CHECKLIST FOR APPRAISING FILES OPERATIONS IN YOUR OFFICE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020006-6
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 24
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 6
• Publication Date: January 1, 1968
• Content Type: REPORT

ooo rop p,.aising
files operations
in your office
PE 4-1 Leave - Annual
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
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Federal Stock Number
7610-935-5871
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For sale by the Superintendent of Documents, U.S. Government Printing Office
Washington, D.C., 20402 - Price 20 cents
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FOREWORD
This is a do-it-yourself booklet about your files.
It deals with matters that are quite important . . .
with the kinds of files you have and how you maintain
them.
That is why every question in this booklet was
written with a sense of responsibility toward you, the
"keeper-of-the-files. "
You will find that this booklet offers no magic formula
for quick and easy success in operating files. But it will
help you to know if you have the right information in your
files, and if it is arranged for easy finding.
Doesn't that make it worth using?
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WHEN AND HOW TO USE THE CHECKLIST WHICH FOLLOWS
If you haven't studied your files operations for a year or more,
you should do so as soon as you can. The questions on the following
pages will help you.
You don't have to do this all at one time. The questions have
been grouped so that you can answer them as other work permits.
It is suggested, however, that you try to complete a group of these
questions without prolonged interruption, as those within a group
frequently are interrelated.
A review like this should be made once a year. It would be a
good idea, therefore, for you to place a reminder about it in your
follow-up file.
You will notice that, for your convenience, check boxes are
provided for "yes" and "no" answers. Any check mark in the "no"
column may indicate a need for corrective action.
Should you find that such action is necessary and that you need
further written guidance, consult the records management publi-
cations of your agency. Should there be none of these or if they do
not answer your need, the supplementary GSA-NARS publications
li sted at the end of this booklet may help you.
You should contact the records management office in your
agency or its local representative if you need technical assistance.
If your agency, commission, or committee has no such source to
contact, assistance is available from GSA's Nati onal Archives and
Records Service offices. A list of these is provided at the end of
this booklet.
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FILES OPERATIONS
A. FILE LESS
1. Does someone in my office determine whether or
not given types of papers being created or received
must be filed?
General rule: In every office where files are
maintained someone should make this determination;
otherwise many papers will be filed which are not
worth filing.
2. Does my office have a policy that the following
materials are not to be filed-
-envelopes?
-route slips on which there are
no significant notations?
-superseded drafts which show no
important substantive changes?
-duplicates of correspondence and
reports other than those needed for
cross-references?
General rule: Every office should have a firm rule
that such obviously unneeded papers will not be filed.
This prevents wasted effort, fi ling space, and equip-
ment, and makes needed papers easier to file and find.
3. Does my office have a policy that file copies of form
1 etters wt 11 not be made in i nstances when (a) no
retained record I s necessary or (b) a notation on
i ncomi ng correspondence showing the form reply used
and the date wi 11 suffice or (c) one copy showing
distribution will do?
General rule: Such copies serve no purpose, increase
the filing workload, clutter files, and so should not be
made.
YES NO
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4. Does my office have policy governing which
publications will or will not be filed?
5. Are originators of publications requested to
discontinue sending those no longer needed?
General rule: These practices should be
followed, because publications rapidly consume
filing space and equipment, sometimes require
indexing.
6. Does my office, in responding to purely routine
correspondence ( such as requests for publi-
cations, applications, stereotyped inquiries, etc.)
reply (a) on the incoming letter which is returned
to the sender or (b) by form letter, printed slip
or other ready-made answer, returning or dis-
carding the incoming letter?
General rule: Unless agency policy prohibits,
one or more of these practices should be
followed. They eliminate preparation of file
copies of replies and filing of incoming letters.
B. CLASSIFICATION AND FILING SYSTEM
1. Have I listed the subjects and types of records in
my office?
2. Have I compared my list with the subj ects and
types of records provided for i n the filing manual
prescribed for my use?
3. Have I defined all subjects on my list which do not
appear in the filing manual prescribed for my use?
General rule: These acti ons should be taken as
first, essential steps, if files are not already
arranged according to authorized system.
YES NO
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4. Does the filing manual prescribed for my use
adequately provide for the records of my office?
General rule: When a filing manual developed
for general use does not satisfactorily provide
for the records of an office, that office should
see that the manual is supplemented to fit local
needs by contacting the agency records manage-
ment office or its local representative.
5. Are the manual' s subjects logically arranged in
relation to the way my office operates?
General rule: Subject outlines work best when
they conform to the functions to which they
pertain.
Do I usually find it rather easy to select the
subject under which a paper should be filed (i. e. ,
there are not too many subjects under which a
given paper can go)?
General rule: A good filing manual avoids pro-
viding an excessive number of subjects from
which to choose in deciding where to file a paper.
This in turn improves likelihood that all papers
on the same subject will be consistently filed and
found together.
7. Are the manual's instructions and definitions
complete and clear?
General rule: A good filing manual provides
clear instructions, definitions, and references
not only as general guidance on how to use the
manual but also wherever they are needed in
connection with subjects.
YES NO
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YES NO
8. Are the coding symbols whi ch represent subjects
short, simple, and easy to remember?
General rule: They should be, to make the marking,,
sorting, filing, and finding of papers fast, easy,
accurate.
9. Are my files actually arranged in accordance with
the manual prescribed for my use?
General rule: They should be, unless the manual is
believed unsuitable for the office's files, in which
event the agency records management office or its
local representative should be contacted.
C. CLASSIFYING PRACTICES
1. Do I assemble directly related papers (e. g. , in-
coming letter and copy of outgoing reply) before
determining their file designation?
General rule: By assembling directly related papers,
more information is available on which to make a
sound decision on the correct file designation.
2. Do I mark papers with their file designations (e.g.,
underlin g or check-marking name, writing file
code in corner, etc. )?
General rule: Papers should be so marked to make
it unnecessary to re-read a paper when filing it or
returning it to file.
3. When I am in doubt regarding the right file desig-
nation for a paper do I refer to an index to the files,
to papers already filed so as to verify or reject a
tentative choice, or ask the opinion of officials who
are acquainted with the subject, case, or project?
Approve
General rule: These steps, in the order given
-should betaken
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YES NO
4. Do my superi ors or other officials refrain
from marking fi 1 e designations on papers
before sending them to me to file?
General rule: If you are held responsible for
fi nding papers when they are asked for, you
should at least participate in deciding how to
file them. This is true even if (a) the filing
system was devised by a superior and he under-
stands it best; (b) he is intimately acquainted
with the technical content of papers and so
feels best qualified to mark them for filing; or
(c) he feels that certain papers are so impor-
tant that he wants to be certain he knows where
they are in the files so he can produce them
quickly.
D. FINDING AIDS
1. Are all of the indexes and other finding aids I
have really worth the time, effort, and cost of
preparing and maintaining them?
General rule: All finding aids are costly and,
therefore, should be held to a minimum.
Several types of indexes to one kind of file
system is a sign of weakness in that system.
2. When a paper covers more than one subject,
name, etc., do I provide cross-references only
for the additional subjects or names by which I
feel the paper is likely to be requested?
General rule: Cross-referencing should be re-
stricted to just those which experience has proven
are useful. Resist the temptation to cross-
reference every subject, name, etc., in a paper.
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3. When a cross-reference is needed, do I use
an extra carbon copy or obtain a "quick-copy"
of the paper involved?
General rule: A copy of the paper is preferable
to the preparation of a cross-reference form,
because it provides the full text of the paper
and is usually faster and cheaper to obtain.
4. Do I mark each copy to show (a) that it is a
cross-reference, (b) where it should be filed,
and (c) where the paper from which it was
copied is filed?
General rule: This should be done to clearly
identify the nature and purpose of the copy and
location of the paper copied.
E. FILING PRACTICES
1. When officials release papers to me for filing, do
they initial or otherwise mark them to show that
their filing is authorized?
General rule: This should always be done; other-
wi se there is no assurance that a paper has been
seen or acted on.
2. Do I sort papers which are ready to be filed, into
the same sequence as the files in which they will be
placed?
General rule: This should be done. It prevents
backtracking and thus saves filing time and effort.
3. Do I fasten papers together which will be asked
for as a group?
YES NO
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4. Do I leave papers unfastened which will be asked
for singly?
General rule: Whether or not to fasten papers
should be governed by the way papers are asked
for. The perforating of papers, placing them on
fasteners, opening and closing fasteners, etc.,
are tedious, time consuming operations. For
these reasons, papers should be fastened only
when entire folders are requested.
5. Are my files arranged according to the way they
are asked for?
General rule: This should be so, as far as it can
be carried, because it makes finding much easier.
6. Have I arranged as many papers as possible into
case or project files?
7. Do I clearly understand what constitutes the essential
papers which belong in each kind of case or project
file, so I can tell when such a file is complete?
8. When a case or project is closed, do I remove the
file from among those of still active cases or
projects and place it with the files of other closed
cases or projects?
General rule: Papers should be arranged into case
or project files, if possible, as this is the simplest
way to file and find information. Recurrent, repetitive
kinds of information which belongs in a case or project
file should be known to those who maintain such files.
Closed files should be separated from active ones.
YES NO
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9. Is file material separated or identified in some
way to-
-show its age, so that it will be easy to
dispose of or retire at scheduled times?
-distinguish that of permanent or long-term
value from that of transitory value?
-keep heavily used material from being mixed
with and encumbered by seldom used material?
-keep files designated as "official files" apart
from those which have not been so designated?
10. If so, is this done in one or more of the following
ways-
-by maintaining material in (a) separate filing
cabinets, drawers, or sections of drawers or
(b) separate shelves or sections of shelves, with
inclusive dates shown on drawer, shelf, or guide
card labels?
-by maintaining material in separate file folders,
with inclusive dates or values shown on folder
tabs?
YES NO
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-color coding to show periods of time or values of
papers; e. g. , yellow label for the current period
or for permanent papers, green label for the
proceding period or temporary papers, etc. ?
-by dividing material within file folders to separate
permanent from temporary or to separate heavily
used from seldom used material?
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-by affixing clip-on signals to file folders, using
different colors or positions to indicate time
periods?
-by using staggered positions of file folder tabs to
indicate retention periods and methods of disposition?
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General rule: Separation of papers for one or more
of the purposes listed above should be done, as far as
practicable. The method used must depend on the
amount, kind, etc. , of papers, and the advice. of the
agency records management officer should be re-
quested to help arrive at the right selection in each
instance.
11. Are my files neat and orderly in appearance, with file
folder and guide card tabs aligned in simple patterns
which are easy to scan when locating files'?
General rule: Uncluttered, simple arrangement of
folder and guide tabs and clear, standardized
labeling of such tabs are definite aids to filing and
finding papers.
12. Are the contents of my file folders and/or containers
limited in volume so as to avoid overloading them?
General rule: Overloading should be avoided, as it
makes filing and finding difficult and can damage
papers.
13. Are my files virtually free of empty or nearly empty
file folders?
General rule: Only folders for which there is a present
or expected need should be established.
14. Is there the right number of file guide cards (dividers)
in my files?
General rule: The number of guide cards needed will
vary somewhat, due to the number and thickness of file
folders, whether the files are subject, name, or number
files, etc. It is better to have too few than too many,
as too many actually slow filing and finding.
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15. Do all file drawer or shelf file labels clearly
identify the files involved?
General rule: When such labels identify contents
of cabinet drawers or shelving sections, filing
and finding is expedited.
16. If I have an alphabetical name file of persons or
organizations, do I provide for name changes by
refiling the papers involved under the new name?
General rule: This should be done, as requests
will most likely mention new name. (See also
next question).
17. If name file papers are refiled under a new name
is a cross-reference placed under the old name
referring to the new one?
General rule: This should be done, since some
requests may mention only old name.
18. When I have bulky or oversized file material
which cannot be suitably placed with my regular
file material, do I (a) mark it with the appro-
priate file designation and identification of the
particular letter, report, etc. , to which it
relates and (b) place it in other equipment suited
to its size?
General rule: These steps should be taken, for
reasons which are obvious. (see also next question).
19. If I place bulky material apart from my regular files,
do I indicate on the related letter, report, etc. , in
the regular files where the bulky material has been
placed?
App
YES NO
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20. When I must remove papers from an earlier group
of files to combine them with current papers, do I
replace the earlier papers with a cross-reference
showing their new location?
General rule: This should be done; otherwise where-
abouts of earlier papers is uncertain.
21. Do I maintain a suspense (tickler, reminder) file on
(a) correspondence to which replies are due or on
which action should be taken by a given date or
(b) files needed by someone on a predetermined date?
General rule: Such a-file is extremely useful, and
should be established if supervisor approves.
22. Do I regularly straighten and tamp down papers in
folders, crease expansion folds (scoring) on bottom
of folders to keep papers from hiding labels, and
check for misfiles?
General rule: These practices should, of course, be
followed to make files easier to use and to ensure
that papers are where they belong.
23. Do I remove paperclips, rubber bands, spring clips,
and pins from papers, and staple those which should
be stapled before filing?
General rule: These actions should be taken to
prevent papers being inadvertently attached to others
or separated as clips slip off, and to reduce bulk.
24. Do I keep my current files free of records which should
be disposed of according to authorized agency schedules?
General rule: This should be done to the fullest practi-
cable extent, to save filing space and equipment, making
filing and finding easier.
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25. Do I periodically dispose of records (byretire-
ment or destruction as authorized) according to
schedules provided by my agency records
management office?
General rule: These things should be done, to
save filing space and equipment and make filing
and finding easier.
26. Do I file security-classified papers in separate
file containers from papers not security-classified
or papers marked "For Official Use Only"?
General rule: This practice should be followed.
However, in most agencies, security regulations
permit filing unclassified papers with classified
ones when they are needed together for reference
purposes. Such interfiling should be restricted to
papers which directly support, explain, or document
a decision or transaction. Be sure to check this
point with your agency records management office
or its local representative.
F. REFERENCE SERVICE
1. When records are removed from my files for use
are they replaced by a charge-out form?
General rule: This should be done, unless the users
are in the same room or within a very limited dis-
tance from your files, so that location of records is
known.
2. When additional papers arrive for inclusion in a file
that is charged out, do I take these additional papers
to the person who has the file?
General rule: This should be done, so that he will
have the benefit of the additional information.
YES NO
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3. Do I periodically contact persons to whom files
are charged, after a reasonable period of time,
to see if files can be returned?
General rule: This should be done, to make these
files available to other persons, lessen chance of
their being misplaced.
4. Over a period of, say, one year, would the total
"can't finds" in my file be less than 3%?
General rule: Three percent is regarded as the
break-off point between efficient and inefficient
reference service.
G. WORKLOAD
1. Do I keep my classifying and filing up-to-date?
General rule: Classifying and filing should, of
course, be kept-up-to-date; that is, done daily,
so that backlogs do not accumulate. If this is not
possible because the volume of papers is too great
or other duties are given priority, etc., this
should be discussed with supervisor.
2. Am I able to attend to requests for files or infor-
mation from files as such requests are received?
General rule: Requests for files service should be
handled when they are received, not backlogged.
If this is not happening, determine cause and
discuss with supervisor.
H. DOCUMENTATION
1. Are my files complete, free of information gaps?
2. Do other offices or organizations always supply
information due ,,m,ww ~y' office (such as periodic
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3. Do other persons in my office always turn papers
over to me for my files?
4. Do other persons in my office always tell me when
they remove papers from my files during my absence?
General rule: Files should completely document, as
far as possible, the office's role in a transaction,
decision, project, etc. This is not possible if the
answer to questions 2, 3, or 4 is "no, " in which case
you should consult your supervisor.
5. Do I fully understand regulations and procedures for
the protection of security-classified files?
General rule: All such policy and instructions must
be thoroughly understood.
1. EQUIPMENT AND SUPPLIES
1. Am I using legal-size equipment and supplies only
when the amount of legal-size papers is 20% or more?
General rule: Because legal-size equipment and
supplies cost more and take up more space, their
use should be held to a practical minimum.
2. Am I using 5-drawer filing cabinets?
General rule: These should be used when available
and when modern shelving should not be used,
because of their greater capacity and saving of floor
space.
3. Have I explored the advantages of using modern
shelving instead of filing cabinets?
General rule: Unless there are strong reasons why
they should not be used, such shelves offer benefits,
YES NO
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4. Am I using fire resistant insulated file
equipment and security type file equipment
only for records which require'thrssprotection?
General rule: Such equipment costs more than
regular equipment, occupies more floor space,
and is a greater floor load. It should be used
only for records which warrant the degree of
protection it affords.
5. Am I keeping filing cabinets free of stocks of
blank forms, office supplies, stocks of publi-
cations, etc. ?
General rule: Filing cabinet space should not
be wasted on such items. Materials of this
kind should be stored in nearby supply cabinet,
shelving, or other suitable housing.
6. Am I using the right kind of file folders?
General rule: Choice of folders should be
governed by the kinds of papers, frequency of
use, kind of container, etc., involved.
7. Am I using the right kind of file guide cards
(dividers) ?
General rule: Here, too, choice should be based
on the kind of file, the tab position prescribed,
whether color coding is to be used, etc.
8. Am I using the right kind of file folder labels?
General rule: Pressure- sensitive (self-adhesive)
labels are easiest to apply. Their size, color,
and other features should be chosen according to
the kind of file, amount of information on label, etc.
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9. Do I use such ai ds as a sorter, hook-on shelves
to hold papers as I fil e into containers, filing
stool, tiered desk tray, etc. ?
General rule: Such devices make classifying,
sorting, and filing easier. They should be used
unless volume of papers is quite small.
J. SPACE AND WORKFLOW
1. Are my filing aids and file containers and their
contents so arranged that steps are saved and
filing moves progressively forward (e. g., from
top to bottom of containers, left to right, etc. ) ?
General rule: They should be so arranged, so
that filing can be accomplished with least effort
and in least time.
2. Are file containers placed so that I can get to
them easily?
3. Are they placed so they do not interfere with
the flow of other work and movement of other
personnel?
4. Are they placed so they do not expose files to
damage?
5. Are they placed so they do not unnecessarily
expose my files to unauthorized access?
6. Are they placed so they are not a safety
hazard?
7. Are they placed so they are in an area of good
light ?
General rule: Naturally, as many of these
objectives should be realized as possible.
YES NO
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K. TRAI NI NG
1. Does my agency (A) present files workshops or
other files training courses or (B) encourage
attendance at such courses when presented by
other sources?
2. If so, have I attended one recently (within the
past two years)?
General rule: Such courses should be given or
supported, and be attended by all who maintain
files. Only in this way can skills be improved,
and the latest techniques, equipment, and
supplies be introduced.
YES NO
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 rTERleseA2Q.Q1SfTANCE II SHOULD CONTACT THI S
OFFICE IN MY
FOR AGENCY-
PERTINENT PERTINENT RECORDS MANAGEMENT PUBLICATIONS OF MY AGENCY:
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NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICES WHICH PROVIDE TECHNICAL ASSISTANCE
( Contact if your agency has no records management office or local representative)
GSA Region
in Which You
Are Located
Address
Telephone
Number
Post Office and Courthouse
Boston, Massachusetts 02109
617
223-2695
30 Church Street
New York, New York 10007
212
264-3514
National Archives Building
202
962-3512
7th & Pennsylvania Ave., N. W.
Washington, D. C. 20408
(IDS Code 13)
1776 Peachtree Street, N. W.
Atlanta, Georgia 30309
404
526-5611
219 South Dearborn Street
Chicago, Illinois 60604
312
828-5674
1500 East Bannister Road
Kansas City, Missouri 64131
816
361-7274
819 Taylor Street
Fort Worth, Texas 76102
817
334-2759
Building 41, Denver Federal Center
Denver, Colorado 80225
303
233-8339
49 Fourth Street
San Francisco, California 94103
415
556-3425
10
6125 Sand Point Way
Seattle, Washington 98115
206
583-4500
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PERTINENT GSA-NARS PUBLICATIONS:
Records Management Handbooks
Files Operations
Subject Filing
Form Letters
Applying Records Schedules
Pamphlets
Standard Shelf Files
Approved For Release 2001/05/08 : CIA-RDP74-00005R000100020006-6