain volume of records for each primaryIf Ihe quantity of records Is comparatively small, the siibiect categories should be broad and few. As the quantity of records increases,oes the need for more numerous and precise categories (There are two Important exceptions to the general rule that lhe volume of records determines the number and breadth of categories. First, regardless of theeparate primary category must be established for unique records that cannot be subordinated lo any otber subiect. Second, providing for familiar terras (or subjects) used in an organization may require the adoption of more primary categories than volume would support)
tonal Level Served
lnubject file classification system for use throughout an organization, it ts unnecessary to provide precise subordinate categories. Indeed, to ensure the usefulness that comes from fieiibilily. it may be better to let each file station subdivide primary subject categories to meet its own volume requirements The number of subject categories in any file arrangement depends in part on the organizational leveb served and their information needs. It can be eipecled that the full range of functions expressed in lhc fewest and broadest subjects will represent (he Bles at the top of the organization, and the more precise functions will bc represented by the numerous subjects at Ihe lowest levels of the organization.
of Terms Selected as Subiect Options
Adjectives and adverbs can be used freely in conversation, public speaking, and even in nontechnical writing. However, extreme care must be used when lelccting modifiers for subject category file captions. The misapplicationodifier can narrow the scopeaption so drastically as to restrict iu application toraction of the records it should cover. On the other band, the absenceodifier may result in an omnibus caption which overlaps and engulfs subjects that should be covered bv other captions. Thr selection of captions for use as subjectprimary, secondary, orbe guided by the ways ln which records are requested (titleshe breadth of the file content, or the need lor detail as governed bv the volume of records Tbe question lo be answered in meeting thesehether to choose captions which denote processes, classes, or it ems:
(J) Processes arc actionsrocurement, transport al Ion, andlasses are groups of items;uilding materials and office equipment
3
ADMINISraATTVE^-ffBHiNAL USE ONLY
HH 6f
ease of filing, these advantages will have lo be weighed againsi lhe possible disadvantages of eross-indesinfi the technical/lav terms.
FILE CODES
While most Agency components will not need special file codes for their subject files, some components may find it necessary lo devise such codes. The following paragraphs are offered to assist in lhe creation ot filing codes if rvecessary.
oncou'ed File Arrangements
The simplest subject file is arranged in slraighlequence by words or subject titles without file codes. Arrangements like this are often called "subject-alphabetic" or "subjeel-title"
files. For example: ACCOUNTING ANNUAL LEAVE BUDGETING COMMUNICATIONS MAIL
PERSONNEL
RECRUITMENT AND PLACEMENT SICK LEAVE SUPPUES TRAININGecondary Subject Topics
LEAVE ANNUAL SICK
RECRUITMENT AND PLACEMENT
SUPPLIES
TRAINING
WORKSHOPS
will become more difficult to keep rebted subjects together und maintain an alphabetical order.
Abo, the subject titles lend to lengthen as Ihe files grow and become moreaste Coded File System
To avoid writing out lengthy file titles on the file copies of correspondence, some componentsonsecutive number Io each subject category.ew subject category is created the next consecutive number would beaste cede file system might look like:
RNAL USE ONLY
ADMINlSTBATIVU^prERNAL USE ONLY INFORMATION AND RECORDS MANAGEMENT
)
FINANCE
SUPPLIES
REPORTS
LOANS
SECURITY
Duplex-Numeric Code Syslem
A more elaborate coding scheme Is the "duplex-numeric" system and would look something like
3 Pencils
lpha-Numeric Code System
Letters can be substituted for thc primary subject which would make the filing scheme an "alpha-numeric" code:
A SUPPLIES
A-l Factory
Oil
ubject-Numeric Code System
The "subject-numeric'" coding scheme is one of the more popular file systems. This scheme permits lhc arrangement of primary subjects in alphabetic sequence whileimple numeric order for subdividing the primary subject category. The abbreviations selected torimary subjectnemonic feature to the users of the files. One example of thefile scheme Is Illustrated lo Appendix B. Some components haveile system utilizing the Agency regulatory numbering system as the fileypical file system using this approach might look like:
I Directorate 10 12 Personnel 20 11 2 Clerical 22 12 Domestic 45 LOGISTICS
HHB 7
and Disadvantages of File Codes
The advantage* of file codes are that they aie easy to memorize, thev use short coding symbols, cross-referencing is simplified, sorting tt made easier, filing can be accomplished faster, and filing errors generally are reduced However, file codes are not without disadvantages Often file codes become corn pics and highly specialized, the prcduct of one individual. File codes aboendency not to be updated at periodic intervub and may Ixcorne outdated quickly.
for Designing Filecodes should be
ymbol should be limitedew characters.
(bjfile pattern should be obvious by glancing at the file classification outline.
symbols for the primary subjects should be meaningful and not abstract.
of symbols should be in segments, as opposed to one group of letters or.ather than RM12.
coding scheme must be leiible to allow additional subjrets without changing
the existing symbols.
ASE FILING
Case filespecific action, transaction, event, place, project, or other topic Like subject fires, case files may consist ol books, papers, audiovisual, machine readable, cartographic, and other types of records. The distinction between tbe two types of files is that case files consist of records relating to one specific action. Forubject file titled "Contracts" would contain general information relating to contracts, such as procedures, sample formats,ase file would contain only records pertainingpecific contract, suchopy of the contract, amendments, snd cotresportdencc relating to the contract. The case file title would contain information identifying the contract either by name or by contract number. Like subject files, case files contain records that have administrative, legal, or fiscal values ln addition to these primary values, case file records abo might have evidential or Informational value not normally found in subject file records
a. CASE FILE ARRANGEMENT
Case files are best arranged by the filing feature most frequently requealed In retrieving the file. This may be by name, number, protect title, subject title, or geographicase file may include one or several subjects that relateprobe topic and may consist of one or several file folders, depending on the scope of the project or program Regardless of the number of file folders, all records pertaining to lhe specific topic are referred to as the case file. For example, the case file on the construction of buildingighteparate file on blueprints, plumbing specifications, electrical diugrams, heating and air conditioning, contracts, etc All the files associated with the construction of the XYZ building would be considered the case file for Building XYZ.
Case files mav be arranged either alprsabctlcally or numerically. The most suitable arrangement is the one that beat serves the needs of the user. The single moat important general rule to remember when settingase file system is lo be consistent Once an arrangement is selected, be consistenthat arrangement for the entire case file. The followingew of the basic rules that apply to case files
(aj Names of Individuals
Arrange alphabetically by surname, given name, and middle name initial Small collections may be able to use Initials for given and middle names. Large collections might have to use the complete middle name rather than lust the initial. Files un Individuals also might be arranged numerically by using the employee number, Social Security number, or some other
INFORMATION AND RECORDS MANAGEMENT
designation, however, this kind of file arrangement will require alivid
ol Companies. Crgamratioos. or AssociaHora
Arrange alphabetically by the predominant word in the name or title
Arrangement
Arrange alphabetically by country, province, state, county, city, or other appropriate subdivision Large collections ol geographic files may require subdividing, well as by regions
Files
Arrange project case files alphabetically by key words assigned as the file titles. The file title or Ihc assigned project title should be the feature most often used to retrieve lhe file. Project case filesumber should be arranged In numerical
Arrangement
A numeric file arrangement is not self-indexing andften referred lo as an indirect file system, as opposedubject file arrangement which Is sclf-lnaViingeferred toirect file syslem. Numeric arrangementuick and easy way tn file large quantities of records. To minimiae errors, numbers should be hyphenated or spaced on the file folders8 should appear848le folderumber or number-letter prefixes or suffixes can be used for geographic locations, types of Bles, or kinds ofcontracU For example, in theighteographic locationarticular kind of contractight represent the consecutive number of that case filerefii or suffix such asight represent the calendar or fiscal year as part of the case file number
b. SPECIAL FILE ARRANGEMENT
Special file arrangement schemes are common throughout ibe Agency These systems should be renewed to ensure that the needs of the user continue to be met Commercial vendorside variety of case filing systems; however, these systems cenerally require the use ofdor's filing supptiea The component RMO should be consulted prior lo contacting any vendor regarding file arrangement systems
ILES MAINTENANCE
iling syslem has been selected, files maintenance becomes critical lo Ihe continued usefulness of the information contained in lhat filingcll-driigned file system quickly can become an office liability if no! properly maintained. The term files maintenance includes the following operations:
Piefile sorting of lhe records.
Filing operations.
Labeling of file folders and containers.
Indexing
Reference and chargeout procedures
Disposition techniques
The extra lime taken to perform all these operations will prove to be well spent when Deededuickly retrieved and unnecessaryvoided
FILE SORTING OF THE RECORDS
Thb first step in the files maintenanceery important becausehr point where temporary and permanent records are identified. The component record, oontrol
ADMINISTRATIYE-^MERNAL USE ONLY
HH 8c
USE ONLY
AND RECORDS MANAGEMENT
tool which should be used to accomplish thb Us* The records control schedule describes the records ol the component snd provider disposition infractionseneral rule, pennanrnt records ashe records control schedule ihould not be interfiled with temporary records. If there are records to be filed which cannot be identified to an item in the records control schedule, the component RMO should be notified immediately Tbe separation of temporary and permanent records at thb stage wiU facilitate disposition of the records and reduce the need for extensive and costly reviews The records to be filed then should be arranged to conform with tbe file system arrangement. Duplicate copies, valueless attachments, unneeded envelopes, routing slips, and cover iheet* lhat do no! contain record information should be removed. Rubber bands, pins, and paper clips also should be removed from thc records before filing The prefile sotting of records should help reduce indiscriminate filing and prevent the creation of Bles which are noi covered by approved records control schedules. Records control schedules are discussed in more detail inecords Disposition Handbook, and bier in thb handbook The following hints abo thou id help reduce tbe amount of material to be filed
(I) File fewer publications periodicals, circulars, and other printed items received for general information
(t) File fewer "InformaUon Only" copse* of correspondence Only those items which arc likely to be referred to should be filed.
File fewer directives. Unless the fileesponsible for maintaining the complete set of regulations, information copies should not be filed
Restrict the number of extra copies of correspondence or documents being reproduced and limit (he distribution to onlyecessary
Share files of common interest with other components, if possible.
unsure whether something should be filed, ASK FIRST beforeFILING OPERATIONS
Filing of records should be done at least daily or more often depending on the volume of the records L'nless the file system arrangement indicates otherwbe. records should be filed chronologically with thc'latest dale on top. Loose filing requires lea* riling lime, costs less initially, and allows easy removal of individual records for reference. Loose filing generally rs arjpropriate lor ease files thai are small,ow reference rate, are scheduled for ihort-term retention, or rarely leave the office or file room However, loose fifing has two inherentapers may far lost oreasily,he lack of uniform arrangement of the folder contents makes it more difficult loarticular documenL Fastened filingreferred for large case files and lubiect files that receive extensive use. have long retention periods, and are likely to be charged out for extended periods of time. The decision on whether to use loose or fastenedn individual component option. Another approach available is to delay fastening papers until more thanrocuments accumulate or until the filebout to be charged out The standard file folder has scores or creases on the bottom to allow expansion lo accommodate various quantities of paper.older reaches lull capacity, use one or more additional folders to avoid overcrowding. Be sure lo revise or update Ble tabs or labels on each folder to show volume figures, dates, oontents, and dispnsillon Instructions.
d. LABELING OF FILE FOLDERS AND CONTAINERS
uTCORCS MAIVHN*.
logo
iajp
ile folder labels should reflect accurately the contents of the file, inclusive dates,at ructions, and applicable item in the component's records control schedule. For example
FILESHANDBOOKING FAPEPS. DRAFTS. ETC
ADMINISTRATIVE
INFORMATION AND RECORDS MANAGEMENT
The file label on lhe led of Ihe folder Indicates the primary subject file classification category Tbc center label indicates the secondary level and describes the contenls of lhe file. The label on the right provides information on when the material was collected, lhe records control schedule item that apphei, and the fact that the file Is ccrnsidcred temporary. The disposition instructing for Itemlso might be placed on the label if space allows,EMP Deft Jan82-
Tile folder hbeb may be pesitioned to accommodate the file system anangement or the type of file storage container used. Tbe use of classified file title* should be avoided if possible. If the file title must be classified, It must be marked to show the classification level, and file indexes and label alio must be marked as appropriate. Whenever possible, file storage containers should be labeled to indicate their contents.
e. INDEXING
Indexing usually is required onlyumeric file arrangement is employed Sub*ect files and case Blesubject topic file arraragcrnent are seif-indeiing For those components requiring an index, consult with the component RMO or RSB/RMD/OIS.
I REFERENCE AND CHARCEOUT PROCEDURES
Component files should be made available only to aulhotlzed employeesile is removed from the Blehargeout card should be completed so lhal lhe file mav be iocs led and retrieved Specific lime limits should be imposed oo bow lona the file may be charged out. Files containing Top Secret and Sensitive Compart men ted In/or mat ion material arc ruta>ct to separate control procedure*
g. DISPOSITION TECHNIQUES
Planning ahead is essential to facilitate the ultimate dispositiuii or preservation of Agency records. It alto ensures records are not kept in office space longer than necessary. The component records control schedule provides Information concerning particular types o(ypical disposition technique is by Ble break or cutoB
ommon method of segregating files lorhe file break or cutoff. Using thisile series is terminated at regular periodic inlcrvab to facilitate continuous disposal or Iransfer of unneeded records to thc AARC. The selected period should if practical be annual, biennial, or some other convenient cycle. File series which are assigned numbers thatalendar or fiscal year prefix or suffix are easily organized by annual groups Current (open) files arranged by number continue to be filed by that numbereriod of years or until thev become inactive (closed! As files are closed throughout the year, tbe folders arr physically removed from the active files and placed in an inactive or closed file area. When lhe auihoei aed dispositioneached, there will noteed to screen tbe active files. Thus, two file categories are always in being, an active (open) and an inactivehis technique can be successful where all ot most of the files arc closedhree- to five-year period and when few references and rare interfiling of new records are needed. If Ihe volume of records is small or quick reference ii required, the Inactive storage can take place in the oflice. However, most inactive storage will take place al the AARC where il ts more economical to store and service inactive records
any case file series cannot be cutoff or broken periodically and generally should be broken only when the file is closed by final action. The controlling factor to be considered when establishing filehe usage of the file alter the file is closed. If reference service or filing activity remains highlosed Ble, the file should remain in office space until such activity diminishes Files stored at the AARC can be retrieved quickly, and Ihe need for valuable office storage space should be considered In establishing file breaks.
ecords control schedules provide instiuctions on file breaks and cutoffs for specific file series. If these instructions arc inappropriate, contact the component RMO and explain lhe particular circumstances. These instructions can and should be modified to accommodate changing conditions.
USE ONLY
AD MI Nl STRATINFORMATION AND RECORDS MANAGEMENT
CHAPTER III: FIUNC EQUIPMENT AND SUPPLIES
ILING EQUIPMENT AND SUPPLIES MANACFMENT
This chapter sets forth procedure to be followed when ordering filing equipment and supplies It also provides information about the different types of filing equipment and supplies used within the Agency. The chapter outlines the preliminary steps that are to bc taken before ordering this type of equipment and supplies.
The Chief. RMD. as the Agency RMO, is responsible for the management of filing equipment and fifing supplies used within the Agency. All requests for filing equipment and nonstandard filing supplies must be approved by the Chief, RMD in advance of any procurement action takenequesting component. The Ofike of Logistics (OL) will not process procurement actions for nonstandard file equipment and supplies without lhe approval of the Chief, RMD.
The Chief, RMD will not approve request* for file equipment or nonstandard filing supplies without the concurrence of the component RMO and the directorate RMO.
STEPS
Before any filing equipment is ordered, the component RMO should confirm the need and ensure the following actions are performed prior to determining the amount and type of additional file equipment:
Remove office supplies, unclassified forms, nonclassified publications, and other material from file storage equipment.
Destroy those recordsnrjlonger needed as authorized by the records control schedule. Paragraphsndfprovide specific guidance and instruction on the Agencyi records destruction policy.
Transfer inactive records Identified in thc records control schedule totheAARC Further guidance on the transfer of records is contained in paragraphf IlllBH
If the increase in file storageesult of new records creation, ensure that these records can be associated with current disposition instructions contained in the records control schedule; if not. initiate action to have the records scheduled and the records control schedule updated.
Determine if it is feasible to consider converting (he file medium; ie, from paper to microfilm or to digital data.
FILE EQUIPMENT
The Agency standard item of file equipment is the two- or four-drawer safe. Thbunded by OL. Requests for this type equipment mustertification statement by the component RMO that the preliminary steps as outlined above have been completed,tatement of justification (see Figureample memorandumompleted EornflHtequbition for Materiel and/or Services (Figuremust accompany the request. The requesTmg* memorandum must be approved by the directorate RMO and reviewedenior official al tbe directorate level. OL will not process requests for file equipment unless approved by the Chief, RMD.
FILE EQUIPMENT
Nonstandard Blenything other than the two- or four-drawer safe. Components requesting nonstandard file equipment must follow the procedures outlined innd also
ADMINISTRATIVIi^4fJirERNAI. USE ONLY
H HAND RECORDS MANAGEMENT
9f
include the com portent's funding cltttion on thehe requesting component will be required to pay for ill items received except those items available from surplus stock.
FILE EQUIPMENT
Components having surplus Ble equipment should prepare FormH |pquisitlon or Turn-In for Administrative Supplies and Equipmentnd forward it through the directorate RMO to OL. Directorate RMO's should attempt to satisfy their Ble equipment needs by utilizing surplus file equipment. RSB should be informed of surplus file equipment.
FILING SUPPLIES
point kraft paper Ble folder is the Agency standard 6le folder It is available In legalize with or without fasteners. The Agency standard file guide is of pressboard construction with metal tab. These folders, guides, and paper inserts for guide tabs are available in building supply rooms.
Components requesting large quantities of these items shouldhe building supply room.
FILING SUPPLIES AND HEAVY-DUTY FILE FOLDERS
equests for nonstandard filing supplies and heavy-duty fileJolders must be justified by
futy BJe^fol
memorandum and be accompaniedompleted Forrri^Hllequests for heavy-duty file folders may be approved by the directorate RMO as the techn^RrBcer on thepecial requests;equest for an unusually large quantity of heavy-duty folders, may be submitted to the Chief, RMD for approval at the discretion of the directorate RMO. Requests for other types of nonstandard filing supplies must be approved by the Chief, RMD.
Reorders of previously approved filing supplies may be approved by the directorale RMO as the technical officer on FornflHQ
rovides additional Information on thc types of file equipment and filing supplies
USE ONLY
CHAPTER IV: MICROGRAPHICS
ICROGRAPHICS MANAGEMENT
icrographics refers to the technology thatnit of information suchage of textrawingorm which cannot be read without thc aid of magnification. This unit of information is referred toicroimage whenicroformurm containing microimages, suchicrofiche or reelKiographks systemonfiguration of equipment and procedures for the production, reproduction, maintenance, storage, retrieval, display, or use ofystem mav involve one or more, but not necessarily all, of these functions (Seeore detailed glossary of common micrographic terms.)
he use of micrographics technology is but one alternative available to records managers in developing solutions to files and records rnariagement problems. It will not be the purpose of thb chapter lo promote lhe use of micrographics as the cure-all to these problems but rather to provide information, guidance, and procedures oo tbe uses of micrographics within the AgencyfPMR. Tidehe authority for the standards, regulation, and guidelines for using mlcrocraphscshe creation, use. storage, retrieval, preservation, and disposition of Federal Government records
AND OBJECTIVES
Micrographics managementart of tbe Agency's records management program administered by OIS. The Information Technology Branch, is designaled the responsible componenl for the management of micrographsc activities within the Agency. The primary objectives of the micrographics function are lo support the Agency records management program,ocal point for the coordination of all Agency mkrographic activities, and develop standards and guidelines regarding the production and use of microforms and mkrographic cquipmenl.
e. MICROCRAPHICS APPLICATION PROPOSALS
Proposab for new micrographics applications must be submitted on i'mnl Bvn^.min Proposal for Evaluation (see Figurehe proposal requires the approval oirBnilrie romponent and directorate RMO's. If approved, the directorate RMO should submit lhe completedifl to the RSB focal point for passage to ITB. ITB willeasibility study to cSetermiiseTTine proposed application meets the requlremenU of5 (see Appendla El If lhe results of the study are favorable. ITB will concur in the proposal and make rccxxmmcrtdattocsi on the system ccinfigu ration
d. MICROCRAPHIC EQUIPMENT PROCUREMENT
Requests for purchase or lease of microgjapcie equipment will be submitted on ahy Ihe component and directorate RMO's, and forwarded lo ITB for concurrenceto OL Requests for purchase or lease of micrographic equipment will not be1TB has approved Ihe micrographics application associated with Ihe equipmentan inventory of micrographic equipment used within the Agency. Components turningor excess micrographic equipment shouldompleted Kurttfl Hiough ITB
CONVERSION OF PAPER RECORDS
hc best available paper copy of records should be maintained in files identified for microform conversion The Integrity of the file system must be maintained throughout lhe microfilming process The records should be arranged, identified, and indexed ao lhat any individual
ADMIN)STRATIVE-^BbRkNAI. USE ONLY
^WFORMA
USE ONLY
fl AND RECORDS MANAGEMENT
lOf '
document oe segment of (he fife series can be localed quickly. Tbc use of leaden. Bash cards, and classification headings is recommended, particularly for manual retrieval micrographlc systems.
be paper records must be maintained in good order until after the processed microform is verified as an acceptable substitute in accordance with prescribed standards. (Components should ensure the microform is verified as soon as possible after microfilming is completed. Disposition of paper* records after verification will be accomplished in accordance with instructions contained in the components approved records control schedule. The componentesponsible for ensuring this process is accomplished in accordance with the established system specifications.
RECORDS
Thc maintenance, use. and disposition of microform records should bc planned and coordinated with (he records user by the component RMO and ITB during the micrographics system's configuration phase. These procedures should be specific in terms of the type of microform being used; archival requirements and vital records, if any; disposition of paper records; and file system employed as well as disposition of the microform records. Thb information will be necessary when the records controlhanged. (The value of the information contained in records does not change lust because the storage media changes. Records series valued as temporary in their paper form will not increase in value to permanent iust because the information is now contained on microfilm. Changes in thc retention times for microfilm records must be fully justified. The requirement for silver original microforms will be detailed in the specifications for the system by ITB.)
SYSTEM AUDIT
A tnictographic systemn examination and verification of an existing application to determine whether the objectives of the system are being achieved and whether standards are being followed. 1TB will conduct periodic audib of exbting micrographic applications, either at the request of the responsible component or on tbe basis of age, format, or substance. All audits arc conducted in cooperation with component and directorate RMO s. ITB will prepare an audit report detailing findings and making recommendations for system improvements.
b. MICROCRAPHIC TRAINING
Orientation seminars for the purpose of providing basic information on micrographics technology and its application to Agency information handling are conducted by ITB. Special presentations and the development of other training courses in micrographics arc provided upon request.
ADMINISTRATIVE-IlafmNAL USE ONLY
INFORMATION AND RECORDS ig. 1
(Classification)
MWWtTM KtX: Chief, Records Hanagarrat Division Office- of Infomatlon Services, Dm
Records Maisagersent Officer
Directorate Records sstriagencnt Officer
Ccraporumt
for Filing cquipnent and/or Nonstandard
Filing Supplies
REFERS*!:
ba tumfifUlji
Forwarded Herewith for approval is Foraor filing eouiptcnt required to (specify the Justification; estimated savings, if any; or anticipated efficiencies, if any, resulting Itar. the requested equlprent).
File equlprent to oe cn-neeLln upon receipt of this equipFivi is listed on the attached "
Ihe previsions of paragraphf reference nandbook have been conpliod wirh ay theRecords Wwiafifnent Officer.
/if Cccapcnent Head
Attachnsnts: A. l. F
Directorate Records Huageaent Officer PEYIECD:
Senior "Gisicial at thc Directorate Level
(Classification)
Finure 1
3
ADMlNISTRATIVJgBPnERNAL USE ONLY
(
WMIMSTKATIVl INTI RNJfMrTONl
INFORMATION AND RECORDS MANAGEMENT
APPENDIX A
APPENDIX Ai GLOSSARY OF FILES MANAGEMENT TERMS
ACTIVE RECORDS. See CURRENT RECORDS. ADMINISTRATIVE RECORDS. See HOUSEKEEPING RECORDS
ALPHABETIC INDEX (OR RELATIVEiling and finding aid for subtrct files thai alphabetically lists each of Ihe topics includedubiect outline and usually contains many additional subjects under which papers might be located Each entry shows lhe file designation for papers on that subiect.
ALPHABETIC NAMEinding aid lhat permits documents filed by subiect to be located by tlie name of an individual or organization mentioned in the documents Usually consists of eatra copies of outgoing rotrcas-reference forms, or combinations of both
AI-PHABETIC-SUBJECT FILINCubject file classification system in which subjects are arranged in alphabetic order regardless of their reUtionship to one another. For example, tbe subjects "'adobe houses" and "adrenalinmight immediately followration."
ALPHA-NUMERIC FILINGlassification system in which letters arc assigned to main divisions and numbers to subdivisions. For eiample. "A" might stand for the main subjectndor the subdivision "personnel."
APPRAISAL. The process of determining the value and thus the disposition of records based upon their administrative snd other uses, their evidential and informalional or research value, their arranstement. and their relationship to other records
he noncunent records of an organisation or institution preserved because of their permanent value, also referred to. in tins sense, as archival materials or archival holdings Sec also PERMANENThe agency responsible for selecting, preserving, and making available archival materials, also referred to aa an archivalhe building or partuilding in which such materials are located; also referred to as an archival rrptailory or depository.
he order in which documents areogical plan for organizing records, such as numerically or alphabetically by name of subject
he separation of files into such basic types as general cceicspoodence (subject) files, transitory correspondence, case files, case working papers, technical reference materials, convenience copies, and thehe internal arrangement of basic file types by such filing features as names, places, numbers, dates, or subjecthe division or subdivision of subject categories inlo succesaively mote specific classes.
CASEolder or olhet file unit containing material relatingpecific action, transaction, event, person, place, prefect, or otherase file may cover one or many subjects thai relate to the case. Forontract file contains recordspecific contract, such as the application, correspondence, addenda, reports, and processing documenU Other types of case files include official personnel folders,tudies, and tbe like See abo PROJECT FILE. TRANSACTION FILE
CENTRAL FILES. Tbe files of several offices or organizational units physically and/or functionally centralized and supervised In one location.
CHARGEOUT. The action of recording tbe removal and loan of papersile or the loan of an entire file to indicate iU whereabouts, usually donepecifically designed card
CIIHONOLOCICAL FILE. See READING FILE
anuary
PAM USE ONI I
UmiMM^Wr EONLY
MHB| AND RECORDS MANAGEMENT
APPENDIX A
CLASSIFICATION. Thr peocen of determining Ihr Air designation and necessary Indci references lo recordse filed, normally connected with subject files (NOT TO BE CONFUSED WITH NATIONAL SECUBiTY MARKINGS).
CLASSinCATlON SYSTEMS. See SUBJECT FILE CLASSIFICATION SYSTEM
CODES. See FILE CODES.
CODINC. The process of implementing Ihe file designation decision made during lhe classification process, the process of putting file designation* on the records themselves. Normally used only for subject file classification systems.
COMPREHENSIVE RECORDS CONTROLocument describing all records of an agency or component specifying records lo be preserved as having archival value, and authorizingontinuing basis the disposition of specified recurring series of records.
eproduction of the contents of an original document, prepared simultaneously or separately, usually identified by function or by method of creation Copies identified by function may include action copy, comeback copy, file or record copy, information or reference copy, official copy, and suspense copy. Copies identified by method or creation Include carbon copy, mimeograph copy, ribbon copy, and electrostatic copy.
CORRESPONDENCE FILE. See SUBJECT FILES.
inding aid that directs the user from one place in the file to anotherarticular document may be requested by more than one name, number, or subteel
CURRENT RECORDS. Records necessary for conducting the current business of an office ond Iherefore generally maintained In office space and equipment. See alto NONCURRFNT RECORDS, SEMICURRENT RECORDS
CUTOFF. See FILE BREAK.
DECENTRALIZED FILES. Files of an agency or agency component that arc maintained at several locations. Physically decentralized files can be made subject to centralized intrllectual and administrative controls.
DECIMAL FIUNCystem for clauifvina records by subject, developed in units ofnd coded for arrangement in numerical order Each of theainnav be divided into as manyecondary, which in turn may be dividedertiarybe use of decimal points can accommodate further breakdown-
DIRECTIVE. Any issuance of an organization thainstructs, and informs employees in their work. Included arc formalized statements of policy and procedures. Directives are issued under many names, such as notices, orders, procedures, bulletins, manuals, handbooks, regulations, circulars, guides.
DISPOSAL. Physical destruction of records See alto DISPOSITION.
DISPOSAL AUTHORITY. The legal authorization for the disposal of records obtained from Ihe Archivist of the United States nnd, for certain series, from ihe Comptroller General. Initiated by agencies on Standard Form US. Request for Records Disposition Authority, or granted In lhe Ceneral Records Schedules.
DISPOSALocument providing one-time authorization for the legal destruction of specified nonrecurring series of records
DISPOSAL PERIOD. See RETENTION STANDARD
DISPOSITION. The actions taken with regard to noncurrent records following their appraisal The actions Include transferecords center for temporary storage, transfer to an archival agency, donation Io an eligible depository, reproduction on microfilm, and destructioo.
3
AD MINI STRATIUSE ONLY
AOM INI STRATI VE Wn. USE ONLY
INFORMATION AND RECORDS MANACEMEN
APPENDIX A
DISPOSITIONanagement system resulting in the efficient and economkal disposition of records by developing snd implementing standards, procedures, and techniques. Includes scheduling recordspon Iron snd administering their storage, documenting agency benefits accruing from the program, and urkdrrtaking surveys and audits of disposition operations.
DISPOSITIONocument govermrag.ontinuing basis, tbe mandatory disposition of recurring records series of an organiration or agency. Abo knownecords schedule, records control schedule, retention schedule, or records retention schedule See abo COMPREHENSIVE RECORDS CONTROL SCHEDULE. GENERAL RECORDS SCHEDULE.
DISPOSITION STANDARD. The time period for the cutoff, transferecords center, destruction, or offer to the National Archives and Records Service (NARS)ecords series,
DOCUMENTATION. (I) The recording of an agency's legal mission, functions, organization, policies-decisions, procedures, essential transactions, andhe body of recordi that results from such recording.
DUPLEX-NUMERIC FILING Thc process of arranging records by adding assigned numbers associated with subordinate headings lo those associated with mainail,ostage.
FACIIJTATIVE RECORDS. See HOUSEKEEPING RECORDS
n accumulation of records maintainedredetermined physicaltorage equipment suchiling cabt.net See abo SERIES.
FILEystematic evaluation of files operalions. including such matters as subrect file cUssifiearioo, coding, cross-referencing retrieval time, accuracy of filing, use of cutoffs, and layout. Abo called file inspection
FILE BREAK. Termimrionile at regular penodlc intervab to facilitate continuous disposal or transfer of the file series Abo called cutoS
FILE CODES. Numbers or symbob used to abbreviate lengthy file clesigmcjons that would otherwise be expressed as words Most filing systems take their name from the file cede system used; for example, alpha-numeric, decimal, numeric-alphabetic, and sub^-nurrseric.
FILE COPY. The official or record document that is so marked or recognized, complete with enclosures or related papers. Also known aa record copy. See OFFICIAL FILES.
FILEerson given official responsibility for the control of recordsile station.
FILEistinguishing symbol, subject, name, number, or date controlling the placementocumentiling system. See also CODING.
FILEollection of pa pen that have similar characteristics and that need to be kept apart from other groups of recordsile location. Also called file type. See also SERIES.
FILE STATION. Any location in the organization at which docunyenrs are maintained for currentile statkm may be small with only one or two file cabinetsingle branch or section.
ollective term usually applied to all records of an office or agency.
FILES OPERATIONS, The practical application of filing principles, the performance of the practical work of arranging current records in systematic order for purposes of preservation and reference
FILESlan designating tha physical locations] at which an agency's files are lo be maintained, tbe specific types of files to be maintained there, and the organizational elementls) having custodial responsibilities. Abo knowniles placement plan.
FILING, The act of putting documents into Iheir place In arxordance with an established system
IS January
INTERNAL USE ONLY
xJ^IOflMV
ADMIMM RATUSEH Bl AND RECORDS MANAGEMENT
APPENDIX A
FILINC FEATURE. The characteristic byled and found suchumber, date, title, name, or subject
FTUNCuide to control and facilitate Mini, which prescribes andarticular system.
FILINGlan for organizing and identifying records so that Ihey can be found Quickly when needed. Most filing systems are bused on either an alphabeticumeric arrangement
FOLLOWUPile usedeans of checking on borrowed records and effecting their return to the files.
FUNCTIONAL CLASSIFICATION. Successively dividing records into classes and subclasses In conform to tbe programs, activities, and transactions carried out by tbe organization accumulating the records
GENERAL CORRESPONDENCEilear of correstxaadenceumber of subjects, as distinguishedase file that contains coriespoesclence about specific transact kins or project*
GENERAL RECORDSchedule, issued by NARS. governing the disposition of specified recurring series common to several or all agencies. Use of the General Records Schedule is MANDATORY.
HOLDING AREA. Agency space assigned for the temporary storage of current or aemicurrenl records and for records with relatively short retention periods. Also known as staging area.
HOUSEKEEPING RECORDS. Records of an organization that relate to budget, accounting, personnel, supply, and similar administrative or facllltatlve operations normally common to most agencies, as distinguished from program or substantive records that relate to an agency's primary functions. See also PROCRAM RECORDS.
INACTIVE RECORDS. See NONCURRENT RECORDS.
eparate collection of cards, extra copies, cross-reference sheets, or other forms arrangedifferent sequence from that of the related main file. An indexay ofocument other lhan by its file designation. Forontract filerranged numerically might have an index arranged alphabetically by the name of the contract
INFORMATION COPY. An extra copy otber than the official file copy Mav be sent lo offices svith an interest in the subiect discussed
urvey of files prior to the development or revtsaoo of disposition schedules. Generally included are such data as scries title, inclusive dates, use, volume, arrangement, duplication, and other pertinent information. Use of such forms as GSA, Records Inventory Worksheet, facilitates the completion of inventories
LOOSE FILINC. Placing papers in folders without attaching them to the folders or to backing sheets.
MAINTENANCE OF RECORDS. All operations incidental to the upkeep of an organized filing system. Includes classifying, indexing, sorting, filing, and reference service.
MICROGRAPHICSrocess whichnit of information, suchose ol textrawing,orm which cannot be read without magnification
MNEMONIC FILINClassification system In which records are coded by symbols that remind the user of theOM for communications and TEL for telephone. These symbols are usually arranged in alphabetic order.
NONCLTIRENT RECORDS. Records that are no looter required in the conduct of current business and therefore can be accessioned by an archival depository or destroyed. See also CURRENT RECORDS, SEMICURRENT RECORDS.
ADMINlSTRATIg^PTNTERNAL USE ONLY
ADM INI STRATIINFORMATION AND RECORDS MANAGEMENT
HHBl
APPENDIX A
MATERIAL, Material excluded from the definition of records, such as unofBcial copies of documents that arc kept only for convenience or reference, stocks of publications and processed documents, and library or museum material intended solely for reference or exhibition. See also RECORDS
NUMERIC-ALPHABETIC FILINGassifkation system in which numbers are assigned to main divisions and letters and numbers to succeeding subdivisions. Foright stand foror the subdivisionor the further subdivision "retirement"
NUMERIC FILING SYSTEM. Any classification system In which records are arranged by numbers May require an alphabetic index to facilitate its use
OFFICE OF RECORD. An office designated as the official custodian of records for specified programs, activities, or transactions of an organization.
OFFICE OF SUBJECT OUTLINE An outline that is normally based on the topics includedrescribed agency subject outline and that fists each folder caption or subiect heading needed for the records arranged by subjectarticular file station. Sec also SUBJECT OUTLINE
OFFICIAL FILES. An accumulation of official records documenting an action or providing valuable information. The official files include the originals of incoming correspondence and the initialed copies of the outgoing and interoffice correspondence; tbe original or action copies of reports; completed forms, maps, photographs, and other documents.
PAPERS. See RECORDS.
PERMANENT RECORDS.. Government usage, records appraised by NARS as having enduring value because they document the organization and functions of the agency that created or received them and/or because thev contain significant information on persons, things, problems, and conditions with which the agency dealt. See also ARCHIVES.
PROGRAM RECORDS. Records created or received and maintained by an agency in the conduct of the substantive functions for whichesponsible. Thesed in contrast wtth housekeeping or facilitarive records.
PROJECType of case file that contains records relating to an assigned task or problem. See also CASE FILE
PUBLIC RECORDS. (I) In general usage, records accumulated by Governmeniecords open to public inspection by law or custom.
READINGile containing copies of documents arranged In chronological order. Sometimes knownhronological file.
RECORD COPY. See FILE COPY. RECORDS.
RECORD SET. Official record copies of published materials, as distinguished from extra copies kept in stock.
RECORDS. 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. Government under Federal law or io connection with the transaction of public business and preserved or appropriate for preservation by tbat agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government, or because of thc informational value of data In them. Library and museum materia] made or acquired and preserved solely for reference or exhibition purposes, and extra copies of documents preserved only for convenience of reference. Stocks of publications aod of processed documents are not included.
ADMINISTrUTlWpfMrJTERNAL USE ONLY
INI STRAITXajfjMKI. USE ONLY
APPENDIX A
RECORDSacility for thr economical stotagc and wrvvnns of records pending their
RECORDS CONTROL SCHEDULE. See DISPOSITION SCHEDULE RECORDS DISPOSITION. See DISPOSITION.
RECORDS MANAGEMENT. That area of general administrative management concerned with achieving economy and efficiency In the creation, use and mair>tenance. and disposition of records Included are fumQing archival requirement! and ensuring effective documentations
RECORDS MANAGER- The person responsible (or or engaged in records management program activities. Sometimes knownecords officer or records administrator
RECORDS RETENTION SCHEDULE. See DISPOSITION SCHEDULE
RECORDS RETIREMENT. See RETIREMENT. DISPOSITION
RECORDS SCHEDULE. See DISPOSITION SCHEDULE.
RETENTION PERIOD. See DISPOSITION SCHEDULE
RETENTION STANDARD. The time period for particular recordseries) to be kept. Also called retention period or disposal period. See also DISPOSITION STANDARD.
RETIREMENT. Transfer of semicurrent and noncurrent recordsecords center or some other authorized depository for storage
SCREENING Tbe examination of records lo determine the presence of documents eligible for destruction and the removal of such documents from lhe files. Also called weeding.
SELF-INDEX INCollection of records in which requested information can normally be searched for and found "itbout resourceeparate index
SEMICURRENT RECORDS. Records required to infrequently in tbe conduct of current business that they should be movedolding area or directlyecords center. See also CURRENT RECORDS. NONCURRENT RECORDS.
SERIES. File units or documents arranged In accordanceiling system or maintainednit because they relatearticular subiect or function, result from the same activity,articular form, or because of some ruber lelalionship arising out of their creation, receipt, or use. Sometimes knownecords series
SORTING. Thc process of separating pa pen into groups fot filing accordinglassificationecond and third sorting of individual groups may be required to achieve tbe necessary final breakdown.
STAGING AREA. See HOLDINC AREA
SUBJECT CORRESPONDENCE FILES. See SUBJECT FILES
SUBJECT FILE CLASSIFICATION SYSTEM. Various plans used for identifying and coding documents by topic to provide an orderly aad accurate way of filing and finding. Examples of such systems include the subiect-numeric, aIphabrtie-subiect. alpha-numeric, duplet-numeric, and mnemcmc. See also FILING SYSTEM. SUBJECT FILES.
SUBJECT FILES- Records arranged and filed according to their general informational content Consist mainly of general corresracodence but may abo include forms, reports, and otber materials that relate to programs and functions and notraecific casearticular person or organization The purpose of esubhshing subjecto bring together all papers on the same topic to facilitate information retrieval Abo known as correspondence files, general correspondence files, or central files.
3
USE ONLY
ADM IINFORMATION AND RECORDS MANAGEMENT
HHI
APPENDIX A
FILINGubject file classification system in which the main topics are arranged in alphabetic order and the subdivisions are coded for numeric arrangment. For example.ight stand for "hours ofhis system may be modified by combining ii with the mnemonic Bung system so that, (or example,ould become"
SUBJECTritten list of topics arranged in hierarchical mannerrimary, secondary, tertiary) and serving as thc source for selecting file designations (lolder label captions) for arranging or classifying the documentsubject Ble. File codes are normally included with the subject outline
SUSPENSE FILE. See FOLLOWUP FILE
TECHNICAL REFERENCE MATERIAL. Copies of reports, studies, compilations of data, drawings, periodicals, clippings,hat arc needed for reference and information but are notart of the official files Such nonrecord material is to be kept only as long as needed and may be periodically replaced with more current material
TICKLER FILE. See FOLLOWUP FILE
TRANSACTIONype of case file that documents the conducting of negotiations, business matters, and the likearticular conclusion or settlement. See also CASE FILE
TRANSITORYeneral term for records lhat lose their valuehort period of time and that should bc separated during firing from records requiring longer retention.
UNSCHEDULED RECORDS. Records for which no ultimate disposition has been determined.
VITAL RECORDS. Records essenlial for maintaining the continuity of Federal Government activitiesational emergency Consist of twomergency operating records which outline the essentia] functions of tbc Government for the duration of emergency conditionsights and interests records which are required for the preservation of the rights and interests of individual citizens and the Government.
WEEDING. See SCREENING.
WORKING PAPERS. Documents such as rough notes, calculations, or drafts assembled or created and used in the preparation or analysis of other documents
ADMINI.STRATIVJfJjJJjJjTNTERNAL USE ONLY
ADMIN ISTIUT1VE-INTERN. INFORMATION AND RECORDS MANAGEMENT
HHB|
APPENDIX B
APPENDIX B: SUBJECT FILE CLASSIFICATION SYSTEM
I. INTRODUCTION
model subject file* classificationvtdesuniform method of organizinglhat are not paitase or project file arrangement The purpose of thii system isa model arrangement for administrative correspondence which will be useful tousing an Inadequate or unsatisfactory system.
system Includesrimary sublect titles representing administrative functions common tocomponents with related subordinate subjects grouped in outline form as subdivisions ofsublect These subdivisions are referred lo as secondary and tertiary subjects.arehree-letter code: secondary and tertiary subjects contain theimple numerical identification The following illustrates lhe subject-numeric
Primary subject: PER Personnel
Secondary sublect: PERay Administration
Tertiary subject2 Deductions
By es pending the primary subjects as necessary to include different programomponent cancOTprehensive filing system for all corresrsoTsdence filed by subject.
RIMARY SUBJECTS
A DP
Data Piccesstng
Services
and investigations
Meetings, and Conferences
Employment Opportunity
Management
and legislative
Planning, and Management
and Contracting
Relations.
Management and Information Processing
Services
and Education
and Transportation
AUTOMATED DATA PROCESSING (ADP)
Use these subfect categories for general correspondence and related papers pertaining lo automated and electronic data processing equipment, systems, management, and operations Do NOT use this outline for documentation which is appropriate for filing in specific case files
ADP AUTOMATED DATAfor ADP planning and rnarnuretneot lo general
ADP I REPORTS ANDfor general reports, studies, surveys of ADP within Agency, progress reports, and significant accompbshrrvent reports.
ERNAL USE ONLY
ADMIrvlSTRATIVT^INTI'J^^FCSE ONLY
H Hand records management
APPENDIX B
ADP2 LAWS ANDproposed laws, regulations, and revisions
thereto relating to Agency programs ADP3 AUTOMATEDFor general material regarding systems initiation,
development, documentation, operation, and maintenance. Subdivide by name of
system. Includes information and statistics, systems, and computer simulation
systems.
ADP 4 DATA PROCESSING FACILITIES
Accessories-Auxiliary Equipment
Word Processing
Machine Utilization
Maintenance and Repair
ADP 5 EQUIPMENT SELECTION
Requirements. Specifications, and Standards
Equipment Studies
ADP 6 FEASIBILITYfor general correspondence relating to feasibility
studies. For specific study projects,eparate case file. ADP 7 LIAISON AND INFORMATIONfor general material regarding
liaison with computer facilities and programs of other internal Agency components
and other Federal agencies. ADP 8 for general correspondence regarding data processing
standards and standards development.
b- ADMINISTRATIVE SERVICES (ADS)
Use these subject categories for general correspondence and related papers pertaining to office service functions, Including buildinsts and grounds, mail facilities and services, office equipment and supplies (less file equipment andrinting, property management, and telecommunications. Do NOT use this outline for documentation which is appropriate for filing in specific case files.
ADS ADMINISTRATIVEfor information pertaining to general policies and
procedures that cannot be put under specific subjects of this outline. ADS 1 REPORTS ANDfor geiwral reports, studies, surveys, progress
reports, and significant accomplishment reports. ADS 2 LAWS ANDfor proposed laws, regulations- and revisions
thereto relating to Agency programs ADS 3 BUILDING AND GROUNDS
for general material on acquisition of buildings and grounds lease.
tease amendments, renewals, floor plans,cquisition of real property. Facilities andcleaning, heating and air conditioning, utilities,
moving, alterations, and repairs. Space Management Parking
ADS 4 MAIL FACILITIES AND SERVICES Mailing Lists Courier Services Postage and Fees
ADS 5 OFFICE EQUIPMENT AND SUPPLIES (EXCEPT FILES EQUIPMENT AND
for general material on procurement, distribution, and control Maintenance and Repair Purchase
Surplus Property (Except Files Equipment)
NAL USE ONLY
ONLY
INFORMATION AND RECORDSH B|
APPENDIX B
Title
PERSONAL PROPERTYlor general material on conlrol. identification, inventory, lott or damage, and transfer. ADS 7 PRINTING AND REPRODUCTION Graphicartwork, design, drafting, etc. Copyinginternal copier control. Printing and Binding
Requisition andUse for general papers notpecific
reQulsition ADS 8 TELECOMMUNICATIONS Telegraph. Teletype, and Facsimile Service Telephone Service Telephone Directories
c. AUDITS AND INVESTIGATIONS (AUD)
Use ihese sublect categories for general correspondence and related papers pertaining to auditsCeneral (IG) investigations. Do NOT use this ouiline for documentation whichfor filing In specific audit or IC Investigation case
AUD AUDITS AND ICfor general policy not identified by a
specific sublect listed below. AUD 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports. AUD 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs, AUD 3 STANDARDS ANDfor procedures for conducting, reportlna,
and reviewing audits and IG investigations, Plans and Preparation* Development of Findings Closure-Resolution AUD 4 INTERNAL AUDITS Administrative and Program Operations Fiscal Administration Escewions AUD 5 CONTRACT AUDITS AUD 6 AUDIT TRAINING
AUD 7 COORDINATIONS WITH FEDERALfor listing Federal agencies
cooperating with IG program activities. Subdivide if necessary'. AUD 8 IC INVESTIGATIONS Conflict of Interest Fraud and Embezzlement AUD 9 IG INVESTICATIVE REFERRALS AUD 10 QUALITY CONTROL
AUD 11 LIAISONfor listing non-Federal organizations involved with IG program activities.
d. BUDGET (BUD)
Use these subject categories for general correspondence and related papers pertaining to the preparation, review, and submission of Agency budget data. Including budget estimates, justifications, policies, procedures, and financial plans. Do NOT use these subjects for documentationppropriately filedpecific case file. See the FINANCIAL MANAGEMENT outline for records of accounting and management of appropriated and other funds.
ADMlNISTRATlVEigsfMaTRNAL USE ONLY
INF
USE ONLY
| AND RECORDS MANAGEMENT
APPENDIX B
BUD for information pertaining to general policies and procedures thai
cannot be put under specific subjects ol" this outline. BUD 1 REPORTS AND(or general reports, studies, surveys, progress
reports, and significant accomplishment reports. BUD 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs. BUD 3 BUDCET PREPARATION AND SUBMISSION Budgetpreliminary estimates.
ubmissions andfor materials concerning submission of budget estimates to the Director, Office of Management and Budget and Congress. Subdivide by review organization if appropriate.
BUD 4 BUDGET EXECUTION
Allotments and Authorizations
Apportionmeot and Allocations
Transfer of Funds
BUD 5 FINANCIALfor overall plans lot expenditure of funds. Includes
requests, consolidations, review work plans, approvals, etc. BUD 6 A ILAfunds, earned reimbursements, refunds,
allocations received, transfer appropriations, etc.
MEETINCS, AND CONFERENCES (CMC)
Use this subiect category for material regarding committees, meetings, conferences, task lorces,NLY when the subject matter is too broad or general to be filed by specific subject. Establishs by name of committee, conference,nd arrange in alphabetical order,umeric code See ORGANIZATION. PLANNING, AND MANAGEMENT (OPM) for committee management.
CMC COMMITTEES, MEETINGS, ANDfor subject matter that is
too broad or general to be filed by specific subject. For example: CMC AUTOMATION TASK FORCE
CMC CAREER DEVELOPMENT PLANNING CONFERENCE
CMC CONTRACT REVIEW83
CMC DESIGN AND EVALUATION
CMC ENGINEERING WORKING CROUP
CMC PROJECT REVIEW-2
CMC PROJECT REVIEW-2
CMC SECURITY WORKING GROUP
EMPLOYMENT OPPORTUNITY (EEO)
Use these subject categories for general correspondence and similar papers related lo equal employment opportunity. Do NOT use this outline for documentation which ts appropriate for filing in specific discrimination case files.
EEO EQUAL EMPLOYMENTfor general information not related
pecific subject listed below. EEO 1 REPORTS ANDUse for general reports, studies, surveys, progress
reports, and significant accomplishment reports. EEO 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs. EEO 3 AFFIRMATIVE ACTION PLANNING
vUVUNiSTRATIVE-UMWAL USE ONLY
INFORMATION AND RECORDS
APPENDIX B
EEO 4 COMPLAINTS
EEO Advisory Committee Informal
EEO 5 for materials that relate to discrimination in equal
opportunity mutters Age Ethnic Origin Handicapped Persons Race Color Sex Religion
EEO 6 FEDERALfor information concerning programs designed for Federal women
FINANCIAL MANAGEMENT (FIN)
Use these subject categories for general roiresrwndence and related papers pertaining to dbbursement and collection activities and thc maintenance, control, and accountability of Agency finances. Do NOT use this outline for documentation which is appropriate for filing In specific case files. See the BUDGET section of the subject classibcation system for materiab relating to preparation, submission, and execution of the Agency budget. Sec TRAVEL AND TRANSPORTATION for subject outline for general correspondence on policies and procedures regarding the travel of Individuals and movement of household goods, etc.
for information pertaining to general policies
and procedures that cannot be put under specific subjects of this outline FIN 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports. FIN 2 LAWS ANDfor proposed laws, regulaHons, and revisions
thereto relating to Agency programs. FIN 3 AlTTHORJZATIONS ANDfor designations of personnel to
perform paying, collecting, timekeeping, and similar functions. FIN 4 BONDING OF EMPLOYEES FIN 5 ACCOUNTING SYSTEMS Accounting Codes and SymbcJs Automated Accounting Systems FIN 6 COLLECTIONS/RECEIPTS Accounts Receivable Adjustments
Checks, Money Orders,payroll and travel. FIN 7 payroll aod travel. Accounts Payable Adjustments Imprest Fund Letters of Credit
Voucher Examination and Certification
ENERALcorrespondence concerning general ledgerincluding Journal vouchers, subsidiary ledgers, trial balances, balance sheets, etc.
FIN 9 CONTRACTOR ACCOUNTING
ADMINISTRATIV^WTERNAL USE ONLY
ADMINISTTUli^WNTEBNAL USE ONLY
| AND RECORDS MANAGEMENT
APPENDIX B
FINFUND CONTROL AND FLOW
FINACCOUNTING
FIN
FIN
FINChanges
FINACCOUNTING
FIN
FINDiem
FIN
h. LEGAL AND LEGISLATIVE (LEG)
Use these subiect categories for general correspondence and sirnslar papers pertaining tolegislative programs, relations with Congress, and legal matters that are so general inthey cannot be filed under more specific subjects. Do NOT use this outline foris appropriate for filing in specific legal and legislative case
ANDfor information pertaining to general policies
and procedures that cannot be put under specific subjects of this outline
LEG 1
LEG 2 FEDERAL REGISTER
Published Items
Proposed Items
LEG 3 LEGAL LIBRARY
LEG 4 LEGISLATION
Proposed
Enacted
LEG 5 LITIGATION AND APPEALS
Civil Actions
Freedom of Information Act
Privacy Act
Criminal Actions
LEG 6 OPINIONS AND DECISIONS
Administrative
judicial
I. ORGANIZATION, PLANNING, AND MANAGEMENT (OPM)
Use these subject categories for general correspondence and related papers pertaining to the establishment, organization, reorganization, and termination of organizational units; the assignment and reassignment of functions; operational planning, management analysis, and surveys; manpower requirements and utilization; and emergency planning. Do NOT use this outline for documentation which is appropriate for filing in specific case files.
OPM ORGANIZATION, PLANNING, ANDfor irrformation pertaining to general policies and procedures that cannot bc put under specific subjects of this outline
EPORTS ANDfor general reports, studies, surveys, progress reports, and significant accomplishment reports
AWS ANDfor proposed laws, regulations, and revisions thereto relating to Agency programs.
OMMITTEEcorrespondence regarding theand administration of Agency committees. Do NOT use for papersommittee meeting which should be filed under the specific subject category or category CMC (Committees. Meetings, and Conferences).
3
USE ONLY
ADM INISTRATINFORMATION AND RECORDS MANAGEMENT
APP
OPM 4 DELEGATIONS OF AUTHOrUTY
DMINISTRATIVEadministrative and operational surveyseneral nature
ANAGEMENT ANALYSIS AND IMPROVEMENTbo RECORDSAND INFORMATIONI ncludes msnasemeol improvement, evaluation, and cost-reduction actlvHlea otber lhan inspect Kins, audits, and survey*.
MERGENCY PLANNING (See abo RECORDS MANAGEMENT ANDPROCESSING under VITAL(or material relatinf to continuation of operations in an emergency
RGANIZATION ANDorganization charts,of (unctions, organization and reorganization plant, history and Ucrujround o( elements, and the establbhment and jurisdiction oA regional offices.
OPM 9 STAFF CONTROL AND UTILIZATION
Staff Reauirements
Work DUtributlon
Work Simplification
Work Measurement
OPMROCRAM PLANNING ANDfor general material on the overall planning, direction, coordination, supervision, review, and evaluation of program goals.
OPMROJECTSfor general correspondenc* relating to the man-agement and administration of Agency projects
PERSONNEL (PER) Use ihese subject categories for general
and related papers pertaining to personnel Do NOT use this outline for documentation which is appropriate for filing In specific case files See EQUAL EMPLOYMENT OPPORTUNITY for subject outline (or general correspondence and similar papers related to equal empJoynsent opporluru'ty. *
lor information pertaining to general policies and procedures
that cannot be put under specific subjects of this outline PER 1 REPORTS ANDfor general reports, studies, surveys, progress
rcporls, and significant accomplishment reports. PER 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs. PER 3 ATTENDANCE ANDannual, sick, military leave, leave without
pay, holidays, and absence for jury duly. Subdivide by type as volume warrants. PER 4 EMPLOYEE RELATIONS AND SERVICES
Appeab andfor general material on the appeaU system, policies
and procedures for handling appeals, complaints, and grievances. Campaigns andIncludes Combined Federal Campaign. Savings Bonds
Campaign, and blood donation program. Conduct offor general materiab relating lo regulations and
procedures governing conibcts of interest, political activities, acceptance of
gratuities, etc Subdivide as necessary. CHsciprinary and Adverse Actions PER 5 EMPLOYMENT Former Employees Job Retention and Best oration
ADMINLSTRATIVJP^KTERNAL USE ONLY
r-LVreRNAL USE| AND RECORDS MANAGEMENT
APPENDIX B
PERstudents, handicapped veterans, consultants, etc.
PER AND MEDICAL Injuries, alcoholism, physical
examinations, etc. Subdivide as necessary.
PEROF DUTY
PERAND ANNUITIES
PERInsurance
PERInsurance
PER
PERCompensation
PERMANAGEMENT RELATIONS
PERADMINISTRATION
PERand Differentiab
PER
PERand Record Changes
PEREVALUATION
PERand Processir*
PERand Appraisals
PERStandards
PERprogram iropections and surveys.
PERCLASSIFICATION
PER
PERDescriptions
PERand Standards
PERend Evaluations
PERlot re-quests for, establishment of. and conlrol
over numerical authorization of staffing levels of personnel ceilings.
PERCeilings
PERPatterns
PERAND INTERNAL PLACEMENT
PERand Demotions
PERSELECTION, AND APPOINTMENT
PER and general material relating to vacancy
announcements
PERfor Employment
PERby type of appointment il volume warrants.
PERand Testing
PER
PER
PERAND DISPLACEMENT
PER
PERin Eorce
PER
PERfor Cause
PER
PERDEVELOPMENT
PERPlanning and Counseling
PER
PERANDby type of award if
3
USE nM 1
INFORMATION AND RECORDS MANAGEMENT
HHB|
APPENDIX B
PROCUREMENT AND CONTRACTING (PRC)
Use these subject categories for general correspondence and related papers pertainingof Agency supplies, equipment, and services; contracting for supplies and services;agreements. Do NOT use this outline for documentation which is appropriate fora specific contract or procurement case PROCUREMENT ANDthb subject for general policies that
cannot be placedore specific category. PRC 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports. PRC 2 LAWS ANDfor proposed laws, regulations, and revbions
thereto relating to Agency programs. PRC 3 AUTHORIZATIONS ANDcontracting officers and purchase limitations.
PRC 4 PROCUREMENTforma) advertising, negotiations, small pur-
chases, and blanket purchase agreements. PRC 5 SUPPLIERS AND CONTRACTORS Bidder Lists Ineligible Bidders Small Business and Minority Businesses Catalogs, Price Lists, and Schedules
PRC $ PURCHASE ORDERS ANDpolicies and procedures for
submission and requisition. PRC 7 CONTRACTS ANDgeneral material on clauses, forms,
etc. Subdivide by type of contract such as lease, rental, interagency agreement, etc. PRC 8 SOUCITATIONS, BIDS. AND AWARDS Issuance for Invitation for Bids/Request for Proposals Evaluation of Bids and Proposals Negotiation Award
PRC 9 CONTRACT ADMINISTRATION Contract Monitoring Changes and Modifications Cost and Billing Rates Closeout and Termination
I, Not used, m. PUBLIC RELATIONS (PUB)
Use thb subject outline for general correspondence and related papers pertaining to publicthe preparation of publications containing program information, the clearanceand audiovisual materials for issuance and distribution, and the promotion ofDo NOT use thb outline for documentationppropriate for filing in specificnor for information requested under Freedom of Information Act (FOIA) and Privacy ActADMINISTRATIVE SERVICES for subject headings relating to printing andgraphic services. See RECORDS MANAGEMENT AND INFORMATIONsubject headings concerning FOIA and PA requests for
for information pertaining to general policies and
procedures that cannot be put under specific subjects of thb outline. PUB 1 LAWS ANDfor proposed laws, regulations, and revbions thereto relating to Agency programs
USE ONLY
APPENDIX B
PUB 2 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports. PUB 3 promotional aids and publication materials. Subdivide
by type if volume warrants; maps, charts, posters, motion pictures, recordings,
photographs, and slides. PUB 4 BRIEFING MATERIALS
PUB 5 EXHIBITS, CEREMONIES. COMMUNITY PROJECTS
PUB 6
PUB 7 PUBLICATIONS
Annual Reports
Articles
Biographies
Newsletters and House Organs
Press Releases
Public Service Announcements
PUB 8 PUBLIC OPINION
Congratulations, Commendations, Appreciation
Criticisms, Critiques
Favorable
Unfavorable
PUB 9 PRESS RELATIONS
PUB 10 RADIO, TELEVISION, AND MOTIONfor Agency relations with
these groups. PUB II SPEECHES
PUB 12 VISITORS. REPRESENTATIVES, GUESTS n. RECORDS MANAGEMENT AND INFORMATION PROCESSING (REM)
Use thb subject outline for general correspondence relating to such records management functions as records maintenance and disposition, document securily. and the management of correspondence, forms, directives, and reports Do NOT use thb outline for documentation which is appropriate for filingpecific case file.
for information pertaining to general policies
and procedures that cannot be put under specific subjects of thb outline REM 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports REM 2 LAWS ANDfor proposed laws, regulations, and revbions
thereto relating to Agency programs. REM 3 CORRESPONDENCEprocedures and instructions. REM 4 DIRECTIVESfor correspondence on systems for issuing policy and procedures for giving guidance to Agency personnel and outsiders. Do NOT use for copies of directives. REM 5 DOCUMENT AND INFORMATIONfor systems and procedures regarding the handling and control of information and documents. Includes material on technical, administrative, and physical safeguards to ensure thc confidentiality of records containing national security information. REM 6 FORMSfor general correspemdence on forms clearance and
control, design and development, analysis, storage, and distribution. REM 7 FREEDOM OF INFORMATIONfor requirements involving inquiries specifically identified at Freedom of Information Act requests. Do NOT use for case files.
USE ONLY
APPENDIX B
8 MICROFORMfor correspondence regarding theof microfilm, microfiche, aod other microforms.
RIVACYfor requirements involving inquiries specifically Identified as Privacy Act requests. Do NOT use for case files.
REMECORDScorrespondence on policy and procedures to be followed in administering and operating the Agency's records disposition programhole.
1 Dispositioncorrespondence about scheduling records.
2 Records Retirement
3 Statistical Reports of Records Holdings
REM 11 RECORDS EOUIPMENT AND SUPPLIES
REM 12 RECORDSfiling systems.
REMEPORTSmatters regarding the preparation,control, and cost of reports.
ITALcorrespondence on policy and procedures to be followed in handling records essential to the Agency's operations tn an emergency situation.
o. SECURITY SERVICES (SEO
Use these subject categories for general correspondence and related pa pen pertaining to Office of Security service functions, including physical security, personnel security, clearances, accountability and handling of classified material, and related subjects. Do NOT use this outline for documentation which is appropriate for filing in specific case files.
Code
SEC
SEC 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports SEC 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs. SEC 3 PHYSICAL SECURITY SEC 4 PERSONNEL SECURITY Special Clearances Liaison Clearances
SEC 5 ACCOUNTABILITY AND HANDLING OF CLASSIFIED MATERIAL SEC 8 SAFETY PROGRAM
p. TRAINING AND EDUCATION (TAB)
Title
Use these subiect categories for general correspondence and related papers pertaining to Office of Training and Education. Do NOT use thb outline for documentationppropriate for riling in specific case files.
Code
TAE TRAININC ANDfor general material which cannot be filed
ore specific subiect of thb nature. TAE 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports. TAE 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs. TAE 3 INTERNALfor general material relating to various internal
training courses TAE 4 EXTERNAL TRAININC
TRAVEL AND TRANSPORTATION (TRV)
DM these subject categories for general ccrresrarjndence and related papers pertaining to the travel of IndivkluaJs and tbe movement nf household goods; the shipment of equipment, supplies, and materials: and the acquisition, maintenance, use, and disposition of motor vehicles. Do NOT use this outline for documentation which Is appropriate lor rilingpecific case file. See FINANCIAL MANAGEMENT for accounting matters.
Code
TRV TRAVEL ANDfor general material which cannot
filedore specific subject of this outline. TRV 1 REPORTS ANDfor general reports, studies, surveys, progress
reports, and significant accomplishment reports. TRV 2 LAWS ANDfor proposed laws, regulations, and revisions
thereto relating to Agency programs. TRV 3 GOVERNMENTfor general material on acquisition, assignment and use. credit cards, operator permits, maintenance and repairs, and motor vehicle reporting Includes General Services Adrmriistratioo (CSA) interagency motor pool
4 ITINERARIES AND RESERVATIONS
TRV 5 TRANSPORTATION OF PERSONAL AND HOUSEHOLD EFFECTS TRV 6 TRAVELper diem and mileage rates, travel advances, etc.
TRV 7 TRAVELfor general materialegulatory
or procedural nature. Includes transportation requests. TRV 8 TRAVELfor procedures regarding preparation and submission
(See FINANCIAL MANAGEMENT for accounting matters.)
3
INFORMATION AND RECORDS MANAGEMENT
APPENDIX C
ILE EQUIPMENT AND SUPPLIES
CORRESPONDENCE TYPE FILE EQUIPMENT
Tlier five-drawer safe is lhe most common lype of filing equipmenl used by lhe Agency.
FILE EQUIPMENT
Safe
The two-drawer desk safe Occupies no additional office floor space when usededestalesk. It should be used only whencsnlimale need for secure storage at the desk location. This safe is thc most expensive in terms of cost per cubic feet of storage.
Safe
Thc four-drawer safe occupies the same amount of office floor spacereestanding two-drawer safe. It provides twice the storage volume at less than twice the costwo-drawer safe.
FILE EQUIPMENT
Safe
The five-drawer safe increases filing capacity byercent without increasing office floor space requirements When office floorritical, this type safe should be considered, despite its additional cost.
Filing Cabinet
This equipment is availableombination lockuitable foror 4x6 inch microfiche. Storage of classifiednialjaial in this equipment is restricted toSecurity-approved vaulted areas.on the storage of classified
information or material.)
Items
Cabinets for storing maps, charts, and other oversized items are available wiih or without combination locks.
and Shelf File Equipment
Lateral and shelf files store records in lateral fashion with thc sides of the file folders facing forward rather than their front surface. The shelves may be fixed or on roll-out drawers. Thb equipment utilizes floor space more efficiently, speeds filing and retrieval, and costs less than the standard safe-type storage equipment. The equipment can be constructed to store cards, magnetic tapes, and various microforms. Storage of classified material in thb equipment is restricted to Office of Security-approved vaulted areas. The component RMO shoukd be consulted early in the planning phase when lateral or shelf filingeingescription of other types of file equipmenl and filing supplies may be found in the General Services Administration (CSA) Supply Catalog. FSC
anuary
ADMINISTIUTlVagifgWreRNAL USE ONLY
ADMINISTRATIVE-INTTONLY
INFORMATION AND RECORDS
APPEND!
APPENDIX D: GLOSSARY OF COMMON MICROCRAPHIC TERMS
ARCHIVAL MICROFILM. Silver halide microfilm meeting the reQuiremenis of Federal StandardD, Film. Photographic and Film, Photographic, Processed (for permanent records usc>,National Standards Institute (ANSI) Standardtc (See2or Agency purposes, archival microfilm is definedilver gelatin type film that is controlled through all phases of processing in accordance with the provisions ofhe Printing and Photography Division, Office of Logistics, provides centralized micrographic services available to all Agency components. Those components using this central facility can be assured that processed film meets the technical specifications established bv NARS for thc production of archival Quality microfilm. Agency components performing independent micrographic operations (not processed by tbe central facility) are obligated to follow the same standards and specifications set forth in5 for the production and processing of archival quality film. The objective of meeting these rigid requirements is to produce high quality microfilm capable of being stored under environmentally controlled conditions for long-term (permanent) retention with no significant loss in quality or readability.
COMPUTER OUTPUT MICROFILMicrofilm containing data producedecorder from computer-generated signals.
FACILITY. An area set aside for equipment and operations required in the production or reproduction of micro forms either for internal use or for Ihe use of other organizational elements of the Federal Government.
MICROFILM. (I) Rawand unprocessed) film with characteristics that make it suitable for use Inhe process of recording microimages onine-grain, high-resolution photographic film containing an image greatly reduced in size from the original.
erm used for any form containing microimages.
MICROGRAPHICS. The science and technology of document and information microfilming and associated microform systems.
nit of Information, suchage of tertrawing, that has been made loo small to be read without the aid of magnification
PERMANENT RECORD. Any record (seehat has been determined by the Archivist of the United Slates to have sufficient historical or other value to warrant its continued preservation by the Government.
SYSTEM,figuration of equipment and procedures for the production, reproduction, maintenance, storage, retrieval, display, or use oficrographic system may involve one or more, but not necessarily all, of the functions listed above.
3
ADM INI STRATIUSE OM.1
INFORMATION AND RECORDS MANAGEMENT
HHB|
APPENDIX E
APPENDIX E; ELEMENTSICROCRAPHIC SYSTEM ANALYSIS (Item* applicable (or Agency use have been extracted from)
ystem analysisost/benefit analysis shall be conducted prior to the decision tonicrographic system. Thc cost/bene Bt analysis shallomparative cost analysis in accordance with Office of Management and Budget (OMB)f It meets the guidelines described therein.
lb! The syslem analysis will contain thc following Items:
An examination of the current operating system to evaluate the need for the documents or information and the use to which they arc put
A consideration of the alternatives to micrographics including such measures as:
(i) Revising records conirol schedules lo provide for the disposition of paper records by
disposal, or transfer of Inactive records to the AARC. (U) Improving current retrieval and distribution procedures using paper records.
consideration of all feasible alternative methods of creating the microform records, such as:
(j) Purchase, lease, or lease-purchase of equipment.
(U) Sharing rnicrographic production equipment already in thc Agency.
An analysis of tbe workload and staffing requirements to ensure sufficient trained personnel to operate and maintain the rnicrographic system.
An examination of Ihe information needs of the user when determining reduction ratio, format, quality control procedures, viewing equipment, and user Iraining.
A review to ensure compatibility of microforms used wilhin the Agency and those used to transmit information to other agencies and thc public
A determination of the availability and cost of specialized spaceemperature, humidity control, etc.
(c) The chosen alternative will be the most cost effective and efficient system unless overriding intangible benefits necessitate an alternate decision
i RATI V'E JSRNAL USE ONLY
INFORMATION AND RECORDS MANAGEMENT
INDEX
ACTIVECURRENT RECORDS I!
ADMIN ISTRAT1 VEHOUSEKEEPING RECORDS 21
ADMINISTRATIVE SERVICES IADS) ISuiwct Fu> Canary)
K: PHaBETIC index or relative INDEX II
ALPHABETIC NAME INDEX II
ALFHaBETIC-SUBIECT FILING SYSTEM II
alpha-numeric filing1 appraisalrchival microfilmrchives 11
ACEMENT Ml ASOCIATIONS, Nm* t
AUDITS AND INVESTIGATIONSCSutWrfCMirmarr) 81
AUTOMATED DATA PROCESSING IADPI (Subwd Fllr 29
) 31
KHHIDOWN
-c-
CAPTI0N5
card filing equipment *i
case1
case file
CENTRAL FJLES ll CHARCEOUT
CHRONOLOGICALREADING FILE tl CLASSIFICATION 12
CI-ASSFICATION STSTEMS-Ste SUBIECT FILE CLASSIFICATION SYSTEM
FILE CODES OOtNC Ctt
COMMITTEES, MEETINGS, AND CONFERENCES (CMC (Stitwtf Fllr Cataterv! 31
COMPANIES, Naraei <t
COMPREHENSIVEDS CONTROL SCHEDULE !
CONVERSION OF PAPER RECORDS TO MICROFORM 13
CORRESPONDENCE FILE-Sw SUBIECT FILES ROSS- REFERENCE URRENT RECORDS UTOFF-ILE BREAK 21
DECENTRALIZED FILES 12
DECIMAL FILING SYSTEM 21
DIRECTIVE 12
DISPOSAL 11
DISPOSAL AUTHORITY 22
DISPOSAL LIST 21
I1DITX 22
DISPOSITION
DEPOSITION PROGRAM 83
DISPOSITION SCHEDULE 13
DISPOSITION STANDARD 23
DISPOSITION TECHNIQUES II
OK S3
DUPLEX-NUMERIC FILING3
ELEMENTSICROCRAPHIC 3YVI EMS ANALYSIS 45
EQUAL EMPLOYMENT OPPORTUNITYlat Cataaerr) 32
ILE EQUIPMENT 13
FAOLITAT1VEHOUSFKEEPINC RECORDS 13
FACILITY 43
FILE 23
FILE ARRANGEMENTS ILE AUDIT ILE BREAK ILE CODES. fl.ILE COPY ILE CUSTODIAN ILE DUSK;NATION 23
NAL USE ONLT
Vjj^^TER.'
NAL USE ONLY I tlMATION AND RECORDS MANAGEMENT
F -
FILE EQUIPMENT, LATERAL AND SHELF ILE EQUIPMENT. NONSTANDARD HI FILE EQUIPMENT. OVERSIZED ILE EQUIPMENT. STANDARDILE EQUIPMENT. SURPLUS ILE CROUP ILE STATION ILES 23
filesilesiles planiunc 23
filing equipment and
filing feature
fiunc manual 24
filing operations 10
filing supplies. nonstandard 14
filing supplies. standard 14
flung system 24
FINANCIAL MANAGEMENT (FIN) (Subject File
POLDERS (HEAVY DUTTJ OLLOWUP FILEUNCTIONAL CLASSIFICATION
- L-
UBEUNC CF1LE FOLDERS AND TOWAINERS, ia LEGAL AND LEGISLATIVE (LEC)iSubtti*
C-iefory)OOSE FILING
MAINTENANCE OF RECORDS iM MICROFILM ICROFORM ICROFORM RECORDS 16
MICROCRAPHIC EQUIPMENT PROCUREMENT ICROCRAPHIC SYSTEM 5 MICROCRAPHIC SYSTEM AUDIT ICROCRAPHIC TRAINING ICROGRAPHICS 3
MICROGRAPHICS APPLICATIONS PROPOSALS 15
MICROGRAPHICS MANAGEMENT IS
MICROGRAPHICS RESPONSIBILITIES AND OBJECTIVES 15
MICROGRAPHICS TECHNOLOGY SU
MICROIMAGE 43
MNEMONIC FIUNC SYSTEM 24
G -
GENERAL CORRESPONDENCE FILE ENERAL RECORDS SCHEDULEEOGRAPHIC ARRANGEMENTLOSSARY OF COMMON MICROCRAPHIC TERMS
-B-
HOLDING AREA OUSEKEEPING RECORDS 24
INACTIVE RECORDSNDEX NDEXING 11
INDIVIDUALS. Ninves of
INFORMATION COPY INVENTORY ti
-I-
ORGANIZATIONS. OR
NAMES OF COMPANIES. ASSOCIATIONS &
HAMES OF INDIVIDUALS-Sw INDIVIDUALS, 5
CONCURRENT RECORDS 14
SONRECORDS MATERIAL 25
NUMERIC ALPHABETIC FILING SYSTEM
NUMERIC ARRANGEMENT &
NUMERIC FILING SYSTEM 25
-0-
OFFrCE OP RECORD *5
OFFICE OF SUBJECT OUTUNE 25
OFFICIAL FILES 25
OFFICIAL PERSONNEL FILE 5
ORGANIZATION. PLANNING, AND MANAGEMENT
LOFM-iS-jb^ct
ORGANIZATIONS.of 9
ADMJNISTRATI
HHB
IMJEX^Con tin vied)
RECORDS PERMANENT RECORDSERSONNELbwct File31
PRIMAR1 SUBJECT FUX CiASgFlCATON
PROCtREMENT AND CONTRACTING (PRO
PROGRAM RECORDS PROJECT FILE6 PUBLIC RECORDS fi.37
PUPLMCFile 37
-0-
*EA DING FILE IS
RECORDFILE COFY
RECORD SIpT 15
RECORDS ES
RECORDS QDiTER
RECORDS COSTVOL SCHEDU.E
RECORDSDISPOSITION
RECORDS MANAGEMENT
RECORDS MANAGEMENT ifcFMi {Suhjrcl FUr
RECORDS MANAGER
RECORDS RLTtNTlONDISPOSITION SCHEDULE
RECORDSRETIREMENT. DiSfOSTK>N 16
RECORDS SCHUXLE-Sc* DISPOSITION SCHEDULE. RECORDS CONTROL SCHEDULE 2i
REFERENCE AND CHARGEOLT PROCEDURFS 1J
RETENTIONISPOSITION SCHEDULE B3
RETENTION STANDARD
RETIREMENT M
SCREENING 26
SECONDARY SUBJECT FILE CLASSIFICATION 6
SELF-INDEXING FILES EMIGURRENT RECORDS B6
-I-
SORTINCQ.B6
SPECIAL FILE ARRANGEMENT 9
STAGINGHOLDING AREA 26
SUBJECT CORRESPONDENCEUBJECT FILESJ6
SUBJECTFTLI <'L^VMCAYION SYSTEM
SUBJECT FILE ffur^din Top*r) f
SUBJECT FILES
SUBJECT-NUMERIC FIIJNG SYSTEM 7
SUBJECT OUTLINE V
FILING EQUIPMENT AND SUPPLIES U
SUSPENSETOLLOWUP FILE V
SYSTEM,MICROGRAPHIC SYSTEM 43
-T-
TECHNICAL REFERENCE MLE ERTIARY SUBJECT FILE CLASSIFICATIONICKLERFOIXOWUF FILE r7 TRAINING AND EDUCATION (TAD Cbfertt File
TRANSACTION FILE If TRANSITORY FILERANSITORY RECORDS 17
TRAVEL AND TRANSPORTATION (TRVl iSoUect FUe -U-
L'NSCHEDULED RECORDS 21
- V-
VJTAL KhCORDS 27
SCREENING ORKING FILEORKING PAPERS
T-
ADMINJSTIU'I'U^WNTFKNAL USE ONI.V
Original document.
Comment about this article, ask questions, or add new information about this topic: