RECORDS MANAGEMENT HANDBOOK SUBJECT FILING

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020017-4
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 45
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 17
• Publication Date: January 1, 1966
• Content Type: REPORT

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FPMR 11.3
RECORDS MANAGEMENT HANDBOOK
*
* *
AMMENnissommili
GENERAL SERVICES
ADMINISTRATION
mom 0."
"ttfiffEWIWIVA
n
111C
Managing Current Files
SUBJECT
FILING
1966
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF RECORDS MANAGEMENT
Federal Stock Number
7610-926-2128
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RECORDS MANAGEMENT HANDBOOKS are
developed by the National Archives and Records Service
as technical guides to reducing and simplifying paperwork.
RECORDS MANAGEMENT HANDBOOKS:
Managing correspondence: Plain Letters
1955
47 p.
Managing correspondence: Form Letters
1954
33 p.
Managing correspondence: Guide Letters..
1955
23 p.
Managing forms: Forms Analysis
1960
62 p.
Managing forms: Forms Design
1960
89 p.
Managing mail: Agency Mail Operations
1957
47 p.
Managing current files: Files Operations
1964
76 p.
Managing current files: File Stations
1966
39 p.
Managing current files: Subject Filing
1966
40 p.
Managing current files: Protecting Vital Operating
Records
1958
19 p.
Managing noncurrent files: Applying Records Sched-
ules
1961
23 p.
Managing noncurrent files: Federal Records Centers_
1963
28 p.
Mechanizing paperwork: Source Data Automation
1965
78 p.
Mechanizing paperwork: Source Data Automation
Equipment Guide
1962
120 p.
Mechanizing paperwork: Source Data Automation
Systems
1963
183 p.
General: Bibliography for Records Managers
1965
58 p.
For sale by the Superintendent of Documents, U.S. Government Printing Office
Washington, D.C. 20402 Price 30 cents
11
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FOREWORD
Over 2 million cubic feet of Federal office records are now organized and
filed by subject. Although these subject files constitute less than 10 percent
of all office records, their management is one of the most critical and pervasive
tasks facing the records manager. The organization, policies, programs, and
functions of complex modern Government are documented by subject files.
Within the structure of these files are countless papers adjudged to be of
enduring value. It is the records manager's task to plan a file structure from
which information can be readily retrieved for the divergent needs of the
researcher of tomorrow as well as the decision maker of today.
This handbook deals with developing subject files that all keepers and
users of records can master and follow. It is one of a series of handbooks
issued by the National Archives and Records Service as an aid to Federal
agencies in planning and maintaining ,efficient recordkeeping systems.
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TABLE OF CONTENTS
I. THE NEED FOR SYSTEMATIC FIL-
ING
The Files Spectrum
Page
1
V. PREPARING THE MANUAL?THE
PRELIMINARIES
Page
Requisites of Subject Filing
1
Sizing up the Project
23
Evidence of Need
1
Undertaking a Comprehensive Files
Pluses for Standardization
2
Improvement Project
23
Meeting the Need
3
Taking Inventory
24
II. MEETING AGENCY REQUIRE-
Inventory Methods
24
MENTS
Needed Inventory Information
25
Four Ways To Approach Standardiza-
Special Data on Subject Files
25
tion
4
The Preview
26
Choosing the Best Approach
4
The Coordinated System
5
VI.
PREPARING THE MANUAL?THE
Records Coverage
5
STEPS
Coding
6
The Key Factor
7
Developing Subject Classification Out-
III. SELECTING AND CLASSIFYING SUB-
lines With Index Cards
28
JECT CATEGORIES
Sorting Subjects
28
What Is Meant by "Classification"?__
8
Analyzing Subjects
29
Hierarchical Classification
8
Resolving Special Problems
30
Essentials of Good Classification
8
Preparing the First Draft
30
Advantages of Classification
9
Developing Subject Classification Out-
Functional Grouping
9
lines With Punched Cards
31
Reasons for Functional Grouping_
Precautions
9
10
Reconstructing the Outlines
32
Number and Breadth of Categories___
11
Preparing Supporting Materials
32
Gauging Categories by Records Vol-
Testing and Gaining Approval
34
ume
12
The Final Draft of the Classification
Adjusting Categories for Organiza-
Outlines
35
tional Levels
13
The Alphabetic (Relative) Index___
35
Restricting and Expanding Categories
by Choice of Terms
14
Records Disposition Instructions
36
Choosing the Best Terms
15
The Conversion Table
37
Parallel Construction
15
Format of the Manual
37
Technical Terms
15
Trade Language.
16
VII. MAKING THE SYSTEM WORK
Substructures
16
Placing the Responsibility
38
IV. SELECTING FILE CODES
Training Recordkeepers
38
Noncoded File Arrangements
Evolution of Codes
18
18
Auxiliary Indexes
39
Usefulness of File Codes
19
Alphabetic Name Index
39
Design of Codes
20
Precedent Index
39
Multipurpose Codes
21
Auditing..
40
V
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I. THE NEED FOR SYSTEMATIC FILING
"System" should be the first word to come to
mind after the word "filing." Without system,
purposeful filing of more than a hundred docu-
ments becomes difficult. As the documents
multiply, it becomes impossible. For this
handbook on subject filing, there is then but
one theme: system.
The Files Spectrum
The goal of every filing system is the organi-
zation of information in such a way that the
user with a question knows where to find the
answer. When the user's questions are predict-
able, the information can be organized by the
search criteria. In other words, the user can
find documents already arranged to fit his
questions.
Many of our filing systems evolve easily
from a single-search criterion?the name of a
person or place or thing, or the number of the
document itself. "Case files" like personnel
folders in alphabetic order of names, and
"transaction files" like canceled checks in
numeric order, are common examples of sim-
ple file structures employing a single-search
criterion.
But efficient file structures do not always
evolve so painlessly. The complexity of the
structure increases in direct proportion to the
diversity of the information and the user's
needs. At the opposite end of the files spectrum
are those massive and diverse collections of
technical and scientific papers for which the
user's needs are often unpredictable. One
modern method of retrieving information from
these enormous pools is an unstructured file,
queried by machine or manually manipulated
keyterrn indexes. Not limited to predeter-
mined categories, these coordinate indexing
systems are geared to an unpredictable use.
Between the simple case file and the sophis-
ticated information retrieval system are count-
less structured files of varying degrees of com-
plexity. These are the files commonly used
by all Government agencies for functional
records that do not lend themselves to arrange-
ment by name or number. They are the
subject .files with which this handbook is con-
cerned. See figure 1.
Requisites of Subject Filing
Every subject file?even the simplest one?is
a challenge to the systems analyst. He must
predict the user's needs for information and
develop a plan for organizing the files by subject
categories representative of these needs. Com-
plicating his problem are the varying retention
values of documents in the same subject
categories. To insure preservation of his-
torical papers, he must organize his files so
records of lasting value can be readily segre-
gated.
Systematic subject filing also demands that
basic rules be followed uniformly in operating
file stations and that conformity to these rules
be perpetuated by a manual variously described
as a "Handbook of Records Classification and
Filing Standards," a "Files Management
Guide," or simply a "Subject Filing Manual."
Until these requirements are met, the need
for systematic filing is never satisfied.
Evidence of Need
This need is nowhere so acute as in subject
filing. It is, first of all, the quest for a better
means of information retrieval. It is the
recordkeeper's need for guidance on how to
file and find his office records; it is manage-
ment's need for efficiency in office practices;
and it is the archivist's need for reassurance
that documents of lasting value will not be-
come lost in masses of short-lived papers.
The evidence of need will be seen in illog-
ical and obsolete subject categories, excessive
rnisfilings, the scattering of papers on closely
related subjects, the high costs of files oper-
ations, and the poor communication between
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THE FILES SPECTRUM
STRUCTURED . . . . .
UNSTRUCTURED
ALPHABETIC
fit,1.1
NUMERIC
iii?
? Users' requirements
completely predictable
? Inflexible
CLASSIFIED SUBJECT
?
_
? Users' requirements
reasonably predictable
? Fairly flexible
UI
l
COORDINATE
INDEXING
? Users'
unpredictable
? Completely
shrinkage
?
?
?
rayon
?
1.
?
fabric
? /
. : :
requirements
flexible
those who file and those who use the records.
In recent years the evidence of need has also
been seen in efforts to apply costly noncon-
ventional filing methods, such as coordinate
indexing and machine searching, when the
practical solution to the problem is simply a
better conventional file.
Pluses for Standardization
Maximum benefits from systematic filing
accrue to those agencies that standardize all
of their files, whether at high or low levels of
organization. When all file stations follow a
carefully planned filing pattern, the agency
benefits by:
? Integrity and continuity of records.
Perpetuation of high recordkeeping stand-
ards is assured despite reorganizations
and personnel changes.
Figure 1
? Efficiency of personnel. File clerks
and secretaries master recordkeeping in
their own offices and easily acquire a
working knowledge of the files in all offices
of their agency.
? Better communication. A common
language representative of the search
criteria enables users and keepers of
records to cooperate more purposefully in
retrieving information. File references
cited in written communications have the
same meaning to both the sending and
receiving office, thus speeding the location
of reference materials.
? Aid to audit and research. Uniformity
of document arrangement facilitates the
use of records in management audits and
surveys. For those records of lasting
value, this same ease of reference promises
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to be an invaluable aid in the task of
archival research.
? Compliance with retention schedules.
Symmetry in subject arrangement com-
bined with manual instructions on records
disposition helps insure the preservation
of valuable papers and the disposal of
useless ones.
? Savings on supplies. Standardization
of filing supplies, such as folders, labels,
and guides, permits the purchase of these
essential supply items in large quantities
at considerable dollar savings.
Meeting the Need
This is a book of practical suggestions on how
to meet the needs for systematic subject filing.
It does not give the systems analyst detailed
guidance on how to inventory his agency's
records or counsel him on how to solve special
information retrieval problems with mechanical
devices. Instead, it provides guidance on
methods and practices that help the systems
analyst reach the right decisions in developing
a subject classification structure best suited
to the needs of his own agency.
There is no quick and easy way to bring
system to the complex files of modern Govern-
ment. The remedy for the common short-
comings of functional files comes only from
the application of principles and techniques like
those set forth on the following pages. The
task is a painstaking one, but it is not insuper-
able. Its accomplishment is well within the
reach of every Federal agency.
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II. MEETING AGENCY REQUIREMENTS
The first important decision in planning sys-
tematic filing comes in answer to the question:
How many filing manuals should an agency
have? Can one comprehensive manual be
made to serve the needs of the entire agency,
both at headquarters and in the field? Should
a manual for agencywide use cover only those
subjects of common interest to all major
organizational elements, or is standardization
at the agency level altogether impractical?
Four Ways to Approach Standardiza-
tion
Each agency manual prescribing a carefully
conceived, uniform method of filing represents
a standard system. It may be used by only one
file station or it may be used by many. The
question, then, is not whether agency files
should be standardized but rather the extent
to which uniform filing plans can be used for
this purpose. There are four approaches to
be considered:
1. A single agency manual with com-
prehensive coverage of all subject
categories. Each file station, wherever
it is located, selects and uses the subject
categories representing its own records,
setting aside the remainder of the manual
as a reference work.
2. An agency manual on general admin-
istrative (facilitative) subjects only.
Every office uses the same manual for
general administrative subjects, like "Per-
sonnel" and "Budget," but each activity
develops its own manuals for records
on program (operational) subjects like
"Medicare" and "Highway Beautifica-
tion." This approach, it should be
noted, is rarely used.
3. An agency manual that includes
basic rules for coordinating all files,
as well as subject classifications for
general administrative records. Like
4
the second approach, this one leads to a
single classification scheme for adminis-
trative records only. But it has the
additional advantage of coordinating all
of the agency's filing systems by pre-
scribing uniform procedul'es for coding,
labeling, cross-referencing, and other com-
mon filing activities. Sometimes it is
also possible to prescribe primary cate-
gories for subjects representing program
records.
4. A separate manual for each office or
each group of offices engaged in the
same activities. This may mean only
one manual for each bureau or division,
which constituent offices at headquarters
and in the field adapt to their own needs.
Or it could mean a different manual for
large file stations and for each office or
group of offices with unique functions.
There are many ways to take this
approach, but each is alike in that it
bypasses any attempt to standardize
subject categories or filing procedures at
the agency level.
Choosing the Best Approach
The challenge lies in choosing the approach that
will best satisfy agency requirements for infor-
mation and legal requirements for adequate and
efficient documentation. Size of the agency,
complexity of subject matter, autonomy of
bureaus or divisions or services, and diversity
of programs, must be considered in deciding
whether an agency should have one compre-
hensive filing manual or separate ones for dis-
tinct organizational segments.
Single classification schemes for general ad-
ministrative subjects are common, in both large
and small agencies. Subject categories for these
records are fairly uniform in all offices; and the
influence of bureau autonomy lessens with each
move to standardize Government procedures on
housekeeping matters.
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On the other hand, the common interest in
subjects relating to program activities is not so
widespread. Although a few large agencies
subscribe to a one-manual plan, this plan is
more likely to be practical in small agencies
where offices are closely bound in their program
endeavors?as, for example, the Administrative
Office of the U.S. Courts.
Complexity of subject matter and diversity
of programs influence the number of subject
categories which, in turn, may influence the
decision on the practicality of one comprehen-
sive classification scheme. When subjects are
limited to a few hundred, comprehensive cover-
age in one manual is often advantageous, but
the advantages diminish as the number of
subject categories increase. A comprehensive
manual in a large agency may carry several
thousand primary and subordinate subjects,
fewer than 100 of which would be useful to a
field office and less than a dozen to some of the
small file stations. Besides, a subordinate sub-
ject that fits in a small file might better be a
primary subject in a large file. To be useful,
then, the comprehensive system must be flexible
enough to permit adaptation to the needs of
individual file stations.
Against the possible disadvantages of a
one-manual plan, the systems analyst must
weigh the high cost of developing and publishing
a number of manuals and the inevitability of
overlapping subject categories. If mutual in-
terest in the same subjects is sufficient, he may
conclude that one manual is the answer even
for a diversity of subject matter. The aim is
standardization at the highest level of organiza-
tion consistent with a useful classification
scheme.
The Coordinated System
The third approach described at the beginning
of this chapter is usually favored when a
single classification scheme is hard to apply.
Many large agencies have found that this ap-
proach has many of the advantages and none
of the disadvantages of the one-manual plan.
It can provide:
1. One classification plan for records on
general administrative subjects, flexible
enough for adaptation to the needs of
any office.
2. A separate plan for the program records
of each division, service, or bureau,
flexible enough for adaptation to the
needs of constituent offices.
3. Individual plans authorized for special
requirements of large file stations or for
any file station serving an office that has
a unique mission.
4. A uniform method for coding subject
categories, applicable throughout the
agency.
5. Agencywide use of standard supply
items, such as folders and labels; and
standard procedures for cross-referencing,
charging-out records, retiring records,
and other common file station chores.
6. A standard makeup and format for
manuals, regardless of the number of
manuals issued.
When agency filing systems are standardized
and coordinated in this manner, each filing
manual is, in effect, a chapter in a comprehensive
volume. See figure 2.
Of course, it may turn out that the mutual
interest in subject categories is slight, support-
ing the theory that a separate manual is practi-
cal for each office or group of offices engaged in
the same activities. The Agricultural Stabili-
zation and Conservation Service, U.S. Depart-
ment of Agriculture, subscribes to this theory,
issuing a separate manual for each State in
which it operates.
Records Coverage
The second major decision in planning sys-
tematic filing relates to the types of records
that will be covered. Should a plan be devel-
oped to systematize the organization of all
records or just certain types? Should stand-
ards be included for organizing files by name
or number, bringing within the system vast
quantities of such types of records as engineering
drawings, X-rays, projects, financial reports,
and medical histories?
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While this handbook is concerned solely the symbols used in identifying and arranging
with subject files, it must be recognized that
the best plan covers all types of records al-
though not necessarily as part of the subject
classification structure. The initial cost of
complete coverage is high. In the long run,
however, a comprehensive coverage is the least
expensive because it helps to bring order and
continuity to every file structure.
Coding
In seeking the best approach to standardization
of his agency's files, the systems analyst can-
not avoid the question of file codes; that is,
subject categories.
There is a surprisingly common belief
that use of a certain type of code practically
guarantees sound filing systems. This is no
more true than the notion that a coat of paint
will insure sound construction of a building.
No file code can, in itself, correct or improve
an inadequate list of subject categories.
Overemphasis on coding may be due in
part to the fascination with readymade systems
and the tendency to seize upon them as solu-
tions to filing problems. Codes only facilitate
filing, and they do this best when they are
created to meet the special requirements of the
COORDINATED FILING SYSTEMS, ORGANIZATIONAL LEVELS OF
STANDARDIZATION
Comprehensive subjects
on program activities
neral administrative subjects
ndard filing procedures
ii
Figure 2
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agelffrovie4 FrwilMtnteM141171117ciecitl-F0PhIgagiNP WIPP tcpwihy
e,resentative of an
and standardizing file codes are discussed in agency's information needs. The individual
chapter 4. file stations cannot be left with sole respon-
sibility for this task, if the benefits of systematic
filing are to be realized. System demands
coordination by management and technical
know-how in subject classification. The next
chapter is written especially for those to whom
this task is assigned.
The Key Factor
The key factor in developing a filing plan is not
the selection of a file code, important though
this may be. It is the selection of subject
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III. SELECTING AND CLASSIFYING SUBJECT
CATEGORIES
After the plan best suited to an agency's filing
needs has been determined, subject categories
are selected and arrayed methodically in a
subject classification outline. This undertak-
ing, with which we are now concerned, is the
development of the plan. It is not to be
confused with "subject classification" as that
term is used to describe a recordkeeper's task
of applying the various subject categories to
current records so that they may be placed
into the file.
What is Meant by "Classification"?
By noting similarities between numerous dis-
tinct and discrete items, it is possible to repre-
sent all of them by the same term. The term
chosen for the purpose is the subject category,
sometimes called a topic, a heading, a cap-
tion, or a title. For example, "Inventory
Control" might be chosen to represent a number
of papers that are alike only in that each of
them relates in some way to the management
of inventories. This grouping of different items
in one subject category is the first step toward
introducing simplicity and order into a multi-
plicity of subject matter.
Classification goes a step further.
Through classification, a group of items with
characteristics that can be more precisely de-
fined are subordinated to more general cate-
gories until the most inclusive subject is
reached. Thus, "Taking Stock" might be
subordinated to "Inventory Control" which,
in turn, might be subordinated to the even more
inclusive subject "Management Methods." By
establishing this relationship between subject
categories, another advantage is gained in
creating order and facilitating information
retrieval.
be hierarchically arranged. The most highly
developed hierarchical systems have been de-
vised by scientists to bring order into their
mass of knowledge. Zoologists and botanists,
for example, may divide and subdivide their
scientific subjects scores of times in descending
order of kingdom, phylum, superclass, class,
subclass, infraclass, cohort, order, sub-
order, family, subfamily, tribe, genus,
species, etc.
The great standard library classification
systems, such as Dewey, Bliss, Cutter, Library
of Congress, and Universal Decimal, are all
hierarchical. The subjects are arranged so that
they proceed from the most general to the most
specific. For example, the Dewey system is
arranged in this way:
Notation Subject
700 Fine arts
720 Architecture
721 Architectural construction
721.8 Openings and their fittings
721.81 Doors
This handbook presumes throughout that
agency subject files will be constructed along
simplified hierarchical lines. Subject classifi-
cation of a hundred thousand documents in a
correspondence file demands the same thought
processes that are required of the taxonomist
who classifies a hundred thousand plants or
bugs. This means that a body of records is
first divided into broad groups of interrelated
subjects called primary categories. The pri-
maries are then subdivided by successive levels
of subordinate topics as illustrated in figure 3.
Essentials of Good Classification
To work well in functional files, a hierarchical
Hierarchical Classification order must be:
Subject categories organized in a tree-like struc- ? Representative of information needs.
ture which shows their relationship are said to The classification should conform to the
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SUBJECT CLASSIFICATION LEVELS
TERTIARY
BUDGETS AND APPROPRIATIONS
p?Allotments
IP Salaries and Expenses
110 RECORDS MANAGEMENT
0. Training
10, Workshops
Figure 3
user's requirements. The kinds of rec-
ords he needs, the way he asks for them,
and the terms he uses in his requests
should shape the pattern.
? Complete. There should be a suitable
category for all existing records.
? Flexible. There should be the means of
contracting or expanding the classifica-
tion outline, so subjects can be dropped
or added as necessary.
? Logical. Subjects should be grouped in
such logical order that the reasons for the
arrangement will be obvious.
? Restrictive. Each subject title should
be phrased to be as exclusive as possible,
so it will stand alone. There should be
only one term to denote a subject, no
matter how many synonyms may express
the same idea.
? Precise. Each subject title should be
precise in describing the category, thereby
encouraging filing at the lowest possible
rung of the hierarchical ladder.
Advantages of Classification
Hierarchical arrangements that meet the above
requirements facilitate document retrieval by
limiting the area of search.
When subjects are arranged in straight
alphabetical order, without regard to their gen-
eric relationship, searching may involve the
scanning of every file caption from "A" to
"Z." Classification limits the area of search
by keeping related subjects together. If a
document is not found in the most specific
division of the subject group, it is likely to be
found nearby in a more general division of the
same group?oftentimes without the necessity
of even opening another file drawer.
Functional Grouping
The simple fact that records are the result of
functions and are used in relation to them,
establishes the principle that they should be
grouped and maintained according to the func-
tions to which they relate. The subject cat-
egories chosen as filing guides then reflect an
agency's purpose, missions, programs, projects,
or activities?commonly expressed as its
functions. The scope of the functions for
which a file is organized determines the breadth
of the subject categories.
When the systems analyst identifies the
separate functions of his agency, he has the
first clue to selecting the file categories.
Reasons for Functional Grouping. As the
common language of an agency, the vocabu-
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lary of functions is ideally suited to communi- amplified in figure 5. Figure 5 shows a state-
cating the content of a group of documents. ment descriptive of the functions of the Depart-
Moreover, when files are arranged in functional ment of Veterans Benefits, Veterans Admini-
groupings, additions or deletions or modifica- stration, and certain of the subjects from the
tions can easily be made without changing the Veterans Administration filing manual reflect-
rest of the subject outline. Functions can be ing those functions.
transferred from one office to another with only
slight modifications?or possibly no modifica-
tions?in the file structure. Finally, but by no
means the least advantage, is the convenience
of using functional charts in planning subject
categories.
The readiness with which a functional chart
can be converted to a subject outline is illus-
trated by programs of the World Health Orga-
nization of the United Nations, an agency en-
gaged in research and technical assistance to
improve the health of mankind. This orga-
nization accomplishes its purposes through a se-
ries of major programs. Each of these major
programs is subdivided into subprograms of
more limited scope, and each subprogram is
further subdivided into subsidiary programs or
projects of even lesser range. Figure 4 illus-
trates this program subdivision.
In effect, every entry of figure 4 is a func-
tion that produces records, and, as such, is a
key to reliable file subjects. This relationship
between functions and filing subjects is further
Precautions. The emphasis on functional
grouping is not intended to imply that the titles
of functions should, in every instance, be used
in subject filing outlines exactly as they appear
in an organizational chart or in a statement of
functions. Volume of records and the organi-
zational level of use may require modification
of the terminology; and, besides, it is to be
anticipated that there will be subdivisions in a
records group for which titles are not supplied
by the functional vocabulary.
The idea is to take advantage of the oppor-
tunity to use subject categories that identify
records-generating functions to the fullest ex-
tent practical in organizing the file. Ideally,
the beginning of a sound subject outline is
found in key words in an agency's organization
chart. This advantage is not guaranteed, how-
ever. On some organizational charts, functions
may not be divided precisely enough to show
distinct separations or organizational titles may
be too broad or insufficiently descriptive of the
functions. For these reasons, organizational
PROGRAM SUBDIVISIONS OF THE WORLD HEALTH ORGANIZATION
MAJOR PROGRAMS
Epidemiology
Food and nutrition
Maternal and child care
Therapeutic substances
Sanitation and hygiene
SUBPROGRAMS SUBSIDIARY PROGRAMS
OR PROJECTS
4?4 Advisory and demonstra-
tion services
Aeronautical hygiene
Dental hygiene and
stomatology
Housing, town and country
planning
Maritime and nautical
hygiene
Occupational hygiene 4^??-) Dust hazards and control
Toxic hazards and control
Figure 4
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RELATIONSHIP OF FUNCTIONS TO SUBJECT CATEGORIES, DEPART-
MENT OF VETERANS BENEFITS, VETERANS ADMINISTRATION
FUNCTIONS
Administers program of veterans
benefits consisting of compensa-
tion and pension, vocational
rehabilitation and education,
loan guaranty, guardianship,
and contact activities of the
Veterans Administration.
SUBJECT CATEGORIES
BENEFITS
1 Adjusted Compensation
2 Burial
3 Compensation and Pension
3-1 Apportionment
3-2 Awards
* * * * * * * * * * * * * * * * * * *
4 Loan Guaranty
4-1 Discrimination-Practices
4-2 Eligibility
* * * * * * * * * * * * * * * * * *
5 Special Disability Benefits
5-1 Housing
5-2 Special Monthly Compensation
5-3 Vehicles
6 Vocational Rehabilitation and Education
6-1 Allowance and Assistance
6-2 Counseling
* * * * * * * * * * * * * * * * * * *
7 Forfeiture
8 Waiver?Overpayments
Figure 5
charts must be used discriminately as guides in
classifying records.
Number and Breadth of Categories
There is always a direct relationship between
the number of subject categories and their
breadth?the broader the categories the fewer
their number, and vice versa. The systems
analyst must pinpoint his agency's functions,
then seek to get the right balance between pri-
mary subject categories and their subdivisions.
An excessive number of subject subdivisions
complicates the files structure and slows down
the tasks of searching and readying records for
filing. Three levels of classification?primary,
secondary, and tertiary?should usually suffice.
Should a fourth level of classification (quater-
nary) be needed, it may be better to upgrade
secondary subjects to primaries, although some-
times quaternary subjects cannot be avoided.
See figure 6.
Similarly, too many subject categories at a
given hierarchical level create a serious filing
problem. Excessive categories lead to over-
lapping files, making it difficult to classify
documents that are only slightly different.
Besides, when subjects are too highly special-
ized, there are always too many documents for
which there is no appropriate filing place.
One indication of excessive categories will
be seen in titles using the same keyword or
phrase but prefaced by different adjectives and
adverbs. Extensive cross-referencing may be
another indication. Large file stations, com-
monly called "central files," are often plagued
by this problem of excess. It is less likely to
be encountered in the small stations.
On the other hand, when the subject cate-
gories are too broad, they may require too
many subdivisions, becoming meaningless catch-
alls. The remedy here, just as in avoiding
quaternaty classification levels, is to upgrade
secondary topics to primaries.
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The Army subject filing manual contains
15 broad functional groupings, the Air Force
25, the Navy 13; while the Federal Reserve
System has only 6. As these figures suggest,
there is no fixed answer to the question of the
number of categories, even in the broadest
functional groupings. The three big factors
that must be considered in seeking the best
answer are:
1. Volume of records covered.
2. Organizational level served.
3. Precision of terms selected as
captions.
subject
Each of these factors will now be reviewed.
Gauging Categories by Records
Volume
Subject categories presuppose a certain volume
of records for each primary subject. If the
quantity of records is comparatively small, the
subject categories should be broad and few.
As the quantity of records increases, so does the
need for more numerous and precise categories.
A letter-sized file cabinet drawer holds up
to 1% cubic feet of records, equal to about
2,000 documents (about 4,000 sheets) includ-
ing folders. Thus, one full 5-drawer cabinet
contains approximately 10,000 documents.
Although a ale folder is built to hold about
75 documents (% inch of material), 25 docu-
SAMPLE PAGE FROM A SUBJECT OUTLINE
Per Diem
Per Annum
Scientific
Consultants
Accidents
Immunization
Nursing Service
Sanitation
Figure 6
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ments (approximately Y4 inch) is a better
average for searching and referencing the file.
This average figure is simply a guide in deter-
mining whether the total number of individual
filing categories is within reason. It is, of
course, impossible to plan a file structure in
which each folder would receive 25 documents
during a year or any other given period.
The average of 25 documents is especially
useful in forecasting probabilities. The pri-
mary category "PROPERTY" illustrates the
point. This broad primary subject with a
few broad secondaries and a few tertiaries
should suffice in an office where property files
occupy less than one file drawer. Chances
are, there will be not more than 40 folders Or
1,000 documents in the search area.
In another office, the property files may
fill a full cabinet. The primary "PROPERTY"
probably will still serve, but many precise
secondaries and tertiaries and possibly even
some quaternaries are needed, including cate-
gories such as:
PROPERTY
Accountability
Identification
Inventory
Receiving Documents
Relief from Accountability
Removal
Reports of Survey
Acquisition
Loan
Purchase
Rental
Specifications and Bids
Inspection and Testing
Disposition
Transfer
Sale
Excess Declarations
Salvage
In yet another office, property files may fill
several file cabinets. In all likelihood, the
primary subject "PROPERTY" is then too
broad to be practical. The secondaries nnro
be elevated to primaries; the tertiaries must
moved up to secondaries; and new and more
precise tertiaries must be provided. Thus,
the secondary subject "Accountability" might
become the primary subject "PROPERTY
ACCOUNTABILITY," with secondaries and
tertiaries such as these:
PROPERTY ACCOUNTABILITY
Inventory
Adjustment
Evaluations
Receiving Documents
Receiving :Reports
Memorandum Receipts
There is one important exception to this
general rule that the volume of records deter-
mines the number and breadth of categories.
Regardless of the volume, a separate primary,
with subdivisions as needed, must be established
for unique papers that cannot be subordinated
to any other subject. When a unique records
accumulation warrants separation, it is essential
to provide appropriate subject categories,
regardless of the volume of records involved.
Adjusting Categories for Organiza-
tional Levels
The criticism frequently leveled at a single (one-
manual) filing system in a complex agency or
bureau is that the categories do not fit: Either
they are too broad for use at lower levels of
organization or they are too detailed for use
by the top staff offices. The long and cumber-
some classification list, comprehensive enough
to serve all needs, may carry only a handful
of subjects pertinent to the needs of most file
stations.
In standardizing a filing system for use
throughout an organization, it is not necessary
to provide precise subordinate categories.
Indeed, to insure the usefulness that comes from
flexibility, it may be better to let each file
station subdivide subjects to meet its own
volume requirements. An agency personnel
-)Face, for example, would develop a detailed
lssification outline to cover its thousands of
-,1pers relating to personnel administration,
rhaps employing several dozen primary
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categories. Other offices, with only a few papers
on this subject, might find "PERSONNEL"
the only primary subject required. Hence,
the number of subject categories in any manual
depends in part on the organizational levels
served.
The Department of Agriculture recognizes
this problem by classifying records at the top
level using broad subjects like these:
FARM PROGRAM
1 Acreage Allotments?Mar ket in g
Quotas
1-1 Payments
2 Comments and Suggestions by
Individuals
3 Crop Insurance
4 Foreign Trade
5 Marketing Agreements and Orders?
Self Help Program
5-1 Formal Dockets and Agreements
6 Price Support?Surplus Removal
Programs?Commodity Loans
6-1 Storage
7 School Lunch Program
8 Surplus Distribution Program
8-1 Domestic
8-2 Foreign
-00005R000100020017-4
These broad subjects, suitable for the Office of
the Secretary, do not meet the reference require-
ments of lower organizational levels. Take, for
example, the category "Crop Insurance."
Although this is a secondary subject at the
top level, it reflects the total program of the
Federal Crop Insurance Corporation. There-
fore, the subject "Crop Insurance" is not
included in the Corporation's subject classifica-
tion outline. It is replaced by more specific
primary categories such as "LOSS ADJUST-
MENTS," "MARKETS," and "UNDER-
WRITING."
In summary, the organizational level of
use must be considered in deciding on the
number and breadth of subject categories. It
can be expected that the full range of functions
expressed in the fewest and broadest subjects
will represent the files at the top of the agency,
and the most precise functions will be repre-
sented by numerous subjects at the lowest
levels. If this spread is too great to be covered
in one subject classification system, a separate
outline should be developed wherever it is
needed for a more useful filing manual.
Restricting and Expanding Categor-
ies by Choice of Terms
The third and perhaps biggest factor influencing
the number of subject categories is the systems
analyst's discrimination in the choice of terms
PROCESSES, CLASSES, AND ITEMS
PROCUREMENT
Building Materials
Bricks
Lumber
Steel
CLASSES
PROCESSES
Office Equipment
Chairs
Desks
Tables
TRANSPORTATION
Figure 7
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to caption the subjects. Should the analyst
restrict the meaning of his categories by using
adjectives and adverbs as modifiers? Adjec-
tives and adverbs can be used freely in conver-
sation, public speaking, and even in nontech-
nical writing. The listener or reader is not
likely to examine each word critically or to
evaluate the degree to which it affects another
word in the sentence. No such casual han-
dling of the English language will get by in
choosing terms for classifying records. 111-
considered use of a modifier can narrow the
scope of a term so drastically as to restrict
its application to only a fraction of the records
it should cover. On the other hand, the
absence of a modifier may result in an omnibus
term which overlaps and engulfs subjects that
should be covered by other terms. The
omnibus term is especially hazardous in cap-
tioning primary subjects, since they govern the
breadth of secondaries and tertiaries.
Study of the subject content of record
material will narrow the selection to the best
qualifier?the one that insures the proper
balance between generality and exactness.
For instance, "TIMBER SALVAGE" may be
a good primary for a group of records con-
sistently about the salvage of timber. But if
the records sometimes concern other matters
relating to timber, the word "salvage" is too
restrictive. The broader term "TIMBER"
with more restrictive secondaries as required is
a better primary caption.
Similar sharp differences can be seen by
comparing the following terms:
Community affairs
Mines and mining
Forest resources
Marketing
Aircraft
Trade
Epidemics and
disasters
Postal services
Community management
Mining operations
Forest products
Marketing services
Aircraft facilities
Trade agreements
Epidemic and disaster
aid
Postal services (domestic)
Deciding whether a modifier is needed or which
one to use is hardest when a program is just
getting underway. The scanty record material
on hand does not give much indication of the
eventual volume and subject coverage. At
this stage, qualifying words should be used
sparingly.
-RUIP74-00005R00,0001120017-4
Choosing the best Terms
In choosing a term as a subject caption?
whether primary, secondary, or tertiary?it
should now be clear that the analyst should
be guided by: (1) the ways in which records
are requested (terms used); (2) the breadth
of the file contents; and (3) the need for detail
as governed by the volume of records. The
biggest question in meeting these requirements
is whether to choose terms that denote proces-
ses, classes, or items. These choices are
defined below and illustrated in Figure 7.
PROCESSES--Actions taken, such as pro-
curement, transporta-
tion, and use.
CLASSES ?Groups of items, such as
building materials and
office equipment.
ITEMS --Specific things making up
the broader class, such as
bricks and lumber, or
chairs and desks.
Parallel Construction. The mixing of proc-
esses, classes, and items at the same classifica-
tion level (primary, secondary, or tertiary)
should be avoided if at all possible. Ideally,
the subjects selected for a classification outline
should be parallel in construction, but mixing,
especially at the primary level, is often un-
avoidable.
Figure 8 illustrates how parallel construc-
tion can avoid overlapping subject topics.
If documents pertain primarily to a class
and only occasionally to items within a class,
then a class term should be selected to provide
expandibility. Items, if needed as subdivisions,
can usually be arranged alphabetically below a
a class.
Technical Terms. Another thorny problem
in compiling subject categories is knowing how
far to go in using technical terms. Use of
technical language varies from agency to
agency, reaching a peak in those agencies
engaged in scientific research.
There is a decided filing advantage in con-
verting scientific terms to lay terms. Intensive
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PARALLEL AND NONPARALLEL CONSTRUCTION
Parallel
Primary by PROCESSES
Secondary by CLASSES
PROCUREMENT
Building Materials
Fuels and Lubricants
TRANSPORTATION
Building Materials
Fuels and Lubricants
Parallel
Primary by CLASSES
Secondary by PROCESSES
BUILDING MATERIALS
Procurement
Transportation
FUELS AND LUBRICANTS
Procurement
Transportation
Nonparallel
PROCESSES, CLASSES, AND
ITEMS intermixed
BUILDING MATERIALS
CHAIRS
FUELS AND LUBRICANTS
LUMBER
PROCUREMENT
TRANSPORTATION
Figure 8
training is usually required before recordkeepers
can be expected to understand technical terms
and properly classify documents within the
meaning of these terms. Recordkeepers in the
National Aeronautics and Space Administra-
tion, for example, have to know that "elas-
tomers" are types of nonmetallic materials;
that "spectroscopy" is a field of physics having
to do with light; and that "plasma" usually
means, in that agency, a form of gaseous sub-
stance occupying outer space between planets
and other heavenly bodies.
Again, the question is: How is information
requested? Will the specialist seeking informa-
tion about food preservation, diets, and vita-
mins, ask for the file on "bromatology" or will
he use the lay term "food and nutrition"?
Common requests for documents by scientific
or technical terms plainly indicate the need to
organize the files by these terms. But when
documents are frequently requested by lay
terms, these terms should be favored. A cross-
index of technical terms can be used to serve
as a files key when information requested needs
translating.
Trade Language. Every organization gradu-
ally envolves a vocabulary peculiarly its own.
This local lingo appears in oral and written
instructions, in correspondence, and in reports.
At times, it may take the form of jargon, a
kind of trade talk, understood only by the
personnel of the agency and those with whom
the agency has frequent dealings. Sometimes
the peculiarities of language come from special
meanings applied to ordinary words. The
following examples of specialized languages are
taken from agency filing manuals:
Title VII?NDEA
Joint set?asides
Equity skinners
M.T.P.P.
Cannibalization
Underwater evasion
PERT
Subroutines
Crisis management
Portfolio function
Marginal returns
Leasebacks
Customer etiquette
Prebargaining
Jigs
Elliott Fischer tickets
Trade language should not be overlooked in
searching for classification terms. The persons
who use records think and speak in this lan-
guage, and, to them, it most clearly expresses
what they mean. It is not always desirable
to use trade language for subject captions
within a classification outline, but such lan-
guage should not be overlooked in preparing a
detailed index to the outline.
Substructures
Up to this point, only the standard methods for
arranging material under a subject file system
have been discussed. There are, however,
many techniques for meeting peculiar filing
needs. Within the framework of a subject
file, it is always possible to design subdivisions
or subarrangements which sharply depart from
standard subjective arrangement methods.
Special file arrangements are often needed
for large volumes of repetitive material repre-
senting the "case files" attached to a subject
category. The terms "case" and "subject" are
not precise. It might be argued that the name
on a case file is the subject of that file. Regard-
less of the fuzziness of these definitions, "case-
filed" substructures are frequently found in
classification outlines. Take, for example, a
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large we of material relating to agencywide numeric arrangements of case or project files
can be used as .subarrangements within the
overall subject file structure. Sometimes to
meet user needs, papers for just one "unique"
case file folder could be assembled and filed
within a subject file structure by a name assigned
to a particular matter. For example, a special
folder for all papers relating to a managers'
conference on consolidating two field offices,
could be filed under the appropriate subject
by the name assigned to that conference.
instructions on processing awards. The material
can first be divided by type of award, such as
"Honor," "Performance," and "Suggestion"
awards?a standard subjective arrangement.
However, each of these subject categories can
then be subdivided into "case files" arranged
alphabetically by the names of States, if volume
warrants.
In effect, if the volume of case folders
warrants, any of the typical alphabetic or
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IV. SELECTING FILE CODES
No matter how sound the subject categories, a
subject file may be hard to use without the help
of a "chart." It may look to the user as the
night sky looks to a new observer without
a star map. A well-devised code charts sub-
ject classifications just as a star map charts
constellations.
Noncoded File Arrangements
The simplest subject file is arranged in straight
alphabetical sequence of subject titles without
any file codes:
ACCOUNTING
ANNUAL LEAVE
BUDGETING
COMMUNICATIONS
MAIL
PERSONNEL
RECRUITMENT AND PLACEMENT
SICK LEAVE
SUPPLIES
TRAINING
WORKSHOPS
Arrangements like this are often called "Sub-
ject-Alphabetic" or "Subject-Title" files.
Sometimes the topics are classified as shown
below, with the alphabetical order of topics
retained at each classification level:
PERSONNEL
Leave
Annual
Sick
Recruitment and Placement
Training
Workshops
SUPPLIES
As long as the file is small?a file drawer or so,
these arrangements may be satisfactory. But,
as the files grow, it becomes harder to keep
related subjects together, and maintain an
alphabetical order.
Evolution of Codes
To avoid the need to write out lengthy subject
titles as the file designations of papers, some
offices assigned a consecutive number to each
subject category used. The next consecutive
number would be assigned when a new topic
was created. This practice of filing subject
categories numerically as they come up is
similar to the registry system widely used in
other countries for numbering documents as
they are received. Such a rudimentary coded
system might look like this:
1 PERSONNEL
2 FINANCE
3 SUPPLIES
4 REPORTS
5 LOANS
6 ADVERTISING
From simple arrangements like this consecu-
tively numbered listing have evolved some
elaborate coding schemes. This one, known as
"Duplex-Numeric," is an example:
3
3-1
3-1-1
3-1-2
3-2
3-2-1
3-2-2
SUPPLIES
Factory
Oil
Wire
Office
Furniture
Pencils
In a variation of the above scheme, letters in-
stead of numbers may be assigned to the pri-
mary subjects for an arrangement known as
"Alpha-Numeric":
A
A-1
A-1-1
A-1-2
A-2
A-2-1
A-2-2
SUPPLIES
Factory
Oil
Wire
Office
Furniture
Pencils
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An even more elaborate file code is the
"Decimal," generally based on Melvin Dewey's
library classification of the world's knowledge.
Here is an example:
400
410
411
411.1
411.11
411.111
411.111.1
MINING
MINING ENGINEERING
Working of Mines
metal mining
gold mining
placer mining
ditches and flumes
Complex coding schemes create problems in
functional files. To begin with, the advan-
tage of keeping primary subjects in alphabetic
order is hard, if not impossible, to retain when
each primary subject is assigned a number.
Even more disturbing is the difficulty of memo-
rizing abstruse numbers that do not suggest
the identity of the subject categories. The
Decimal system further complicates filing by
restricting the number of symbols to 10 at each
classification level.
The Department of Agriculture devised a
coding scheme, known as the "Subject-Nu-
meric," to correct the weaknesses of the simple
alphabetic arrangements and the more elabo-
rate codes. Now widely used throughout the
Federal Government,' the Subject-Numeric
code permits arrangement of primary subjects
in alphabetic sequence while retaining a simple
numeric order for subdivisions of the primaries.
For example:
MA ? MARKETING
1 Domestic
1-1 Retail
1-2 Wholesale
2 Foreign
PE ? PERSONNEL
It will be seen that primary titles are given
mnemonic abbreviations; that is, alphabetic
abbreviation suggesting the subjects. For ex-
ample, the abbreviation "MA" or "MAR"
might be used to suggest the subject
"MARKETING," "CO" or "COM" to sug-
gest "COMMUNICATIONS," and "PE" or
"PER" to suggest "PERSONNEL." Thus,
the Subject-Numeric scheme has the additional
advantages of being easy to memorize, and of
employing short code symbols.
Usefulness of File Codes
Without a file code, an inordinate amount of
time would have to be spent writing subject
captions on papers to be consigned to files.
With a code, the time is cut drastically by re-
ducing long subjects like "PALEONTOLOGY
AND STRATIGrRAPHY?Fossile Determi-
nations?Stratigraphic Position" to short sym-
bols like "PS 4-2." See figure 9.
Although codes make their biggest con-
tribution by speeding the classification of
records, they are also useful in:
Cross-referencing. At least two subjects
are shown on every cross-reference form.
Codes can be written in a fraction of the
time it takes to write the subject titles.
Sorting. A document must be sorted to
each of its classification levels in the process
of readying it for filing. This process is
speeded when the levels are represented by
symbols rather than multiword titles.
Filing. Document classification and file
captions must be matched before documents
can be filed in the right folders. Codes are
easier to match than subjects.
Indicating classification level. The
classification level inherent in hierarchical
arrangements is not apparent when a sub-
ject category stands alone. Codes give vis-
ible cohesion and order to the subjects, and
plainly indicate the rank (primary, second-
ary, or tertiary) of each category. Rank is
evident in both of the following arrange-
ments, but it would not be evident if one
of the uncoded subject categories stood
alone:
I Agencies and bureaus now using the Subject-Numeric code include Agriculture, Air Force, Veterans Adminis-
tration, Public Health Service, Geological Survey, General Services Administration, Atomic Energy Commission,
Pan American Sanitary Bureau, Small Business Administration, Federal Aviation Agency, and Bureau of Labor
Standards.
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PERSONNEL
Leave
Annual
Sick
Design of Codes
PE PERSONNEL
PE 1 Leave
PE 1-1 Annual
PE 1-2 Sick
By combining numbers and letters of the alpha-
bet, singly and in groups, it is possible to
come up with an almost unending variety of
file-code symbols. But if the coding scheme is
to accomplish its purpose of speeding produc-
tion, it must be designed so it will lend itself
to quick comprehension and use. This re-
quires that the symbols be easy to read, and
at the primary level, at least, easy to mem-
orize. These requirements are satisfied by
codes that are:
1. Short. Each symbol should be re-
stricted to a few characters (letters
and/or numbers), preferably not more
than five.
2. Simple. A complex construction with
variations in composition should be
avoided. The pattern should be obvious
by glancing at the classification outline.
3. Meaningful. If otherwise practical,
the symbols for the primaries should be
meaningful rather than abstract. Use
letters to suggest the subject, like "RM"
for "RECORDS MANAGEMENT,"
rather than a number.
4. Segmented. Components of symbols
should be in segments, instead of in one
group of letters and/or numbers; for
example, "PE 1-2," instead of "2117.6."
Segmented symbols are not only easy to
read but also helpful in denoting the
level of classification.
HOW FILE CODES SAVE WRITING TIME
Figure 9
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5. Flexible. The coding scheme must be FOREST SERVICE MULTIPURPOSE
flexible enough to permit the addition of CODE PATTERN
new subjects without changing the
symbols assigned to other subjects and
without breaking the continuity of the
pattern.
The helpfulness of easily-remembered symbols
is pointed up in this statement by an official of
the Motor Vehicles Department of the District
of Columbia:
"In auto license plates we have tried many
symbols and numeric combinations. Several
years ago we adopted a system whereby a license
plate has no more than five characters; that is,
a two-letter prefix followed by three numerals.
This system has been well received. We cannot
recall a single incident where an owner has
complained that he could not remember his
tag number because of the combination. This
was a common complaint with the previous
systems that we tried." (In previous systems,
numbers were written as 841627, 8-41627,
84-1627.)
Multipurpose Codes
An agency can use the same coding scheme for
filing that it applies to such activities as routing
its mail, or controlling its directives, forms and
reports. The Forest Service, U.S. Department
of Agriculture, is now using such a multipurpose
code. Figure 10 illustrates the pattern of the
Forest Service multipurpose code and how it is
applied to different types of documents.
Under the above arrangement, the same
code number that is used in filing a letter is also
used as the control number for a directive,
report, or form, or for routing mail on the same
subject. Code "2430" has come to mean com-
mercial timber sales in all Forest Service
communications, whether oral, handwritten,
typed, or printed.
Intrigued by the possibilites of the multi-
purpose code, including the possibility of using
it in electronic data processing, a number of
other Federal agencies have also adopted the
principle. The purposes for which such codes
are used vary from agency to agency, but most
1000 ORGANIZATION AND MANAGE-
MENT
2000 NATIONAL FOREST RESOURCE
MANAGEMENT
2400 Timber Management
?> 2430 Commercial Timber Sales
3000 STATE AND PRIVATE FORESTRY
Type of Document Applied To
Letter to a timber buyer
Directive on timber sale procedure_ _ _ _
Form for timber sales contracts
Report of timber sold
Figure 10
Coded
2430
2430
2430
2430
of them follow a similar pattern of construction.
Numbers instead of letters are favored, and the
digits are used to indicate organizational levels.
The thousands usually stand for a major divi-
sion of organization, as, for example, the use of
"2000," to represent the Forest Service grouping
of various divisions under the broad area of
"National Forest Resource Management." An
agency which has clear-cut assignments of func-
tions coinciding with its formal organization
structure, is a good candidate for a multipurpose
code. In such an agency, there will be a marked
parallelism between the subject topics actually
fitting the records, and the titles on the organi-
zation chart.
The systems analyst who converts an ex-
isting filing system to one employing a multi-
purpose code, selects file codes representing
primary, secondary, or tertiary categories in
the master multipurpose coding scheme. He
can always expand the master multipurpose
code by adding further subdivisions to his sub-
ject outline when the volume and variety of
records demands it. Figure 11 illustrates a
page from the Forest Service filing manual.
Note how the lowest classification level of the
master code scheme (for example, "2430--
Commercial Timber Sales") has been further
subdivided for file classification purposes.
Whatever code is selected?numeric, alpha-
betic, subject-numeric, or a more elaborate
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scheme?and for whatever other purposes it
may be used, the fact remains that the code in
itself is simply a production aid, a shortcut in
readying papers for file. The order of the file,
good or bad, is reflected not by the code, but by
the precision of the subject topics selected, and
of the classification structure reflecting the
relationship of the topics.
SAMPLE PAGE FROM FOREST SERVICE HANDBOOK ON FILE SYSTEM
22
Use the outline belowe d g manage
mOnt of the timber resource, its protection and
utilization, including plans, appraisals, soles
reforestation.,and stand _improvement Work. Case
as needed. Seg 4100, Forest Management Resear
search cooperation; 5150, Prescribed Burning, for
hazard reduction, 5300, Trespass, for timber trespass
cases, and 1380, Reports, for recurring reports which
are nor properly a part of a case folder.
lmquiries
Studies, Administrative
410 Plans alder by - plan.)
Inventory (Including surveys.
2'Sustained-Yield Units
4204g ni (Including policies, t
redetermination, -and millscale's u
2430 Commercial *-Timber* Sales
1 Miscellaneous Products
2 Presale Preparation (Folder by "Chance" or area.)
3 Timber Sales (Including appraisal, prospectus,
advertising, bids, award, reports,
payments. Folder by name, date,
and/or number.)
ncluding
2 Sale Cruises
24503 Scaling and Measuring
czal
C?rilme:
; Timber-
_Contracts
wcontx f
46 Than Commercial Timber Sales
tcn7sri7;use
aD'so ailrials
r0
list 4 e *
Figure 11
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V. PREPARING THE MANUAL THE
PRELIMINARIES
A manual provides the guidance needed to
maintain a filing system. This guidance is
helpful in every file station, and it is essential
in the larger stations. To be sure, a file custo-
dian soon memorizes most of the subject cate-
gories and knows exactly where to look for
documents repeatedly requested. Many papers,
though, are not repetitive. Even the most
proficient recordkeeper will have occasion to
consult a manual.
Sizing Up the Project
It is extremely difficult to gauge the time required
to meet an agency's needs for filing manuals.
Much depends on the decision with respect to
how many manuals are needed and on the
extent of records coverage planned. (See chap-
ter II.) The volume of records and the effec-
tiveness of existing manuals will help in measur-
ing the extent of the project in the older,
well-established agencies. But in the newer
agencies where functions are not always clearly
defined and subject classifications have not yet
evolved, the time needed for the manual project
is disproportionate to the volume of records.
Similarly, more time is always needed in those
agencies engaged in highly technical activities.
In every agency enough time must be
allowed to analyze program records and select
terms representative of program activities.
General administrative (housekeeping) records,
common throughout Government, are so stand-
ard in their subject content that they should
no longer be a problem. In fact, standard
subject outlines for general administrative
records are available from the National Archives
and Records Service.
The systems analyst must consider all of
these factors when scheduling his project. He
must remember, too, that the end result to
which his efforts are directed may be a manual
or several manuals which could include all, or
any combination of the following:
1. A statement by a top-side executive,
endorsing the manual as an official guide
in classifying and filing records.
2. Procedures on how to classify, index, and
file records.
3. Standards for approved records equip-
ment and supplies.
4. Exhibits illustrating approved physical
housing of records and recordkeeping
procedures.
5. Needed subject classification outlines
with corresponding code symbols.
6. Alphabetic (relative) index listings to the
subject outlines.
7. A glossary of procedural terms.
8. A conversion table comparing the file-
code designations of a previously used
system with those to be prescribed by
the manual.
9. Records disposition instructions based
on schedules approved by Congress.
10. Instructions on the structure of related
case or project files, or of other special
types of records common to many file
stations.
11. A file station directory providing a
detailed listing of the different types of
records authorized to be kept at each
of the many file stations of a large
organizational segment of the agency,
such as its headquarters offices.
Undertaking a Comprehensive Files
Improvement Project
From this above listing, particularly items 9,
10, and 11, it can be seen that the filing manual
project may well be a part of a comprehensive
agency files improvement project. A compre-
hensive project could embrace far more than
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merely controlling the subject-filed general
correspondence type of records at each file
station. The subject files probably would com-
prise no more than 10 percent of the total
agency records. As indicated in chapter II,
the project goal could very well be to improve
the maintenance of all types of agency records
at all file locations.
The project might, among other things, be
concerned with the proper placement of records
among the many separate file stations within a
large organizational segment of an agency, for
example, its headquarters offices. The result-
ing file station directory could provide a de-
tailed listing of each basic type of record
authorized to be kept at each file station of the
headquarters offices. This directory would
furnish guidance on who is authorized to keep
what records where within an integrated net-
work of file stations. The Records Manage-
ment Handbook, File Stations, describes in
detail how to prepare file station directories.
The project might also be concerned with
updating and improving the agency records
disposition authorizations. Many agencies con-
sider it desirable to coordinate their records
control schedules with their uniform filing
systems. Sometimes they include disposition
instructions as part of the classification outline
of a manual. Figure 11, illustrated such a
system adopted by the Forest Service.
How much of a comprehensive files im-
provement project can be undertaken at one
time will vary from agency to agency. The
larger and more complex an agency, the more
difficult if not impossible it is to accomplish
simultaneously all the worthwhile goals listed
previously in this chapter. Similarly, the
systems analyst must beware of trying to do too
much with his agency filing manual. Too many
different types of records guides improperly
lumped together into one overlarge publication
are confusing.
Inclusion of approved subject filing sys-
tems, systems for related case or project
records, file station directories, and file dispo-
sition guides all in one manual could make it
so unwieldly as to defeat its purpose at each
file station. If a comprehensive files improve-
24
ment project is warranted at a particular
agency, special care must be exercised to issue
the resulting records guides as a usable series
of publications. Further, the series of coor-
dinated publications should be a part of the
agency directives system.
The systems analyst should, however,
remember that the primary purpose of a filing
manual is to control the structure of the
subject-filed general correspondence type of
records at each file station. Therefore, of the
11 items listed previously as ' possibly being
included in his manual, he should concentrate
on item 5 covering subject classification outlines.
Classification outlines were discussed in chapter
III. They are the heart of the manual system,
and their preparation is the most time-consum-
ing operation in the manual project.
Taking Inventory
The classification outlines of all successful
filing manuals have one basic attribute. They
fit closely the actual records whose arrangement
they are controlling. The outlines fit the
records regardless of whether they are in
small office files or in larger centralized files,
or are in field or headquarters offices. To
achieve this needed tailoring of manual subjects
to records, the systems analyst, using the
inventory process, must obtain as precise
information as possible about the records his
manual is to be applied to.
Before starting the inventory, the analyst
should have decided exactly which of his
agency records the manual is going to control.
He should know the answers to such questions
as: Will the classification outlines apply only
to the general correspondence type of records
at each file station? Or, in addition, are
references to related case, project, or other
special types of files to be included in the
outlines? Will disposition instructions be in-
cluded as part of the outlines? If so, will
coverage of all agency records be required?
The answers decided upon will profoundly
affect the inventory planning.
Inventory Methods. In the planning stage,
two basic choices concerning inventory
methods should be made. One involves who
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will collect the data. Will trained records mation about each separate collection of similar-
analysts personally collect the data by visiting type records (file series) presently being main-
all the many records locations within the tamed; and (2) detailed, precise information
agency? Or, should a questionnaire type of covering the key file series at each location?the
inventory be undertaken? Agency size, project general correspondence type of records whose
deadlines, geographic factors, and availability structure is to be controlled by the topics of
of trained analysts will point to the proper the subject outlines.
answer.
The other choice involves how the collected
data will be analyzed. Should the data be
hand-transcribed to slips or cards for manual
manipulation? Or, should machine processing
using punched cards be considered? Machine
processing has been most effectively used in
agencies where comprehensive files improve-
ment projects have been undertaken. Machine
processing can save time in preparing drafts of
classification outlines. In addition to process-
ing the subjects of the outlines, the punched
cards can also be used in preparing the alpha-
betic (relative) index listings, needed file
station directories, and revised records control
schedules.
The machine method should not be relied
on as always appropriate in preparing the
subject outlines and other related records
guides. Experience with the technique is
still limited to a relatively few organizations,
including the Bureau of Old-Age and Survivors
Insurance, the Agency for International De-
velopment, the U.S. Civil Service Commission,
the General Services Administration, and the
Bureau of the Census. Before adopting the
method, the systems analyst must study its
feasibility against the background of his own
agency.
Needed Inventory Information. Regard-
less of the scope of the proposed project, the
analyst needs precise information on agency
functions and organizational patterns. If he is
not familiar with the agency, he should consult
agency organization charts, functional state-
ments, procedure manuals, periodic reports,
budget presentations, and the like to obtain this
basic knowledge.
To prepare classification outlines, the
analyst needs two basic kinds of information
about the records maintained at each file
station. He should have: (1) general infor-
The better classification outlines include
more than just a listing of subject topics con-
trolling the structure of the subject-filed general
correspondence records at each location. They
include references to related case, project, or
other special types of records commonly kept
at a majority of the records locations. To pre-
pare such subject outlines, the analyst needs
the first kind of data?general information
about all of the separate records collections at
each location. In addition, he can be helped
by the descriptive title of each case, project, or
other special records collection included in the
inventory. Such titles will suggest subjects to
be incorporated into the classification outlines.
The systems analyst uses an inventory
form to record this general type of information
concerning the separate records collections at
each file location. A good prototype is the
"Records Inventory and Files Data" form,
figure 12, used by the U.S. Civil Service Com-
mission in connection with a comprehensive
files improvement project. From data mainly
obtained on this form were prepared file classi-
fication outlines (including references to related
case, project, or other special-type files); a rela-
tive index; a file station directory covering all
records of headquarters offices; and revised
records control schedules. The machine-proc-
essing method was used. Note particularly in
the upper right corner of the form the listing of
the internal and external functions of the Com-
mission. They represent the analyst's pre-
inventory judgment of preliminary broad
categories under which to group suggested
subject topics.
Special Data on Subject Files. The second
kind of records information the analyst should
have, special data on the subject files at each
file station, is used specifically in selecting
needed subject topics for the outlines. The
key data he wants from each file location is a
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SAMPLE OF A RECORDS INVENTORY FORM
THIS FILE IS,
1. ElA SERIES
2. 0 AN ITEM
SERIES NUMBER
FUNCTION NUMBER
I INTERNAL (kreeeekeeping)
, 1. Administrative Management 10. Employee Development and Utilization
1 2. Administrative Services 11. Examining and Recruitment
1 3. Budget and Fiscal 12. Inspection
i 4. Information Services 13. Insurance, Health and Safety
5. Personnel 14. Legislation and Litigation
I 6. Coonnittee Management 15. Personnel Program Development
m I 16. Employee Security, Loyalty and Suitability
f, I EXTERNAL (Substantive or 17. Placement
r.: I Program) FUNCTIONS 18. Retirement
u 19. Veteran Preference
z7I
= , .
I. ' 8. =st 20. Other (Specify)
ation and
Isation
; 9. CE7cryee Management
Mations
TITLE (Attempt to place Functional word first and shorten lengthy titles)
OFFICE OF PRIMARY INTEREST?
I. fl YES 2. 71NO
SCHEDULED FOR RECORDS CONTROL?
I. 0 YES 2. El NO
i SUB FUNCTION
I
IF SCHEDULED, GIVE SCHEDULE NUMBER (S)
1 TYPE CONTENT
1 1. EI SUBJECT I. El OFFICIAL RECORD
.1 2. El PROJECT 2. El REFERENCE OR EXTRA COPY
61 /
i I Z. D CAIE 3. IEI MIXTURE
Ej CONTROLS, INDEXES, READING
I AND CHRONOLOGICAL FILE. ETC.
3.
X I
2 I4.
11 I, 73 DESTROY
g g 1
Is u. I
- .4. ix E TRANSFER
li X
or 0 I
t E I
Or S i
t ,EI RETAIN ....,-..414
0 I
-DJ
;PERIOD OF TIME 'AFTER WHAT EVENT?
i
I ,
1 I
1
I
I I
I I i
1 VOLUME-* NUMBER AND SIZE OF DRAWERS , NO. OF Cu. FT.
,
i I. ElRECORD MATERIAL 6. El OTHER (Specify)
I
x 1 2. 0 REFERENCE OR EXTRA COPY
IP
I.- / S. El REPRODUCED MATERIAL
I
1 i 4. El PROJ. OR SPECIAL ASSGM'T,
u? 1 5. I-I MIXTURE
I DATE OF OLDEST (DATE OF MOST
i RECORD 'RECENT RECORD
I
I
II
FREQUENCY OF USE
I. 1:3 OFYEN (Afore 2.0 SELDOM (L.s. S. El NEVER
than once ? month) than once ? month)
I I NUMBER OF FOLDERS i NUMBER OF INCHES
I VOLUME-P.( OR!
i
TEST FORM 61 ? 1 HANS ? CSC RECORDS SURVEY
16-61/ RECORDS INVENTORY AND FILES DATA
Figure 12
listing of suggested subject topics descriptive
of the records whose structure is to be controlled
by the classification outlines. Regardless of
whether this listing represents the existing sub-
ject folder labels being used, or includes subject
changes proposed by the station, it should cover
completely the active subject-filed folders at
the station. In addition, the analyst needs
data on the estimated volume of subject-filed
records which will be accumulated at each file
station before file cutoff. The volume data
aids in gauging the number and breadth of
needed topics.
A general purpose inventory form of the
type illustrated in figure 12 does not have the
space needed for recording these special subject
listings and volume estimates covering just the
subject-filed records. Normally, each file sta-
tion enters this special information on blank
sheets of paper. The sheets can be attached to
the appropriate inventory form describing the
subject-filed general correspondence records of
the station.
The Preview
Assuming the systems analyst is involved in a
questionnaire type of inventory, several weeks
will be needed-perhaps longer-to obtain the
completed inventory forms and the special
sheets containing the subject lists and volume
estimates. During this waiting period, the
analyst can spend his time profitably on:
1. Reviewing the inventory job being
done at selected file stations. The
quality of the classification outlines, file
station directories, or other end-product
records guides of a questionnaire-type
inventory is dependent upon the accuracy
of the data submitted.
2. Unravelling knotty problems of orga-
nization and functions through con-
ferences with knowledgeable officials.
These preliminary conferences should
resolve any doubts about broad adminis-
trative (budget, personnel, fiscal, etc.)
and program (old-age insurance, medi-
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VI. PREPARING THE MANUAL THE STEPS
Once the needed inventory information is at
hand, the systems analyst is ready to begin a
series of steps to convert the raw inventory
data into one or more published filing manuals
ready to be distributed to agency recordkeepers.
Developing Subject Classification
Outlines With Index Cards
Although punched cards are becoming increas-
ingly useful in the machine processing of sub-
ject outlines, the manual method employing
plain index cards or slips of paper is still more
commonly used.
Sorting Subjects. When the inventory is
completed, the first step is the grouping of
suggested subjects by categories.. If one com-
prehensive manual is planned, all of the lists
of suggested subjects and related inventory
forms provide raw material for subject classi-
fication outlines. If several manuals are
planned, the subject lists and related inventory
forms must be separated into groups represent-
ing the subject matter of each manual.
ROUGH SORT OF SUGGESTED SUBJECTS
3" x 5" guide cards show,r,:- t-_-_,tenticil
primary topics suitable for t:_t purposes.
Cort.ttat
Cett4A
Mastoid
3 c-Ima.
A. Rerfia,
(4. In
Aaciae?
fi
3" x 5" slips or cards on which are shown
suggested subjects and office or city that
suggested them.
Figure 13
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care, etc.) functions and responsibilities
for carrying them out.
3. Listing subjects recognized through
this preview as representative of
program activities. Such a prelimi-
nary listing will be helpful in bringing
order to the many subjects which will be
suggested as a result of the inventory.
In some surveys, the analyst may feel he
has enough knowledge to determine the
preliminary broad categories (potential
primaries) prior to beginning the inven-
CIA-RDP74-00005R000100020017-4
tory. In any event, if the preview
uncovers potential subordinate as well
as primary topics, this preliminary listing
should be organized in hierarchical order;
that is, with related subordinate headings
grouped under their primary topic.
4. Studying the terminology and struc-
ture of classification manuals used in
comparable organizations. A manual
that has proved its worthiness may sug-
gest many helpful techniques and poten-
tial subjects.
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The sheer volume of subjects suggested, the
diversity of terms, and the lack of consistency
among lists?all indicate the need for arraying
the miscellany into manageable units. Here
is a simple method employing 3- by 5-inch cards
or slips of paper:
1. For each subject suggested, prepare a
card showing (a) the subject, (b) the
broader subject, if any, under which it
may have been listed, and (c) the name
of the office suggesting the subject. A
card should be made on every subject sub-
mitted, regardless of whether the subject
seems good or bad. (Additional subjects
not included on a file station subject list
may be uncovered by checking through
the file title entries of the inventory
forms submitted by the station.) Most
analysts find that by using abbreviations,
it is easier to write the cards in longhand
than to insert them in a machine for
typing.
2. Sort the cards into groups representing
the primary subject categories that seem
most suitable. (The data obtained in
the preview may point to these pre-
liminary primaries.) A separate card is
made each time a subject is suggested,
even though it may be a duplicate.
Duplicate cards serve to verify the need
for a subject.
3. Arrange the cards in a file box or drawer
designed for 3- by 5-inch cards. Use
first (left) position guide cards for each
of the preliminary primary topics under
which the subject cards are being
grouped. See figure 13.
As the subject lists and related inventory forms
are examined during this sorting process,
special attention should be given to significant
similarities in records, types and characteristics
of records, volume ranges, and unique filing
requirements in individual file stations. Con-
ditions pointed up by information like this
may suggest the need for such actions as
consolidating file stations, developing noncon-
ventional filing systems, or providing supple-
mental filing manuals for unique situations.
Analyzing Subjects. A large number of
cards collected under a preliminary primary
category may be the sign that the category is
too broad. The cards should be resorted into
several groups,, each of which is represented
by a somewhat more specific primary subject
than the original one. New first position guide
cards are then put in place for these new pri-
mary subjects and appropriate subject cards
are placed behind them. For example, if a
large number of cards are batched under the
primary subject "RESEARCH," the cards for
this subject can be subdivided into groups
represented by such primary topics as "MEDI-
CAL RESEARCH" and "INDUSTRIAL
RESEARCH."
On the other hand, a few cards under a
primary subject may be the tipoff to combine
this primary with another. "PERSONNEL,"
for example, would be an appropriate primary
for combining a few cards found under the
original primaries "CIVILIAN PERSONNEL,'
"MILITARY PERSONNEL," and "TEM-
PORARY EMPLOYEES." Of course, a broad
subject in no way related to another one
should be retained, even though it attracts
only a few cards.
When the number of primary subjects
seems reasonably well balanced, and the analyst
has an understanding of the kinds of records
expected to be filed under each primary, he is
ready to subdivide the cards into secondary
and tertiary breakdowns. Inevitably, the sub-
jects suggested at these levels by the file sta-
tions will contradict one another on the hier-
archical relationship. The agency's Chicago
office may suggest "Withholding Taxes" as a
subdivision of "Payroll and Salaries," while
the New York office may relate "Withholding
Taxes" to "Taxation." Yet another office
may have no real convictions on the subject
relationships, merely suggesting the possibility
of subordinating "Withholding Taxes" to "De-
ductions." Resolution of differences like these
requires logic and judgment in predicting
information needs.
The analyst should avoid using terms for
secondary or tertiary topics which result either
in too broad or too narrow topic coverage, or
in overlapping subjects within the same classi-
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fication level. If two or more slips contain "ORGANIZATION?MANAGEMENT," or
subjects which are almost but not quite iden- "COMMITTEES?MEETINGS." In this
tical, he either selects a term that embraces case, the manual should specify that only those
them all, such as:
Innoculation
Vaccination
Segregation
Quarantine
Hygiene
Sanitation
Preventive Medicine
or he provides combination titles, such as:
Training
Indoctrination
Instruction
Education
Orientation
Education and Training
These techniques prevent the establishment of
subjects which are not sufficiently exclusive of
one another to be useful as secondary topics;
yet they provide a place where more specific
topics can be added as tertiary breakdowns if
records volume requires further division.
As secondary subjects are determined,
needed second-position guide cards can be
added to the file box and the appropriate subject
cards can be placed behind them. Similarly,
third position guides can be added to make a
place for tertiary subject cards.
Resolving Special Problems. At this phase
of the project, decisions should be made re-
garding certain types of records which tradi-
tionally create subject filing problems. Such
records include those relating to: reports,
organization and management matters,
committees and boards or meetings and
conferences, policy and planning matters,
and public information activities.
Several methods are available to the sys-
tems analyst in arraying subject categories so
as to reduce the built-in cross-referencing
potential of these types of materials. The
agency's records volume and reference require-
ments should guide the analyst in selecting
the method best suited.
"General only" primary topics may be es-
tablished using such terms as "REPORTS,"
general reports embracing several of the man-
ual's other primary topics are to be filed under
the general primary "REPORTS"; likewise,
only pertinent documents of similar broad
coverage are to be filed under the primaries
"ORGANIZATION?MANAGEMENT" or
"COMMITTEES?MEETINGS." It should
be made clear that any document of this class
relating to only one of the regular primary
topics of the manual should be filed under that
specific primary topic.
Sometimes systems analysts try to segre-
gate within each primary topic of the manu-
al the records concerning reports, or organization
and management, or committees and meetings,
or policy and planning. They do this by es-
tablishing separate subordinate topics for these
types of materials within as many primary
topics of the manual as required. Attempts to
segregate important policy and planning papers
by establishing under each primary a secondary
topic such as "Policies?Plans" are particularly
difficult to accomplish. The ridicule of the
policy and procedure file, as a catchall for
everything from advertisements to Presidential
proclamations, is bound to make a systems
analyst wary of this classification.
Records concerning supplying public in-
formation pose another sort of problem.
Many times such materials can concern public-
relations matters; development, review and
clearance of external publications; printing and
distribution of all agency publications; and
other information services. Some agencies are
so organized that all these functions are inter-
twined. Other agencies may have assigned
certain of these functions to entirely separate
organizational units. Agency organizational
patterns will guide in determining whether to
combine all records of this type under a broad
primary such as "INFORMATION SERV-
ICES," or to establish several separate pri-
maries for them.
Preparing the First Draft. The first draft
of a subject classification outline can be typed
from the 3- by 5-cards, which are now arranged
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as primary, secondary, and tertiary subjects. Developing Subject Classification
Here are six tips: Outlines With Punched Cards
1. Sequence of primary topics. Con-
sider separating into two subject outlines
the subjects for administrative (facili-
tative, housekeeping) and program
(mission, substantive) functions. Some
manuals intermix both administrative
and program subjects to provide one
classification outline with all primary
subjects listed in straight alphabetic
sequence. Administrative records, how-
ever, usually have shorter retention
periods than program records. To facili-
tate disposal, the better manuals divide
the listing of primary topics into two
outlines, one for administrative and one
for program subjects. The primary
topics within each of the two outlines
are then alphabetized. (Closely related
primaries may be kept in sequence with-
out regard to the alphabet.)
2. Indentation. Indent secondary and
tertiary subjects to indicate clearly their
relative positions.
3. Names and titles. Unless there is
some unusual reason for including them,
omit names or titles of specific persons,
places, or organizations.
4. Codes. Do not try to code the subjects
at this stage of the project. Codes are
not introduced until the final draft is
prepared.
5. Index. Similarly, withhold preparation
of the alphabetic (relative) index until
all subject categories are firmly estab-
lished. It is a good idea, though, to
note the cards with terms or synonyms
that seem likely candidates for the index.
6. Review. Finally, review the classifica-
tion outlines with knowledgeable agency
personnel who can offer comments and
suggestions. Use personal visits and
discussions wherever possible. The pro-
prietary interest of these persons is
essential to the eventual success of the
system.
Inventory information gathered for machine
processing is used not only for subject classifica-
tion outlines, but also for relative index listings,
and for needed file station directories. It can
also be useful in updating records disposition
schedules.
Normally, a questionnaire-type inventory
is undertaken. Inventory forms similar to
figure 12 are prepared by recordkeepers. They
are then reviewed and coordinated by records
management representatives in the major
organizational units. See the Records Manage-
ment Handbook, File Stations, for additional
information on the establishment of records
liaison representatives and other actions involv-
ing a questionnaire type of inventory.
Of special interest in the development of
classification outlines is the proper punching
into cards of the suggested subject topics and
of the file title entries of the inventory forms.
Emphasis is placed on determining the keyword
or words of the file titles shown. The key-
words are underscored to insure correct punch-
ing in the data processing facility available
to the systems analyst.
Machine runs of correctly encoded and
sorted decks of punched cards can produce
needed printed listings. Such machine listings
are then used in preparing whatever end-
product record guides are to result from the
project. A key machine listing necessary to
prepare classification outlines is one which
closely parallels the manually sorted 3- by
5-inch slips illustrated in figure 13. This
listing groups suggested terms under the pre-
determined broad categories (functions). Each
entry of the listing shows an organization code
symbol indicating the office from which the
term was derived.
The systems analyst should then refine
this rough machine listing of terms grouped
under broad potential primary topics (func-
tions). As in the case of the manual method,
he should first decide on the correctness of his
predetermined broad categories. Once he has
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the proper primaries and can roughly define
their scope, he is ready to work on the subordi-
nate topics (subfunctions). He should choose
proper captions to reflect the subfunctions
represented. He should also insure that the
subordinate subjects are properly arrayed in
hierarchical fashion, with related tertiaries
being grouped under secondary topics, and the
like.
This refinement of the rough machine
listing is normally a manual operation. One
or more sheets of paper can be used to record
the subordinate topics of each broad potential
primary. The finished draft of the classifica-
tion outlines should then be reviewed with
knowledgeable agency personnel who can offer
comments and suggestions.
Reconstructing the Outlines
After the informal review by selected agency
personnel, the draft of the classification out-
lines, whether produced manually or by ma-
chine, requires some basic changes in construc-
tion and terminology before it is ready for
testing. Additional subjects will have to be
fitted in place; other subjects will have to be
deleted or rearranged. It is also advisable to
take this opportunity to provide for subjects
which, though not immediately needed, soon
will be essential to file operations. Perhaps the
agency has well-laid plans for a new program
for which file subjects can now be stockpiled,
ready for use when the program gets underway.
This editing is the opportunity to reduce
technical terms to layman's language, wherever
practical, and to make sure that the language
conforms to agency lingo and is truly repre-
sentative of the subject matter.
Preparing Supporting Materials
This stage of the project is also timely for
preparing certain of the supporting materials
needed to complete the manual, such as:
1. An introduction. The manual gets off
to a good start with an introduction that
states its purposes and fixes responsibility
for its use and maintenance. Emphasis
should be placed on the responsibilities
of program directors and staff members,
as well as of recordkeepers, with a word
of recognition for those who have con-
tributed to the project. Later, when the
manual is published, an appropriate
signature should be obtained for the
introduction?preferably from a top-side
official.
2. Instructions on procedures. One sec-
tion of the manual should be set aside for
a statement of the policy on additions and
modifications. In this section, an appeal
is made for everyone's cooperation in
helping the filing system to retain its
character and serve its purpose. Here,
too, is the appropriate place for instruc-
tions on adapting the manual to fit the
records at each file station, and for stand-
ard procedures on classifying, indexing,
cross-referencing, charge-outs, folderizing,
using standard supply items, and the like.
3. Illustrations. Illustrations help in get-
ting across to recordkeepers how they
should install the standard systems and
filing procedures enunciated by the
manual. When preparing the standard
recordkeeping procedures, the analyst
should note appropriate places to insert
drawings, photographs, or other illustra-
tive materials to serve as figures within
the manual. Later, when the manual is
being readied for printing, arrangements
should be made to obtain needed graphics
in final form.
4. Explanatory notations (definitions of
subject coverage). A listing of subject
categories is not in itself sufficient; subject
captions can mean different things to
different people. Definitions of subject
coverage are, therefore, incorporated into
outlines to reduce the chances of misin-
terpretation. Some definitions may have
already been included prior to the infor-
mal review of the outlines. Definitions
are placed to the right of secondary and
tertiary topics, and at the top of a page
on which a primary subject is introduced.
Needed special filing instructions, such as
those for case-filed subarrangements,
should also be inserted at appropriate
locations within the outline.
As a minimum, a definition of coy-
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erage should be included for each primary AND EQUIPMENT." The procure-
topic. Basically, the definition indicates ment activities of some organizations are
the kinds of records intended to be filed so many and diverse that the "Procure-
under the primary category and its subor- ment" category must be elevated to a pri-
dinate subjects. Definitions also normal- mary topic. The notation preceding the
ly contain "SEE" references to subjects primary "SUPPLIES AND EQUIP-
that might be sought under the primary MENT" then calls attention to the fact
but for various reasons are located else- that "PROCUREMENT" is a primary
where in the manual. For example, the elsewhere in the manual.
subject "Procurement" is commonly
sought under the primary "SUPPLIES See figure 14 for an example of the
EXAMPLE OF EXPLANATORY NOTATIONS WITHIN A CLASSIFICATION
OUTLINE
AUTOMATIC DATA PROCESSING (ADP)
INCLUDE records on applying automatic data processing equipment and techniques to facilitate internal
GSA operations. Specifically, include records on: planning for use of ADP in obtaining specific program or
administrative reports and required information; special studies or projects covering specific proposed appli-
cations including the feasibility of systems, designing systems requirements, and formation of committees,
study groups or teams for such projects; special training needed in automating operations; equipment capa-
bilities and selection; sex.% ices provided by central GSA data processing facilities; and on periodic accuracy
checks, input controls, and analysis of data obtained through presently automated information systems, and
the like.
EXCLUSIONS
SEE:
1. SUPPLIES?EQUIPMENT for records on the requisitioning of ADP equipment either by rental
contracts or purchase, or on maintenance of such equipment.
2. SPECIAL FACILITIES?SERVICES for records on contracting for services of outside ADP con-
sultants or experts.
3. APPROPRIATE PROGRAM SUBJECTS for records on GSA Government-wide responsibilities for
improving automation techniques or computer usage within other government agencies.
(ADP) AUTOMATIC DATA PROCESSING
1 Equipment Selection?Capabilities (INCLUDE manufacturers' catalogs and literature; and
material on outside computer installations and equipment shows.)
2 GSA Data Processing Facilities (INCLUDE requests for and services provided by the central
GSA data processing facilities, Washington and regions.)
2-1 Requisitions for Data Processing Services (ESTABLISH case files as required.)
3 Information Systems (Automated) (INCLUDE specific applications, proposed or operating,
concerning input information, accuracy checks, analysis of data obtained, etc.)
3-1 Proposed Systems (ESTABLISH individual case files, as required.)
3-2 Automated Systems (ESTABLISH individual case files, as required, for automated infor-
mation systems.)
Figure 14
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definitions and other special filing instruc-
tions included as notations within the
General Services Administration filing
manual.
Testing and Gaining Approval
testing to each office in which it will be used,
both in the field and in headquarters. If the
manual is a comprehensive one, an office need
be given only those segments of classification
outlines in which it is interested.
In requesting an office to test the manual,
A copy of the finished draft is presented for it should be made clear that the test is to be
EXCERPTS FROM AN ALPHABETIC (RELATIVE) INDEX TO A SUBJECT
OUTLINE
Note: The symbol (G) denotes a "General Only" primary category which should not be used for material
that may be classified under a more specific category. The word "See" indicates that the subject
category is further subdivided. In such cases, consult the subject outline to obtain the precise file
code designation.
SUBJECT FILED UNDER
Accidents:
Employee
Vehicle
Accounting See
Allotments
Annual leave
Appointments:
Committee members
Personnel
PERSONNEL 1
VEHICLES 2
ACCOUNTING
APPROPRIATIONS?BUDGET 3
PERSONNEL 4-1
(G) COMMITTEES?MEETINGS
PERSONNEL 3-2
Cable facilities
Conferences (G)
Leave See
Longevity pay increases_
Property See
Accountable (real and personal)
Damage (vehicles)
Procurement of
Receipts
Records
Personnel
Property
COMMUNICATIONS 2
COMMITTEES?MEETINGS
PERSONNEL 4
PERSONNEL 6-3
PROPERTY
PROPERTY 1
VEHICLES 2
PROCUREMENT 4
ACCOUNTING 7
See RECORDS MANAGEMENT
PERSONNEL 6
PROPERTY 4
Visitors
Safety
INFORMATION SERVICES 3
SPACE?UTILITIES 4
Figure 15
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completed and evaluated before existing systems
are converted. The main requirement at this
time is to determine whether the classification
outlines adequately cover the subject field. As
a convenience the offices testing the manual
can make their suggestions on the draft by:
? Inserting missing subjects.
? Crossing out subjects that are not needed.
? Rearranging subjects that seem to be in
the wrong place.
? Noting any other improvements.
A questionnaire accompanying the draft is
helpful in getting the exact information wanted.
The Final Draft of the Classification
Outlines
Preparation of the next, and hopefully the
last, draft of the classification outlines should
progress speedily. It primarily involves incor-
porating the suggestions accepted as a result
of the test. Other improvements are also made
at this time. Overlapping terms are sought
out, standardized, and placed in proper hier-
archical arrangement. Wording of unclear
subject definitions is sharpened. The subordi-
nate topics of each primary category are
arrayed in some logical sequence, often, but not
necessarily, alphabetical.
Finally, the file-code symbols of the
prescribed code (see chapter IV) are prefixed
to the properly sequenced topics. The symbols
are arranged vertically?not zigzagged down
the page. Alinement is at the left of the
page, sufficiently close to the subjects to permit
ease of reference. See figure 14.
The Alphabetical (Relative) Index
After the classification outlines have been
completed, preparation of the relative index
can get underway. For any except the simplest
system, a relative index is essential. It is
arranged in two columns. The first column
(the "Subject" column) lists in alphabetic
order, each of the topics contained in the
subject outline and synonyms and other terms
under which information might be sought.
The second column opposite these terms (the
"Filed Under" column) lists for each subject
entry the file code symbol under which papers
on that subject will be filed, and any other
pertinent notations. See figure 15.
The relative index may be developed by
writing or typing the basic information on 3-
by 5-inch cards, which are then alphabetized
and used for copy in typing the index. See
figure 16. It may also be developed from
the punched cards that are employed in
putting together a subject classification outline.
The systems analyst can choose between
two basic formats when preparing his relative
index. Format 1 is a simple listing of headings
in straight alphabetic sequence. Format 2 is
also an alphabetic listing of headings, but re-
lated terms are indented under a keyword or
phrase. If needed, more than one level of in-
dention can be used. Format 2 is shown in
figure 15.
Under format 1, the simple alphabetic list-
ing, headings are inverted when necessary to
bring keywords to the fore. Example:
Forms, design of
Forms, printing of
Forms, stocking of
Insurance, accident
Insurance, health
Insurance, life
Under format 2, the indented listing, if there is
a similar clustering of headings under one key-
word or phrase, the keyword is listed in alpha-
betic sequence, and the related subheadings are
indented and listed under the keyword.
Under format 1, words of the same spelling
but of different meaning, or other terms requir-
ing explanation, are followed by identifying
words or phrases in parenthesis. Example:
Lime (fruit)
Lime (limestone)
Order (arrangement)
Order (regulation)
Under format 2, the need for these parenthetical
explanations is greatly reduced by using the
keyword headings.
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ErARING A RELATIVE INDEX
3" x 5" alphabetic guide cards.
3" x 5" slips or cards on which are shown
all subjects and their file designations.
Figure 16
Under either format, if more than one word
is in a caption, such as "Health insurance,"
entries normally are necessary under the first
letter of each word (both under "H" for
"health," and "I" for "insurance").
Records Disposition Instructions
Records managers will not dispute the de-
sirability of coordinating records disposition
plans (control schedules) with uniform systems
for records arrangement (file manuals). They
will not agree, however, that coordinating re-
quires combining the two documents. The
Department of the Army and the Forest Service
are two of -the agencies which favor combining
classification outlines and records control sched- If disposition instructions are either to be
ules to reduce to one the guides recordkeepers built into the classification outlines or to be
must use. included as a separate segment of the manual,
Other agencies have found the records
coverage of their classification outlines too re-
strictive to serve properly as both a file struc-
ture guide and a records control schedule.
They have found that a bulky and hard-to-use
document begins to emerge when they attempt
to build the required total records coverage into
their classification outlines.
These agencies, therefore, have used other
records guides than their classification outlines
as the media for combining records maintenance
and disposition instructions. Some use their
file station directories, while others require each
file station to prepare its own "File Mainte-
nance and Disposition Plan" for this purpose.
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they should be readied in final torm at tins stage orMat tne manual
of the project.
The Conversion Table
One last guide to consider is a conversion table.
If the filing system replaces an existing one, a
conversion table will aid in assuring continuity
of reference service and in orienting employees
in the new filing scheme. It may also prove
useful in future reference and research.
A conversion table need be nothing more
than a simple listing of the old file designations,
with corresponding new ones shown alongside.
See figure 17. If it is not feasible for the
systems analyst to provide the table, as it may
not be when a number of files are converted,
instructions can be issued to the file stations
on how to prepare their own. Sometimes the
new file designations can be written alongside
the old ones in a manual being replaced.
EXCERPTS FROM CONVERSION TABLE
FOR FILING SYSTEM CHANGEOVER
(OLD)
DECIMAL
(NEW)
SUBJECT-NUMERIC
The final packaging of the completed manual
is the last step of this lengthy process. The
cover of the manual should be distinctively
designed, and produced on durable papers that
will withstand many handlings. The date and
the name of the office of origin appear on the
cover or on the flyleaf, along with the directive
number if there is one.
Revision Facility. Bound manuals do not
lend themselves to the changes that are inherent
in every filing system. A filing manual should
always be printed on looseleaf, replaceable,
prepunched pages, which are printed at least
inches from the punched edge.
Divider Sheets. Tab dividers, with the tabs
laminated if desired, are inserted to separate
the major divisions of the manual. These
tools of convenience increase the cost of the
manual, but add much to its durability, facility,
and appearance.
Typography. Preferably, different type sizes
are used for primary, secondary, and tertiary
subjects: The secondary subjects in smaller
type than the primaries; the tertiaries in smaller
type than the secondaries.
230.54
230.55
230.56
Annual Leave
Sick Leave
Leave Without Pay
Figure 17
PE 4-2
PE 4-3
PE 4-4
No detail contributing to the pleasing
appearance of the manual is trivial. An eye-
appealing manual attracts the attention that
encourages its use.
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VII. MAKING THE SYSTEM WORK
It is one thing to have a theoretically good
filing system; it is another to have the system
work efficiently. Here and there, throughout
this manual, brief suggestions have been made
about workability. Now, in this chapter, those
suggestions will be elaborated and highlighted.
Placing the Responsibility
Whether an agency has one comprehensive
filing manual or a coordinated system employing
dozens of manuals, there should be one organi-
zational unit responsible for overseeing further
developments, maintenance, and change. Per-
sonnel should know where to go for interpreta-
tion of principles, whom to talk to about coding
difficulties, who has authority to audit com-
pliance and make changes, and from whom
training is available.
Ideally a filing manual is part of the
agency's directive system. When it acquires
this status, the clearance procedures inherent
in the directives system are abided by, both
in development of the manual and in subsequent
changes.
Training Recordkeepers
Deficiency in training is one of the main reasons
for Federal filing problems. Training sessions
are too few and too infrequent to meet the
needs of the vast number of employees engaged
in filing and finding.
Those who file and search the records of
Government?usually the agency's file clerks,
secretaries, and administrative aides?are bound
to have many questions about the new manual.
And because of the big turnover in this occupa-
tional group, the questions will be repeated by
new employees as long as there is an office file.
Training sessions should be conducted in
every agency and repeated often enough to
insure that no recordkeeper will be on the job
38
very long without adequate training. This
need for training is not simply a matter of ex-
plaining how to put the "B's" behind the "A's."
Fundamentals of the filing system must be
presented in such a way that recordkeepers see
themselves as important participants in an
essential undertaking. To this end, trainees
must be given the opportunity to apply tech-
niques learned to the solution of their own
filing problems.
Training in subject filing should point up:
1. The principles and the benefits of the
filing system.
2. The contents of the filing manual.
Each recordkeeper should know what
records guides and standards are in-
cluded in the manual, where to find them,
and how they are organized.
3. The subject categories covered by the
system. The classification outlines of
the manual should be thoroughly re-
viewed during the sessions. Partici-
pants should understand the hierarchical
structure of outlines, and the proposed
records coverage of needed primary
categories.
4. Techniques of adapting the classifi-
cation outlines to the records at each
file station. Participants should know
how to select only those subjects from
the outlines needed to fit the volume of
subject-filed records in their offices.
They also should understand how to add
subjects to take care of gaps in manual
coverage, and to prepare their own
office subject outline reflecting the actual
folder labels of their subject files.
5. Procedures for installing the system.
The approved format of uniform guide,
folder, and drawer labels for subject files
should be explained. Participants should
understand the prescribed arrangement
pattern for standard file folders and guide
cards, and the procedures for cutting off
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Arca@dfifegr Big efikginflj /Viellticg 'k-Ri2PilEt4tIgkqUit9,9914(Kagg47-4,ittie difficulty
under the new system. should be encountered in finding records by
6. Procedures for classifying papers.
Recordkeepers need to know how to
select the correct subject from the manual
to serve as the file designation of each
paper to be filed under the system. They
also should understand the proper use of
indexes and cross-references. They-
should avoid indiscriminate cross-refer-
encing which can produce more index
sheets than documents in a subject file.
7. Daily maintenance procedures. Pro-
cedures involving the accurate placing of
papers into the files, and searching for,
charging out, and refiling of wanted
papers should be explained.
8. File cutoff and disposal procedures.
The system will gradually break down
unless recordkeepers understand the need
to apply file cutoff at least every 3 years,
and to facilitate disposal by segregating
short-lived records from those of more
enduring value.
The Records Management Handbook, Files
Operations, discusses in detail the basic tech-
niques of planning for and operating a subject
file at a file station in accordance with an agency
file manual.
Auxiliary Indexes
Under certain circumstances, an alphabetic
name index or a precedent index may be helpful
in operating a subject file.
Alphabetic Name Index. An alphabetic name
index is an aid to finding records arranged by
subject when the requester specifies only the
names of persons or organizations. These may
either be the names of correspondents, or names
mentioned within a document. In most in-
1;.imces, it is expected that the requester will
provide adequate subject identification to find
the record in the subject file.
This index is most needed by centralized
records facilities as such units often receive
many varied types of reference requests. The
volume of subject-filed material in individual
office subject files is usually small enough that
subject.
Extensive use of this index in lieu of
searching by subject is often a sign of trouble.
The recordkeeper may have done a poor job of
adapting the manual classification outlines to
fit his records, or he may not be consistent in
choosing the file designations of papers.
The index is composed of extra copies of
documents or letter-size cross-reference forms
arranged by name. When marking the extra
index copy, the recordkeeper underlines the
name under which it will be filed, and also indi-
cates on the copy the subject file code of the
main record in the subject file.
Precedent Index. The precedent index aids in
locating documents of unusual importance or
interest which might not readily be found when
scattered among the regular files. The index
consists of cross-references to documents
selected by the recordkeeper as reflecting impor-
tant opinions, orders, policies, organizational
changes, administrative determinations, or
other precedent-setting actions. The cross-
reference sheets or cards are arranged alpha-
betically by selected subject topics or names.
As long as the index proves useful, it is main-
tained as a continuous unbroken file.
Precedent indexes are most frequently
used as auxiliary indexes to subject files main-
tained at high organizational levels, for example,
the files of a department secretary or of a
bureau chief. These top officials may find a
precedent index a useful research tool in pro-
viding background information needed to main-
tain consistency in administrative actions.
For example, an official may wish to have
assembled all the documents on policy affecting
fair employment practices. If such policy is
established in subject-filed documents scattered
among several collections in the agency and in
a Federal Records Center, a properly main-
tained precedent index would be well suited to
this task.
As a rule, a precedent index is not needed
for the records of small file stations where the
subject files are small enough to be easily
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searched through. The cost of maintaining the
index would outweight potential benefits, learn why.
is used ineffectively, he attempts to
Auditing
Every file station where records are organized
by subjects should be inspected periodically.
When problems are encountered, the inspector
must decide whether the system is at fault or
whether the recordkeepers need more training.
He especially looks for:
1. Effectiveness with which the stand-
ard manual is used. If the manual is
not being used, he obtains a copy of the
classification list by which the documents
are being filed. If the ttandard manual
2. Duplicate files.
3. Overloaded file folders. Overloading
is often the sign that documents are kept
in active files longer than need be.
Above all, the inspector should seek to learn
whether information needs are being satisfied
by the station and how long it takes to satisfy
them. His total findings will point to the
best course of action. A sound classification
outline sharply coded, an adequate manual, and
trained workers?these in total mean a filing
system that supports and speeds office
operations.
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Washington: 1966
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