FILES OPERATIONS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020023-7
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 80
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 23
• Publication Date: January 1, 1964
• Content Type: REPORT

-99CORDS ADMINISTRATION/DDS
V.
A ed4or Release 2001/07/17: CIA-RDP74-00005R000100020023-7
1016 16th St. N.WP
RECORDS MANAGEMENT HANDBOOK
Managing Current Files
FILES
OPERATIONS
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF RECORDS MANAGEMENT
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7610-985-6973
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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- -- - - - - - - - - - - - - - - - 1959 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: Protecting Vital Operating
Records--------------------------------------- 1958 19 p.
Managing noncurrent files: Applying Records
Schedules------------------------------------- 1956 23 p.
Managing noncurrent files: Federal Records Centers- 1963 28 p.
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CONTENTS
PAGE
I. APPRECIATING THE FILES--------------------------------------------
1
II.
NEEDLESS FILING------------------------------------------------------
3
III.
SEPARATING FILES INTO BASIC TYPES--------------------------------
8
IV.
SYSTEMS FOR ARRANGING RECORDS----------------------------------
14
V. SUBJECT FILING----------------------------------------------------------
24
VI.
CASE FILING------------------------------------------------------------
36
VII.
STANDARDIZING EQUIPMENT AND SUPPLIES---------------------------
43
VIII.
MAINTAINING THE FILES----------------------------------------------
51
IX.
EVALUATING AND REPORTING--------------------------------------
65
APPENDIX A------------------------------------------------------------
68
APPENDIX B------------------------------------------------------------
71
APPENDIX C ------------------------------------------------------------
74
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1. APPRECIATING THE ]FILES
"Get me the facts on the Jones case."
In words like these, thousands of Govern-
ment decisionmakers continually call for needed
information. The facts come fast from the
files-if the records are carefully planned, if
the files are systematically maintained, and
if the requester gives the right clues. If not,
work falters and tempers flare.
Finding a folder in the files or placing a
paper in the right folder seems a simple matter-
until something cannot be found or until some-
thing is misfiled. Then an office staff comes
face to face with the age-old problem of record-
keeping. Members of the staff wish they had
mastered the guiding principles when they
established the files and had then consistently
applied those principles in their daily filing.
This handbook is written primarily to help
the thousands of small offices having only four
or five filing cabinets of papers, where specified
employees keep files as one of their many
administrative duties. Nevertheless this should
not lessen its value to offices with full-time
recordkeepers. Its basic purpose is to help
all these persons understand and successfully
apply the basic rules governing their filing work.
It does not replace any agency's instructions
for its own offices, of course; nor does it apply
to offices where recordkeeping has been mech-
anized.
The Office Filing Task
This is a how-to-do-it handbook. It presents
both rudimentary standards and specific di-
rections for good recordkeeping. Organized
around the chief problems of filing, it shows the
steps in establishing and maintaining the files
at any recordkeeping location. It tells how
? Determine which papers to file and which
papers to avoid filing.
Determine which needed papers to main-
tain as separate file groups.
Arrange the folders logically within each
group.
Select and use the best available equip-
ment and supplies for housing records
and for making the sequence of folders
visible through labels.
? Operate the files on a day-to-day basis
after establishing them.
In addition, two chapters give detailed guidance
on the two most common types of files, subject
files and case files. The handbook concludes
with a chapter on
workload.
evaluating and reporting
The Office Filing Climate
Skilled recordkeepers can help to create, but
cannot guarantee, sunny filing weather in an
office. Since all in the office benefit when
rapid factfinding is accomplished, all should
help the recordkeeper maintain a healthy
filing climate. Office managers have found
the best chances for this occur when-
? The designated recordkeeper is given
exclusive responsibility for placing ma-
terials into the files. Too many cooks
spoil the broth in filing as well as in
cooking.
? The recordkeeper is allowed enough time
from other duties to maintain the files
properly and to dispose of noncurrent
records.
? The records users work in partnership
with the recordkeeper. This partner-
ship should help the recordkeeper to
decide what papers to file. It should
lead the users to comply with such
mutually beneficial rules as quickly
releasing complete records to the files
or inserting charge cards after removing
papers from the files.
Even the most efficient files are an expensive
undertaking. Establishing an effective system
for arranging the records that an office must
maintain, and placing them at the proper
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locations, will help secure value from the in- keeping, however, continuing attention and
vestment in them. To secure the greatest direction must be given to the day-to-day
possible return on the money spent for -record- operation of the files.
MUST WE FILE ALL THESE?
2 Figure 1
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II. NEEDLESS FILING
Can we limit the publications we file?
What extra "information" copies should we file?
Should we file copies of all correspondence?
What do we file when we use form letters to answer requests?
How many copies of each document must we file?
Should we file "just in case" extra copies?
Are we doing our part to make the official file complete?
Can we share files with another office?
Can we reduce distribution of extra copies to other offices?
A careful look at the individual papers in the
records of any office would make many persons
wonder why so many were filed, in the first
place. They would additionally wonder why
so many executives reduce themselves to autom-
atons by routinely dropping all incoming
papers into the "file" box instead of swinging
a little farther around in their chairs and
dropping some of the papers into the waste-
basket.
in so frequently that they quickly can fill
the files. Unless they are retained as separate
reference files, they can present an obstacle to
finding rapidly any documents needed.
The recordkeeper starts by listing the
publications the office receives regularly. Then
the listing is reviewed with the people receiving
them and disposition commitments are ob-
tained.
For the executive lacking foreknowledge
of precisely what papers will be needed, but
aware of the necessity to produce information
when it is called for, too often his offhand
decision is to file. The wise decision as op-
posed to the offhand one recognizes that
indiscriminate filing is likely to be the least
productive of all office tasks. Filing unneeded
papers, in addition to wasting manpower,
wastes equipment.
While Federal records disposal laws and
regulations require agencies to keep complete
records reflecting actions taken, they also
permit officials to choose whether or not to
file many types of papers for which they will
have no further use. This chapter provides
guidelines to aid in recognizing those types of
papers officials are free to file or not to file
when facing the problem depicted by figure 1.
Filing Fewer Publications
A sure way for an office to ferret out needless
filing is to begin with the periodicals, circulars,
and other reproduced (printed) items received
for general information. These materials come
During the review, the challenges inherent
in questions like the following
a great deal of needless filing:
Who first: requested this publication?
Who now uses it?
How often does he use it?
Can we conveniently get this information
elsewhere: when needed?
Does our past experience justify our
remaining on the distribution list?
Does this publication serve an immediate
need? A probable need?
Has it served its purpose adequately
after being reviewed by those who need
to see it?
Is the value of the information long
term? Limited? Temporary?
If we must file it, how soon can we dis-
pose of each issue?
The goal of these questions is to lead to
clearly stated policy, preferably in
similar to that in figure 2.
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 How Often
Title
Received
Disposition
Survey of Current Business
Monthly
Keep 24 latest copies. Dispose of
oldest copy when filing latest.
Housing Situation
Monthly
Circulate. Then send to Office "A."
Current Population Reports
Biweekly
Circulate and destroy.
Check List of New Publications in
Weekly
Get off mailing list.
State Library
Nation's Agriculture
road
Family Income Situation
To keep the disposition instructions up to
date, a little note such as that shown in figure
3 should be attached to all newly received
publications. To keep a particular article
longer than the publication in which it appears,
the article can be cut out or photocopied and
filed separately.
DISPOSITION REMINDER
Dispose after
circularizing
Retain in file
for -years
Other disposition
iiiiii
Figure 3
When publications must be filed, their
stay can be reduced by setting up a revolving
file whereby the oldest issue is discarded as
the latest is added. To facilitate this, the
agreed-upon retention period is put on the
label of the folder or guide. Revolving files
are identified with an "R" on the label, as in
figure 4, or by a special colored label.
Circulate. Keep 12 latest copies.
Dispose of oldest copy when filing
latest.
Enter in record book, then destroy.
If an agency has issued regulations re-
garding disposal of publications, such as special
instructions from the agency library, these
regulations should be reviewed before any
publications are disposed of.
Filing Fewer "Information Only"
Copies
Received copies of letters and forms that are
intended only to keep officials posted usually
should not be filed. It may safely be assumed
that the originating office can produce addi-
tional copies when needed. Recipients should
file, only those items which are sure to be sub-
sequently referred to.
Filing Fewer Directives
Individual directives belong to an overall
issuance system. Usually in an office one
person is designated to keep the entire "set,"
with the responsibility of making sure it is
P persons, thens
complete and up to date. Othar
can discard the copies that come to them for
information, depending for reference upon the
full "set." Only occasionally will a directive
4
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 be Asb pessenta F ?0 'thee s ory Oo '1 a07tr~ais E~o~iRDP gdq5 g4Q ? ~7opies of all papers
that a copy of it should also be placed in the
files.
Filing Fewer Copies of Routine Com-
munications
Another way to limit needless filing is to
eliminate file copies of routine communications
which require no record.
Here are some proven procedures for
eliminating copies:
1. When granting routine requests for
publications, blank forms, or other
printed supplies, attach the requesting
letters to the materials sent, as illus-
trated in figure 5. Since this returns
the incoming document to the sender,
there is nothing to be filed.
2. When appropriate, answer routine re-
quests from other offices by placing the
information at the bottom of the request,
as shown in figure 6. There is nothing
to be filed since the incoming document
is returned to the sender.
3. When transmitting materials not re-
quested by letter avoid routine trans-
mittal letters with their attendant file
copies. Instead show on a route slip
necessary information, such as the name
of the forwarding office and the purpose
of the material. See figure 7. If some
record seems necessary, note relevant
facts on the office file copy of the trans-
mitted materials.
4. When using form letters, if possible
return the request for information with
the form letter. If the request must be
filed, place on it the date of the reply,
the number of the form letter, and any
fill-in information. Figure 8 illustrates
this practice.
Although the procedures shown above repre-
sent the practices of many offices, they are not
a complete listing. Most offices can find addi-
tional ways of eliminating needless filing.
Reducing Extra Copy Files
Too many officials set up extra copy files.
These "crutch" records bob up everywhere-
he has prepared.; a second set of key papers kept
against the possibility that the main file will
not produce the record; a "reading" or "day"
file circulated for information, but then re-
tained; or a file containing extra copies ar-
ranged as an index to the main file.
Extra copy files kept at various places
within an office may seem efficient, and some-
times they are. They are costly, however, and
they can be misleading, for they seldom contain
all the background data necessary to provide a
usable record. Hence, decisions made from
these temptingly convenient extra copy files
may be unsound decisions based upon incom-
plete evidence.
Furthermore, extra copy files can under-
mine the main files. They are open invita-
tions to split what should be kept together in
the main file: all the facts on a matter. There
is always the temptation to keep an extra copy
file next to an official's desk and retain among
the copies some related materials that actually
belong in the main file. In time, the files of
extra copies may even rival the main file, until
no one is quite sure where to look, because no
one can be certain who has the whole story.
Sometimes the main file will prove too un-
reliable to justify confidence, but all too fre-
quently doubts are based on an occasional
mishap. If the file has real deficiencies, what
can be done to make it complete and efficient?
Were the papers telling the whole story released
for filing in the main file? One good file is
worth several kept haphazardly.
Sharing the Files
Many offices limit needless filing by sharing
files. This has already been mentioned in a
preceding paragraph on directives. Persons
keeping records in organizationally related
offices informally agree to stop known duplica-
tion. One office can keep all the records and
agree to furnish them to the other; or each
office might find it necessary to keep the
records on its unique parts of transactions.
Thus, each would supplement the other, yet
each could have access to all the records
whenever necessary.
686--584 0-64--2 5
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 Approved For RelenQ1MY IP74-00005R000100020023 ?
Y-S
40ttlail
0- At
HOME CANNING
By XZY Bureau
Pub. No 276
Memorandum
GENERAL SERVICES ADMINISTRATION
W2shingDon 25. D.C.
Please let us know the speedometer reading shown on the latest report
For vehicle 63712.
~oudax Ct~iaead y w.v.~zaiJ /So y
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GENERA SERVICES IDMINI5TRATION
ROUTING SLIP
TO CO R1 R2 R3 R4 R5 R6 R7 R8 R9 R10
NA
SAAE AND/OR SYMBOL
BUILDING, ROOM, ETC.
An
1. O
2.
3.
^ ALLOTMENT SYMBOL ^ HANDLE DIRECT ^ READ AND DESTROY
^ APPROVAL ^ IMMEDIATE ACTION ^ RECOMMENDATION
- ^ SEE ME
^ AS REQUESTED
fjd
^ GDNGDRRENGE NECESSARY ACTION El SIGNATURE
^ CORRECTION ItfK RRPFF1~71R"'^'V~~ ^ YOUR COMMENT
^ FILING ^ PER OLD CONVERSATION ^ YOUR INFORMATIO
^ FULL REPORT ^ PER TELEPHONE CONVERSATION
^ EDGE E ON ORABEFORE
^ " '1.1E ARE REPLY FOR
REMARKS
FROM CO RI R2 R3 R4 RS R6 R7 R8 R9 R10
NAME AND/OR SYMBOL
BUILDING, RODy1,,&T .
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TELEPHONE
DATE
(l
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GPD , ISD2 0-655348 GSA FORM 14
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Reducing Copy Distribution
Probably the most effective way used by offices
to limit needless filing is by reducing distribu-
tion. This works well for directives. Of
course, information copies of letters are a vital
part of the communications chain; but before
routinely sending copies to every person or
office, officials owe it to their organizations to
do some simple investigating-
Have the copies been requested?
What valid purpose will each copy serve?
Could one copy serve two or more people
or offices?
Could a reading file periodically circulated
among interested officials keep them as
well informed as the present distribution
does? (A good reading file is a highly
selective collection of the more important
papers arranged by date. Since it usually
commands more attention than a single
routine copy, it should be assembled only
by a knowledgeable person.)
While organizations cannot afford commu-
nications gaps, neither can officials forget
that in thousands of offices yesterday's desired
distribution may have become today's filing
nuisance.
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III. SEPARATING FILES INTO BASIC TYPES
How do we break down records for easy finding?
What are the basic types of files?
When do we file these types separately?
When do we combine some of these types?
Five file cabinets of the five-drawer type hold
about 100,000 papers. The recordkeeper can
find facts fast, and all the facts in these papers,
if they are properly grouped and arranged and
if the requester asks for a paper in the right way.
If these two conditions exist, the recordkeeper
can still find needed information quickly even
if he is responsible for many times more than
100,000 papers.
Breaking the Papers Down, Down,
Down
Records managers long ago discovered breaking
to be the secret of finding the needle of infor-
mation in an office's haystack of papers. Al-
though the following is an oversimplification,
it does indicate the two main steps.
Into File Types (Groups). The first break-
down is dividing the stack into basic types
(groups) of records. A file group consists of a
collection of papers which have similar charac-
teristics and which should be kept apart
from other groups of records in the office. This
chapter gives guidance in identifying the file
groups best suited to each office; for example,
technical reference publications, convenience
copies of correspondence, and off-size records.
Within File Groups. In the second step,
the recordkeeper must determine how best
to break down further the papers within each
separate file group or collection. When he has
finished, he will have broken down the file
group into small stacks of 10 to 75 papers
which are closely related by subject matter,
person or organization, transaction, place,
thing, or event. These small stacks will have
been placed in some type of record housing,
normally a file folder, and the many file folders
containing the papers of the file group will have
been arranged in a logical sequence. This
second step, leading to a system for arranging
the records, is described in detail in chapter IV.
By these two overall steps, the stack of
100,000 papers from 5 file cabinets could be
expected to break down into several broad
groupings. When further subdivided, assum-
ing an average of about 25 papers in a folder, the
papers would be contained in about 4,000
folders. This is why, within a minute, the
recordkeeper is often able to select the appropri-
ate filing type or group, and within the group,
the folder that holds the documents wanted.
A few seconds more are needed for scanning the
contents of the folder, and the information is
located. If the whole search takes more
than 2 to 3 minutes, something probably needs
correcting.
The Initial Breakdown
The various possibilities for dividing the records
of an office into separate file types must be
known before the recordkeeper can determine
which separate file groups are best for his office.
There are many possibilities, but nine file groups
are commonly found in the Federal Govern-
ment. These nine, and the estimated per-
centage of the total Federal files they represent,
are as follows:
Type
General Correspondence --------
9
Transitory Correspondence------
9
Case Records__________________
55
Case Working Papers -________-_
8
Technical Reference Materials---
11
Extra "Convenience" Copies_ _ - _
4
Film, Tape, or Disk Records----
Cartographic Materials and
Drawings-------------------
Cards ------------------------
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addition to the basic nine file groups, many separation. While no one volume figure can
offices possess less common types of papers
such as ledger books and suspense files.
When Are Files Separated Into Basic
Types?
The existence of the basic types of records
in an office is in itself no reason to set them up
as separate files. The reasoning for separa-
tion, however, goes like this. Finding needed
records is always the prime consideration.
It is the purpose in filing. Separating papers
into basic types aids finding because it im-
mediately reduces the area of search. The
recordkeeper need not then thumb through a
collection of case folders, working papers, extra
copies, or publications and clippings to find the
documents wanted. Nor will he be confused by
a variety of different filing arrangements which
so often occurs when the basic types are com-
bined into one file usually arranged by subject
topics. Figure 9 visualizes this situation.
Four other considerations will often help
an office decide which separate file types to
establish.
Disposal Factor. Separation into file types
keeps essential documents apart from short-
lived papers which may be disposed of earlier
than the essential documents. For example,
case working papers are kept separate from
essential case papers to facilitate disposal of
the working papers. Transitory and con-
venience files also have a shorter life than the
general correspondence records. Differing re-
tention periods are, therefore, a good reason for
filing these types of records separately.
Identification Factor. The inability to recog-
nize readily the papers of each type may affect
the decision. If it is difficult to distinguish
technical reference and transitory" materials
from general correspondence, it may be better
to keep them together to avoid filing errors.
Volume Factor. The quantity of papers
involved is important. If less than a file drawer
of case records or technical reference material
is involved, separating them from the general
correspondence will be of little value. On the
other hand, it does not take many transitory,
working, or convenience papers to justify
apply to separating file types in every office,
where possible in the next few pages, guidance
has been given on the volume factor for some of
the common file types.
Completeness Factor. The needs of records
users for complete information telling the whole
story of transactions should not be overlooked.
If photographs and correspondence are sepa-
rated, either both files may have to be searched
when records are requested, or the office runs
the risk of the user taking actions without the
complete facts. Most often it is the physical
characteristics of papers, such as the size of
engineering drawings, that force recordkeepers
to file materials separately that they would
prefer to have together.
The Basic File Groups
The following describes the characteristics of
the papers or materials included in the nine
basic or most common file groups:
1. General Correspondence (Subject
Files)
Often known as the "central file," the "general
file," or the "subject correspondence file," the
general correspondence file consists of letters,
memorandums, telegrams, enclosures, reports,
and miscellaneous materials, arranged by
subject.
Almost every office requires a file of this
type for those papers which will most often be
requested by subject.
The general correspondence file often in-
cludes papers belonging to the other basic types
if finding is easier or if the volume of such
papers is small--factors already cited. It is
frequently argued that "case-type records" are
not "case files" unless they are filed separately
from the general correspondence. The basis
for this argument is that a subject-coded
heading precedes a case heading, as,
MIL 2-Jones, Richard, or
201/Doe, John.
Therefore, the subject-coded heading controls
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general type" established is simply a part
spondence file. It could thus be technically of the general correspondence pulled out for
correct to say that all papers are part of the separate handling. For ease of explanation,
general correspondence subject file since they however, each basic type (file group) will be
can be described by subject topics and that any discussed as a separate entity in this chapter
... OR SEPARATE FILE GROUPS?
General correspondence file Case files on contracts Technical reference file
Case files on loans Case working paper file on loans
10
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 One of the great failures in filing is the failure
to recognize adequately the existence of transi-
tory correspondence and to provide for its
handling. This failure means that many papers
are kept longer than they need to be, and are
kept more expensively than they need to be.
Transitory correspondence consists of easily
recognizable routine materials. Examples are
short-lived papers involved in answering routine
requests for information or publications, in
requesting or transmitting routine data to other
offices, and in making hotel reservations or
arranging for conferences. Such papers often
may be authorized for disposal within 6 months
or less. Every office has such papers, and
almost every office needs to segregate them.
They should be kept in folders separate from
folders for other general correspondence if they
amount to 5 percent or more of the papers.
Usually an office will establish a separate
file for these transitory materials. Sometimes,
however, it is preferable to file transitory
folders within the general correspondence file,
but earmarked by distinctive topics or labels,
so that disposal is easy. Whether or not an
office has a separate transitory file or segregated
folders within the general correspondence file
depends largely on ability to recognize materials
as transitory when they are requested. When
the recordkeeper can easily recognize transitory
materials, he will probably establish a separate
file.
If less than 100 papers a month are in-
volved, a separate transitory file will normally
be set up in date order. If the volume is much
larger, subject filing may be required to facili-
tate reference.
Research projects
Construction projects
Personnel transactions
This file type contains material relating to a
specific action, event, person, organization, lo-
cation, product, or thing. The papers may
cover one or many subjects concerning a case
or project, but will always be filed by a name
or a number. This aids in distinguishing
them from the general correspondence, which as
has been noted, is filed by subject. Another
distinguishing feature of case records is the
similarity in the nature of the papers within
each case folder constituting the total file.
Case records may be said to be specialized
subject records, the specialization being the
"name or number" filing feature. For ex-
ample, a contract may be filed by number
"L-19843," or by vendor "L. L. Jones Co."
Typically a case file handles a transaction or
relationship from its inception to its close.
4. Case Working Papers
One of the notable ways filing systems can be
improved lies in the recognition of this type.
These papers should be viewed as a segment of
a case history file segregated to aid disposition
of short-lived specific classes of materials.
The most readily recognized case working
papers are the voluminous background and
working materials accumulated in connection
with project-type cases. Typical are the
reference materials and other data collected
for the project, materials involved in summariz-
ing or analyzing the data, and drafts or other
preliminary papers leading to final findings.
3. Case Records
"Case files," "project files," and "document
files" are essentially synonymous terms for the
largest single type of records in offices.
Records commonly case filed relate to-
Purchase orders
Contracts
Investigations
Requisitions
Loans
Not as readily recognized, but far more
common, are the short-lived correspondence and
working papers which offices accumulate with
almost any type of case or project file. Typical
are routine requests by an office for reports or
data on a case, routine correspondence between
headquarters and field offices on administration
of cases, occasionally received extra copies of
case documents or reference materials, and the
like.
If the recordkeeper can distinguish the
'working papers from important case papers, he
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should always take some action to segregate have ample justification for keeping them, but
them. This does not necessarily mean that he most do not, as was explained in chapter II.
will keep them in a separate file. He may find The "day file" of letters written by an office,
it desirable to keep short-lived correspondence arranged in date order, is a typical example of a
and more important papers together in the convenience file. Not so evident may be the
same folder, but segregated within the folder. copies of letters and forms which are filed with
Or he may put such papers in separate folders the general correspondence or case files, not be-
but file the folders side by side. cause of any action that must be documented,
but for convenience of reference.
It is important to distinguish between
case working papers and transitory corre-
spondence. Working papers are allied to case
records, while transitory papers are related to
general correspondence. Finding needed in-
formation can be difficult when these two basic
types are intermixed. In addition, mixing these
papers complicates disposal. Transitory papers
are normally disposable within 6 months after
date of preparation, while case working papers
are normally disposed of after a period dating
from the close of the case.
5. Technical Reference Materials
Unless such copies are only occasionally
received, recordkeepers usually set up an extra
copy file as an aid to finding and disposal.
Even one folder a month will usually justify a
separate file. Typically, such files are re-
tained in folders identifying the originating
offices.
7. Film, Tape, or Disk Records
These records have the form of graphic images,
or of electronic or other mechanical reproduc-
tion of sounds or coded information. They are
usually kept separately because of their physical
characteristics.
Printed reports, periodicals, and special studies,
usually called "reference materials," are re-
ceived constantly from government agencies,
colleges and universities, private research or-
ganizations, trade associations, and the like.
These materials also include internal agency
instructional and information manuals. Fre-
quently they include publications supplement-
ing available library facilities. They are most
evident in offices involved in research, product
development, statistical reporting, and infor-
mation gathering and dissemination.
The correspondence files in many offices
are crippled by including more technical refer-
ence materials than correspondence. Much of
chapter II was concerned with how offices can
prevent the overloading of their files with
needless reference materials. As a broad rule
of thumb, if more than one drawer of the bulk
of a correspondence file consists of reference
materials, separate filing of the latter is war-
ranted.
6. Extra "Convenience" Copies
Extra copies of documents created or received
that are retained solely for ease of use consti-
tute the "convenience" file group. Some offices
Still pictures are used in many instances to
record activities or progress, and as such must
be treated as records. If prints are received
only occasionally, the custom is to house them
in the regular subject or case files. Still picture
negatives, as well as motion pictures, demand
separate housing and special care for preserva-
tion.
Sound recordings from some office dictating
machines are disks compatible in size with
letter paper and can be filed with paper records,
but tape types cannot. Many sound recordings
are transcribed to paper records so that the
recording media can be discarded or reused.
Others are not transcribed and must be pre-
served, as in the case of some grievance hear-
ings. Even a small volume of tapes or off-size
recordings requires a separate file.
Other items in this basic type are magnetic
and paper tapes, X-ray films, and microphoto-
graphs.
8. Cartographic Materials and
Drawings
Maps, charts, aerial photographs, physiographic
diagrams, and engineering drawings have a
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variety of formats and sizes. Hence they fre- vellum. They require special reproduction
quently are kept separate from other records. equipment. Some oversize maps and drawings
Maps are usually more usable as a printed,
reduced copy than in the original. If they are
standard size, they can be filed with related
papers. Field survey notes, geodetic surveys,
astronomic readings, and similar computations
are usually considered as cartographic in nature.
The term "charts" (hydrographic, nautical,
weather, aeronautical, and the like) also
includes graphic presentations (bar, pie, tabular,
and the like). Most of the time printed copies
of charts are used, as the original artwork is
often not readily available.
Aerial photographs include the negative
and positive (print) film, and such other items
as flight line indexes, mosaics, and graphic
indexes, although these may not be used ex-
clusively for mapping purposes.
Engineering drawings may be blueprints,
diazo prints, pencil sketches, or tracings on
can be folded and interfiled among related
subject or case files. However, if more than
10 percent of the maps, charts, or drawings
are oversize, separate filing is called for. Too
many bulky folded papers will seriously handi-
cap filing and searching in standard-size records.
9. Cards
The variety of card files is almost as great as
the variety of case files. However, their
physical size and format make them a logical
separate file group. Common sizes used as
indexes, catalogs, or summaries are 3 by 5 or
5 by 8 inches. Oversize cards are used in some
offices to record pay. Punched cards are basic
to electrical accounting machines and can
serve as computer input. Microprinted cards
may contain supply specifications or inven-
tories. Microfilm aperture cards provide one
way of keeping engineering drawings.
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IV. SYSTEMS FOR ARRANGING RECORDS
What are the filing features of a document?
Why do we file papers by the feature the user will most often know?
How does that feature become a file designation?
When do we need subarrangements or indexes?
What filing arrangement results from selecting a particular filing feature?
What filing operations result from choosing a particular filing arrangement?
Recordkeepers who have broken their mass of
papers into separate file types will probably
have, in addition to general correspondence,
one or more stacks of case-filed papers, of
recognizable case working papers, of technical
reference materials, or of some of the other file
types covered by chapter III. But this
separation is only the first step. Record-
keepers must, in addition, subdivide the stack
for each separate file type or collection into
smaller stacks of 10 to 75 similar papers to be
housed normally in a folder, and must determine
the best way to arrange the many folders
comprising the particular records collection.
While this second step must be done for
each of the separate file types in an office, from
this point on this handbook will discuss pri-
marily the two major file types in most offices:
general correspondence subject files and case
records.
To carry forward the second step, which
in effect will lead to selecting a system for ar-
ranging the records of each separate file type,
the recordkeeper must find out the way records
users will most often describe the papers of a
collection when they are needed. These de-
scriptive identifications of papers are known as
the "filing features" of papers.
Filing Features
Correspondence. Users will request letters,
memorandums, and telegrams by one or more of
these six filing features:
1. Surnames (names
or titles)
viduals or organizations
2. Names (titles) of projects,
transactions, or things
3. Locations (geographic or political di-
visions)
4. Numbers (symbols) assigned to transac-
tions, commodities, locations, projects,
individuals, or organizational units
5. Dates prepared or used
6. Subject topics describing the informa-
tional content
Figure 10 demonstrates how these various filing
features may be found within a letter. Not
every piece of correspondence has all six filing
features, but each could be requested by more
than one. A long, involved letter might well
have six subjects.
Forms. As shown in figure 11 the most
common filing features of a form are:
1. Title of form (presumably the form
subject)
2. Surnames (names or titles) of individ-
uals or organizations
3. Numbers (symbols) assigned for trans-
action control or other identification
4. Dates
Since forms are used often in case files, they
will usually be filed by name or number.
Reports. Figure 12 depicts some principal
filing features of reports, namely:
1. Title of report (presumably the main
subject)
2. Subjects in addition to the main subject
3. Surname of author
4. Name of originating organization
5. Number of project or contract
which identified
6. Number assigned for control
7. Date of issuance
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Some file systems place recurring or periodic
reports under a category "Reports," subar-
ranged by report title or by form title if the
report is a form.
Directives. Directives have a system of their
own, usually independent of the filing system.
As a rule, they are filed in accordance with the
directives system, in looseleaf binders, and put
in bookcases. When directives are to be placed
in the files, they may be arranged according to
such filing features as shown in figure 13, and
listed below:
1. Subject line of directive
2. Number for directives system control
3. Date of issuance
4. Name of originating agency
The fourth filing feature above would be mean-
ingful only to persons outside the originating
agency.
Other items. Space limitations prevent a gen-
eral-purpose handbook from discussing the
filing features of cards, X-rays, engineering
drawings, technical reference publications
POSSIBLE FILING FEATURES OF CORRESPONDENCE
GRICULTURE
ENT OF /'` Service
U.S. DEPARTM pro
Was duction
Agriculturialngton p..._ 25 D.C.
"
Secretory
J. ti Smith, Boor.
Western Livestock
Denver, COIOrodo
rn es ou
r.
May
e s or %%Pro' 11
` tha# the in#erv1e`~ ~---
~; prs so e#ed ob sche
Hogs,; . e comp
of 'Corn-Fed
duct ion
tae ore
i 'M
orb
i~ ?{ any
.Hill'oorm Y?o
Identification syrn.bol of project
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POSSIBLE FILING FEAT URES OF
FORMS
POSSIBLE Pr F=aura zr
ING
NavPers 01980
OFFICE EQUIPMENT
FINAL REPORT SUBMITTED
UNDER CONTRACT NBS 34896
The ABC Research and
Development Co.
Fj~vra za
lam
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 Approved
Sometimes the recordkeeper may find, when
he needs to identify the records by more than
one feature, that he can use a second feature
which resemble reports), maps, sound record-
ings, and other types of filable material. These
materials, too, have names, titles, numbers,
dates, geographic locations, or subjects which
can be identified and used as filing features.
Identifying the Filing Feature Most
Often Known by Users
One of the hardest chores of the recordkeeper
is to decide by which filing feature documents
will be requested most often. He must ask
such questions as, "Are the users likely to
know the names of persons more often than
their social security numbers?" If so, he will
file the papers by surname, as shown in figure
14. To take care of those instances, if numer-
ous, in which the social security number is
known, but not the exact name, he may need
an "index" in number sequence. Some-
times, he may not be able to establish which
feature will be most often known by users.
Then he has to resort to otherwise indefensible
indexes to offer possibilities of reference by
more than one filing feature. Indexes are dis-
cussed in chapter VIII.
as the basis for a subarrangement within the
overall arrangement. As an example, shown in
figure 14, the volume of papers within a geo-
graphical file by cities may require a further
breakdown by names of individuals. This ar-
rangement is best if (1) "cities" are the most
often known feature of the entire file group, and
(2) users will call for papers more frequently by
"names of persons" within any one city than
by any other feature. Other familiar bases for
subarrangements are organizations within geo-
graphical locations or names within subjects.
Choosing How the Feature Will Be
Captioned
After the feature that will most frequently be
identified by the users has been chosen, the
recordkeeper is still not ready to slip papers
into folders. He has yet to decide how that
feature should be worded on the folder labels.
This solution, in turn, will control the arrange-
ment of folders in the file.
POSSIBLE FILING FEATURES OF DIRECTIVES
~T1
O E RAL pVl
FE
C?"?0etl111'
OYSMTION xQp - #~af1deaae-Ti
gBJ+ ....?sYte s1pgtt(0~ e au4 s1unnee+-cd._c
_ 1x+ b nits 1.51 d1e40se ps 4-401,
a~+iLj bd
y 1~ a1 a ac jurn
nd 16 At1001' 3diX>r
s181 r.1.'. _ S$ a ye Y0re4pT1~ OUB~ ~
g yli-'1 ~t ~ami~wl ~k~ h cm 12 t a?y_ ~ti ;
~~ ~ci_ 1ri>:~n$ eiShc ~~' acC~YS aaoa!` e
~'k. AT 01 _ sd4~
00 AG>`
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ome recordkeepers may elect to express
the feature as a file designation differently from
the way it appears on the papers. Figure 15
illustrates how some might choose to convert
"Western Livestock Board" to the file designa-
tion "Boards-Western Livestock," because
they want all "Boards" with which they are
dealing to be filed together in an alphabetical
file. Recordkeepers can face other problems of
files arrangement, such as:
Would it pay to persuade the users to
substitute project symbols for word de-
scriptions in requesting case folders? This
substitution would change the "most
often known feature" and the sequence of
the folders.
For a subject file, would it pay to substi-
tute file codes to shorten word descrip-
tions of subject topics?
FILING BY THE FEATURE MOST OFTEN KNOWN
PeograPhically by
location,, subatranged
by narnes of individuals
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HOW THE MOST OFTEN KNOWN FEATURE BECOMES
THE BASIS OF A FILING SYSTEM
re
es ern Livestock Board
sz;
V k t
V,r,~ cra 4 _.
ow that
ill be expressed
Cows Incorporated
Boards-Western Livestock
Boards-Northern Livestock
Boards-Cattle Breeders I
Ace Cattle Company
(3) Derive the folder sequence
fiorn the way the feature
is expressed
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The decisions on such questions are dependent United States Civil Service Commission
upon a familiarity with the various types of
filing arrangements and the problems each
presents in day-to-day operations. A "Guide
to Systems for Arranging Files," figure 16, pages
22 and 23 at the end of this chapter, summarizes
operating problems under each system.
Arranging by Subjects
Choosing the subjects under which to file a
document can be extraordinarily difficult. It
has rightly been called an art, because pro-
ficiency requires extensive study of, and prac-
tical experience in, the organization being
serviced. Study and experience are most
fruitful when they extend over a long period of
time, and are at a high enough level to give a
good overall view of the organization's activities
and plans.
The Concept of Function. Filing by subject
is a quest for logical arrangement. In science
this is called "classification." In the Federal
Government an arrangement based upon func-
tion seems to provide the key to logical files
classification.
If his agency has no subject filing manual,
a recordkeeper can find useful ideas on choosing
subjects from the agency filing manuals listed
below. How do these manuals, prepared by
knowledgeable records managers, define a
function? (Army lists 15 functions, Air
Force, 25, Civil Service, 20, and so on.)
Did the records managers in choosing
functions use the agency budget and appropria-
tion structure, organizational alinement of
program responsibilities, or the decisionmaking
process? Once these questions are answered,
the concept of function will emerge. Briefly
this concept is that functions represent the
most significant work areas within an
agency. Some of the filing manuals which
should be reviewed are :
1. Records Management Files Systems
and Standards
AR 345-210
Headquarters, Department of the Army
2. Maintenance of Records
CSC Administrative Manual
Supplement 178-C
Maintenance of Current Records
AFM 181-4
Department of the Air Force
How to File Correspondence Records
OPO 9 (Rev.)
Office of Plant and Operations
U.S. Department of Agriculture
Classification and Filing Guide
Records Management Handbook No. 1
Small Business Administration
Document Retrieval. Often topics included
.in "subject" filing systems are not so much sub-
ject centered (informational content of the
documents) as document centered. What is
frequently called "the subject," for filing pur-
poses, could be the name of the organization
originating the document and may not represent
the subject content of a document at all. If
the recordkeeper is reasonably sure the docu-
ment will be asked for by this name, he is safe
with this type of subject heading.
Sometimes "the subject" is based upon
some characteristic of the document, "press\re-
leases," for example. As has been noted, titles
of forms are often used as subjects, for example,
"printing requisitions," or "position descrip-
tions." These are not subjects, insofar as re-
vealing the factual content of the documents is
concerned. They are instead retrieval head-
ings-the way people will be most likely to re-
member where they have seen a fact. Everyone
who has worked with records knows how often
the inquiry is for "the report with the green
cover," or "the letter signed by Jones."
Information Retrieval. In "true" subject
filing, the subject topic chosen as the file desig-
nation of a document should reflect its infor-
mational content. Nearly every document has
one or more key sentences that relate it to an
office action or transaction. From the nouns in
these sentences, the recordkeeper may derive the
best description of the subject matter of the
document.
If no one word or group of words in the
document best describes its subject matter, the
recordkeeper must "coin" the descriptive word-
ing identifying its content. Further, the de-
scriptive wording selected may not match the
wording on any of the folder labels. A letter
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'
"
may about
rulers,
but there have been too
few documents about "rulers" to require a sepa-
rate folder caption for them. The logical home
for such a letter might be a folder with a much
broader term as its subject caption, such as
"Office Supplies."
Frequently, when a recordkeeper has mis-
filed a paper by incorrectly classifying it, he may
plead, "How could I be expected to know that?"
Perhaps he could not be, but he should have
realized that he did not know. In every orga-
nization there are those who do know and will
furnish the information when asked. At least,
there is no need for guesswork.
More is said about subject filing in chap-
ter V.
Arranging by Location
If records are to be filed by location, the record-
keeper must consistently file at the same level
of locational subdivision. Locations range from
broad geographic or political areas to very pre-
cise subdivisions. An example follows:
United States
Indiana
Posey County
Mount Vernon
Ward 3
Which locational level should the record-
keeper choose as the basis of his files arrange-
ment? He can file by cities, disregarding coun-
ties and States; by counties, disregarding States;
or by States, disregarding regions.
Persons doing much locational filing will
find a number of reference works handy-the
U.S. Postal Guide, organizational directories,
city directories, and the like.
Arranging by Numbers (Symbols)
Numeric filing will usually prove most efficient
when:
1. Records already bear identifying num-
bers which will be known when records
are requested (invoices, contracts, requi-
sitions, bills of lading, licenses, certifi-
cates, freight cards, vouchers, checks).
Numbers are shorter than lengthy name
designations (projects, catalog price
lists, products, locations, appropria-
tions), or subject topics expressed as
words, and the amount of records to be
filed warrants the filing speed obtainable
from numeric sequence.
Moreover, numeric sequencing, although con-
sidered a very simple and fast method, is not
actually a complete method of filing. Behind
every numeric system stands an alphabetical
index or classification record or listing that
controls the numbers. The time needed to
maintain the necessary index or listing must
be considered as part of the total filing time
under this system.
Numeric file codes (numbers or symbols
abbreviating lengthy file designations expressed
in words) are used primarily as a timesaver
for operating subject files. Much less fre-
quently, file codes are used in very large files
as a numeric substitute for an alphabetic ar-
rangement by surnames, or as a numeric sub-
stitute for an alphabetic arrangement by names
of geographic locations.
File codes are discussed in more detail in
chapter V.
Consecutively numbered records can be
periodically checked for missing numbers to
help insure completeness of files. This sets up
a medium for inventory, auditing, and ac-
counting control.
More is said about the aspects of arranging
by numbers in chapter VI.
Arranging by Surname (Name or
Title)
Surname filing requires the use of standard rules
for consistent sequencing, but this will not
automatically assure the user that the records
will be found when desired. It is necessary to
know what surname or title in the corre-
spondence is to serve as the file designation.
This in turn needs communications that are
correctly and completely addressed and signed.
Arranging by name is covered in
chapter VI.
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 Approved For Release 2001/07/17: CIA-RDP74-00005R0001000 39 TO SYSTEMS
Filing feature
of document
Usual filing
sequence
Most suitable
file groups
Need for index
file (by second
filing feature)
Need for cross-
referencing
a document
within the file
Likelihood that document de-
scription used in request will
pinpoint file location
Names of
Alphabetic
Case.
Normally not
If more than
Usually. Foreign, organiza-
people, orga-
by name.
Case working.
needed, ex-
one name
tion, and unusual names may
nizations, or
Technical
cept for
involved.
be troublesome. The larger
firms.
reference.
precedent
the file, the greater the
cases.
problem.
Names or titles
Alphabetic
Case.
Normally not
If more than
Sometimes. Project titles
of projects,
by name.
Case working.
needed, ex-
one name or
may be troublesome. The
publications,
Technical
cept for
title involved.
longer the name or title, the
products, or
reference.
precedent
less chance of agreement.
things.
cases.
The larger the file, the greater
the problem.
Geographic
Alphabetic
Case.
Frequently
If more than
Sometimes. Record may be
areas or loca-
by name
Case working.
needed as
one area or
requested by city but filed by
tion.
(often sub-
Technical
location is
location in-
State, or may be requested by
arranged by
reference.
not always
volved.
people, organizations, or
people,
known.
things without the location
things, etc.).
given. The larger the file,
the greater the problem.
Numbers or
By number or
Case.
Name index
If more than
Depends upon widespread use
symbols.
symbol.
Case working.
needed to
one number
of the numbers or symbols
Technical
obtain num-
or symbol
within the office and extent
reference.
ber or symbol,
involved.
of use on documents received
not known or
from the outside.
incorrectly
shown.
Dates.
By date pre-
Convenience.
Not needed
Not needed.
Usually for suspense. For
pared or
Transitory.
unless large
convenience or transitory
used.
Suspense.
volume filed
files, exact date often not
only by date.
known.
Subject
Alphabetic
General cor-
Occasionally
If more than
Unlikely. Request may be
topics.
by subject
respondence
an index by
one subject
vague, and differing terms
topic, or by
(may include
names of
involved, or
may be used to describe
numeric or
cases sub-
people,
document is
same document. Relative in-
alpha-numeric
arranged by
firms, and
brought for-
dex may be needed to deter-
file code.
names or
organizations
ward. (See
mine proper subject topic.
numbers).
needed.
P. 55.)
Technical
reference.
Arranging by Date quence. Cables, teletypes, and day files are
usually arranged by date (thereunder by time
Very few files are arranged primarily by dates if appropriate), although other copies of the
and yet almost all papers within a folder are in same documents are usually arranged by sub-
chronological sequence, usually reverse se- ject. Occasionally an improperly subject-filed
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Likelihood of file
designation being
shown on document
when originated
Likelihood of file
designation being
expressed the same on
documents to be filed
together
Ease and accuracy in marking
a document for filing
Ease and accuracy in sorting
and filing
Usually. Location
is shown, but not
subarrangement file
designation.
Nearly always-but
sometimes omitted.
Unlikely, since sub-
ject, if shown, rarely
matches subject
outline topics.
Usually, except for
misspellings. Ex-
changing personal
and organization
names causes in-
consistency.
Usually. Difficul-
ties may occur with
project and other
long titles.
Depends on con-
sistent choice of lo-
cational level for
each paper.
Fast and easy, if names can be
Slow and difficult. Eye must
underlined. Fairly slow if
scan each letter of each word to
names must be written. Spell-
determine sequence; words
and
ing errors may
occur in un-
titles vary widely in length.
The
familiar names.
Adherence to
larger the file, the greater
the
filing rules required.
Fairly slow. Key words to be
underlined may be buried in long
titles. Incomplete titles may
have to be completed by hand-
writing. Adherence to filing
rules required.
Fast, if location can be under-
lined. Subarrangements often
require handwritten designa-
tions.
problem, and the greater the need
for rigid adherence to filing rules.
Slow and difficult. Eye must
scan each letter of each word to
determine sequence; words and
titles vary widely in length. The
larger the file, the greater the
problem, and the greater the need
for rigid adherence to filing rules.
Fairly difficult, depending on
number of breakdowns and sub-
arrangements. Precise filing re-
quired. The larger the file, the
greater the problem.
Fast, if numbers or symbols are
short or segmented. Numbers
or symbols susceptible to trans-
position and other errors.
Fast and accurate. Marking
rarely needed.
Slow, as content must be read.
Use of file code speeds writing,
but may require reference to
subject outline pr relative index.
Faulty decisions and errors in
writing may occur.
Easy, if numbers or symbols are
short or segmented. Transposi-
tion and other errors likely.
Difficult, if alphabetically filed by
word topics. Easier if filed by
short file codes. The more com-
plex the code the more difficult
the accuracy.
record is traced by means of the chronologic immediate organization. Date filing is also
file copy. Officials frequently use the chrono- used for "suspense" or "followup" files to
logic file copies to keep informed of the letters remind officials of unfinished actions to be
written by colleagues or subordinates in their completed by a known date.
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V. SUBJECT FILING
Why do we need a written subject file outline in our office?
How do the functions of our office help us prepare a subject file outline?
Should facilitative and program papers be intermixed?
How do we choose needed topics from our agency file manual?
What do we do when we have a need for topics not provided by the agency
file manual?
Why are definitions of subject topics helpful?
When do we need an alphabetic name index?
Should we use a file code?
Subject files were defined in chapter III.
Vital to their maintenance is consistency in
choosing subjects, in turn dependent upon a
complete written listing of the topics each
office expects to use in selecting file designa-
tions (folder captions) for individual papers.
Many file designations (subject topics) in the
listing need to be defined by clearly describing
the subject matter content of the papers to be
filed under each. Such a list of defined desig-
nations, known as a "Subject Outline," be-
comes the framework of the subject file. It
becomes additionally visualized as the topics
of the "Subject Outline" become labels on the
folders or guides.
Agency Guidance
How easily a recordkeeper can select file head-
ings for a Subject Outline to govern his records
usually depends on the guidance his agency has
given him. Most agencies have issued subject
filing manuals to control the filing of general
correspondence. These filing manuals usually
give the following kinds of guidance:
1. One or more Subject Outlines pre-
senting topics (headings) for arranging
(classifying) documents in a hierarchical
fashion. The manuals also usually in-
clude a prescribed file code representing
the subject topics in an abbreviated
format. See Appendix A at the end of
this handbook for excerpts from a
Subject Outline of the United States
Civil Service Commission filing manual.
2. An Alphabetic (Relative) Index to
the Subject Outline, which alphabeti-
cally lists each of the topics contained in
the Subject Outline, and usually includes
many additional subjects under which
papers might be looked for. Each
entry shows the file designation for papers
on that subject. An excerpt from a
Relative Index is shown as figure 17.
3. Written instructions on approved
filing practices for maintaining and using
the files once they have been established.
The instructions may include provisions
for a separate "Name Index" file.
They should state agency policy on
changes recordkeepers may make in
adapting the manual for their files, and
policy on clearances for the changes.
Agency filing manuals of necessity vary widely
as to the completeness and coverage of their
Subject Outlines and Alphabetic Indexes. The
Records Management Handbook, Subject Fil-
ing Manuals, explains the reasons for these
variations. An agency filing manual may fit
some offices fairly well, but in other offices, it
may provide so few usable topics that the
recordkeeper must labor to fit the manual to his
records. This chapter, while written primarily
to aid recordkeepers in adapting their agency
filing manual, will also have value to record-
keepers in agencies without a filing mane al.
The latter recordkeepers will benefit even m+ re
from reading the above mentioned handbook
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 rI~e1A/~7~7AjRLATIVF) INDEX TO A SUBJECT
OUTLINE
Accounting______________________________ See ACCOUNTING
Administrative issuances ------------------ RECORDS MANAGEMENT 1
Allotments_______________________________ APPROPRIATIONS-BUDGET
Annual leave_____________________________ PERSONNEL 4-1
Appointing authority --------------------- PERSONNEL
Appointments (Committee members)------- COMMITTEES-MEETINGS
Appointments (personnel) ----------------- PERSONNEL 3
Appropriations _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ See APPROPRIATIONS-BUDGET
Audits__________________________________ ACCOUNTING
Authorizations (legal) --------------------- LEGISLATION-LEGAL
Budget__________________________________ See APPROPRIATIONS-BUDGET
Budget estimates------------------------- APPROPRIATIONS-BUDGET
Cable facilities___________________________ COMMUNICATIONS 3
Checks__________________________________ ACCOUNTING 2
Classification of positions------------------ PERSONNEL 2
Claims__________________________________ LEGISLATION-LEGAL
Collections_______________________________ ACCOUNTING
Committees _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ See COMMITTEES-MEETINGS
Communications_________________________ See COMMUNICATIONS
Correspondence _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ RECORDS MANAGEMENT 1.
Creation of records_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ RECORDS MANAGEMENT 1
Program and Facilitative Records
Before preparing a Subject Outline for an
office, files personnel should consider the need
to distinguish between "program" and "facili-
tative" records.
? Program (mission or line) records are
those which relate to the reason for
which an agency or within it a particular
office was established-to make loans,
to adjudicate claims, to operate labora-
tories, to issue research publications, to
gather and disseminate statistics, or to
carry out other basic responsibilities.
? Facilitative (housekeeping, staff, or ad-
ministrative) records are those that
reflect Government-wide activities of this
nature. They include general activities
such as: Budget, personnel, space, park-
ing, office supplies, and printing and re-
production; and managerial activities
concerned with organization, systems,
methods, and procedures.
These facilitative activities are carried out in
similar fashion throughout the Government.
This similarity is the result of the efforts of the
four staff agencies-Bureau of the Budget,
United States Civil Service Commission, Gen-
eral Services Administration, and the General
Accounting Office. Most offices (other than
agency staff offices for which these activities,
are, in effect, program activities) can keep
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records on administrative transactions under subject topics. Admittedly, these may not be
basically the same set of subject topics. The
disposal of "facilitative" records is subject to
control by the General Records Schedules in
Title 3 of General Services Administration
Regulations.
In planning a subject file, the record-
keeper should consider separating "facilitative"
from "program" records when the following
conditions are met:
complete. To think of possible needed addi-
tional topics, he must consider the activities
(jobs, tasks, functions, projects) of the office.
As best he can, a recordkeeper should include
in this preliminary topic listing all the topics
needed to cover the activities an office is respon-
sible for. Checking through available organi-
zational and functional charts, as well as the
records to be subject filed, will help bring needed
topics to mind.
? The volume of the subject file occupies
more than one file drawer in a year.
? The retention period of "facilitative"
records has a considerably shorter life
than the "program" records.
? The agency filing manual lists separately
topics for "facilitative" and "program"
records.
The Office Subject Outline
How many modifications a recordkeeper must
make to the Subject Outline in the agency
manual governs whether he makes notations
directly on the published manual pages, or
prepares a separate document for his Office
Subject Outline. Often for easy reference, a
separate document is best. Any changes or
modifications must be in accordance with
agency rules governing changes, and clear-
ances of the changes.
Preparing the Subject Outline for an office,
along the lines recommended below, may seem
a formidable task, but a good Outline pays
dividends in helping to find facts fast. No one
needs to be 100 percent perfect in selecting in
advance all needed subject topics. During the
daily filing, a recordkeeper is sure to discover
some needed topics he did not foresee. But
the better he anticipates his need for topics, the
easier filing will be. Of course, if agency records
managers can help each recordkeeper prepare
his Office Subject Outline, a more uniform
adaptation of the agency filing manual will
result.
Step 1. Itemize Records To Be Filed
by Subject
The recordkeeper should start by listing those
folder captions now used in his office as
If the "program" and "facilitative" records
are not already separated, listing them sepa-
rately will aid in making this division, if
desired.
To aid in deciding when subtopics are
needed, the listing should show in inch measure-
ments the approximate amount of records to be
included before file cut off under each heading.
Any topics covering records no longer being
created, such as those covering activities no
longer being performed by the office, should be
struck from the list.
Step 2. Reconcile List With Agency
Manual
Only after studying the subject topics now
being used, and adding to them topics needed
to cover all the functions the office performs, is
a recordkeeper ready to accept the help of his
agency filing manual.
Reconciliation will normally consist of (1)
dropping or combining some subject topics from
the manual, particularly below the primary
level; (2) adding some subject topics to take
care of gaps that appear; (3) changing the
wording of the folder headings in the prelimi-
nary listing to conform to the topic wording in
the manual; and (4) inserting newly added
topics into the Relative Index of the manual.
Dropping or Combining Topics. Figure 18,
a simulated page from an agency manual,
provides a basis for illustrating dropping or
combining subject topics. The page covers the
category, PERSONNEL, which is the primary
topic. Progressively subordinate to it are
secondary, tertiary, and quaternary topics.
All told there are 55 topic headings on this
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page of the manual. If all 55 headings are
used, they represent 55 folders. If a minimum
of 10 papers is placed in each folder in a year,
55 folders will hold 550 papers. If a maximum
of 75 papers is filed in each folder, 55
will maintain 4,125 papers.
The small office might have, however, only
200 papers to file annually under PERSONNEL.
Clearly, 55 folders are not needed for 200 papers
if the recordkeeper hopes to approximate an
average of about 25 papers (roughly one-
fourth inch) per folder, per year. What
then?
Using his knowledge of the subject matter
coverage and the amount of subject-filed
records of his office, the recordkeeper might fit
his records by choosing the primary topic,
PERSONNEL, and eight secondary topics.
He might do it this way:
PERSONNEL
ampaigns for Fund
Hnnlo-Tee Relations
7-1 Accidents
7-2 Immunization
7-3 Nursing Service
7-4 Sanitation
PERSONNEL (general items,
gories 1, 2, 8, and 16)
3 Classification
5 Campaigns for Funds
Employee Performance
combined)
(4, 6, and 11
7 Health and Safety
9 Leave and Pay Administration (9 and
10 combined)
12 Recruitment and Separation (12 and 14
combined)
13 Reports and Statistics
15 Training
In this way he dropped tertiaries and quater-
naries. He combined some of the secondaries.
In the general folder, under the primary head-
ing, PERSONNEL, he placed material on
appointing authority, personnel ceilings, hours
of duty, and manpower utilization. Assuming
there are approximately the same number of
papers in each of the 9 subject folders chosen,
anoee
er, _Q nce._a ~zigs m
ecruI z n
o
12-1- g Per ism
12-1-2 Per Annum
12-1-3 Scientific
12-1-d Consultants
Figure 18
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EXAMPLE OF DROPPING OR COMBINING SUBJECT TOPICS
FOR 350 PERSONNEL DOCUMENTS PER YEAR
The three situations for decision are:
1. How many topics are -needed for 100 papers on "Training"? If the 4 topics
included in the Outline of figure 18 are used, the papers will average about 25 per
folder, the average number he was aiming for.
2. How many topics are needed for the 150 papers on "Recruitment"? If all 8 of
the available topics in the manual are chosen, papers would average about 19 per
folder, well above the minimum number of 10 required. (Certain of the quaternary
topics might be combined, such as those for "Scientific" and "Consultant" recruit-
ment, if there is only a small amount of papers on recruitment in any of these
specific categories.)
3. How many topics are needed for the 100 papers spread among the remaining manual
topics under PERSONNEL? Assuming the papers were properly distributed for
such a selection, the remaining 100 papers might be placed in the folder for the broad
primary topic, PERSONNEL, and in 5 secondary topic folders. This would pro-
vide adequate subject matter coverage and still average about 17 papers per folder,
well above the minimum of 10.
The chosen topics might be as follows:
PERSONNEL (General items, plus categories 1, 2, 5, 8, 13, and 16)
3 Classification
6 Employee Performance (4, 6, and 11 combined)
7 Health and Safety
9 Leave and Pay Administration (9 and 10 combined)
12 Recruitment
12-1 Applications
12-1-1 Per Diem
12-1-2 Per Annum
12-1-3 Scientific and Consultants (12-1-3 and 12-1-4 combined)
12-2 Certifications
14 Separations and Transfers
15 Training
15-1 In Service
15-2 Outside
15-3 Executive Development
this topic selection for 200 papers averaged
about 22 papers per folder.
There could be many other examples of
this type.
What if there were 350 documents annually,
of which 100 were in the training area, 150 in
the recruitment area, and the remaining 100
spread among the other areas of personnel?
While this handbook cannot treat this subject
in great detail, figure 19 illustrates possible
topics to select for the 350 papers described
above.
Adding Topics. A real problem for a record-
keeper is to recognize gaps in the manual where
he needs additional topics. The listing pre-
pared at the outset should help here. Gaps are
more likely to appear in the topics for "pro-
gram" than for "facilitative" records. Figure
20 is a practical exercise in gap filling.
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EXAMPLE OF ADDING NEW TOPICS TO AN AGENCY
SUBJECT OUTLINE
The agency manual had the primary topic, EDUCATION, broken down as follows:
EDUCATION
1 Federal Aid to Education
2 Scholarships-Fellowships
3 Schools (use for materials involving school facilities and operations other than
staff or teachers)
4 Staff-Teachers
In listing current subject topics used in the office, the recordkeeper found 10 or more
papers per year on the following subject areas:
Education in foreign countries
Nursery schools
Parochial and private schools
Recruiting teachers
Salaries
WHERE SHOULD THESE NEEDED ADDITIONAL SUBORDINATE TOPICS
BE ADDED?
First: Relate them to existing topics.
"Nursery," and "Parochial and Private" schools could be related to topic 3,
"Schools."
"Recruiting" and "Salaries" could be related to topic 4, "Staff-Teachers."
"Foreign Education" does not relate to any present subordinate topics, which
concern education in the United States.
Next: Determine where within the existing subordinate topics to place inserted topics.
Should they all be additional secondary topics or, as in this example, should
some of the additional topics be subordinate to existing secondary topics?
Here is the revised subject, EDUCATION, with the added topics italicized:
EDUCATION
1 Federal Aid to Education
2 Scholarships-Fellowships
3 Schools (use for materials involving school facilities and operations, other than
staff or teachers)
3-1 Nursery
3-2 Parochial and Private
4 Staff-Teachers
4-1 Recruitment
4-2 Salaries
5 Foreign
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Before inserting topics, the recordkeeper Wording Topics Clearly and Uniformly.
should ask himself: Clear wording for all topics is vital to consist-
Does the gap in subject coverage really
exist? Or, has a usable topic in the manual
been overlooked because it is expressed in
unfamiliar wording?
Will there be enough papers to fit under the
proposed topic (10 or more) to warrant
adding it?
If a gap exists, the recordkeeper'must determine
at what level of subordination to insert the
needed additional topic. Levels of subordina-
tion should be built upon logic. Inserting
topics at the wrong level can destroy the logic
of the Outline. There follow some examples
of errors in adding topics.
Recordkeepers should beware of mixing at
the same level of subordination topics reflecting
(1) actions taken and (2) objects acted on.
This error results in one paper fitting under two
different topics. For example, the agency
manual has a primary topic, FRUIT, with
three secondary topics, "Apples," "Peaches,"
and "Pears." There is a need to insert an
additional topic, "Canning of Pears." The
wrong and the right ways of adding this topic
are shown below.
Wrong
Right
FRUIT
FRUIT
1
Apples
1
Apples
2
Peaches
2
Peaches
3
Pears
3
Pears
4
Canning
3-1
Canning
Another common error recordkeepers
should avoid is placing specific topics, which
are components of a broad topic, on a par with
the broad topic. For example, the agency
manual has among its primary topics, BUDG-
ETS, COOPERATION, and FRUIT. There
is a need to insert additional topics, "Apples,"
"Peaches," and "Pears." The wrong and the
right ways of adding these topics are shown
below :
Wrong
APPLES
BUDGETS
COOPERATION
FRUIT
PEACHES
PEARS
Right
BUDGETS
COOPERATION
FRUIT
1 Apples
2 Peaches
3 Pears
ent filing. An agency filing manual contains
carefully phrased subject topics which provide
clear folder label captions. In some agencies,
if manual wording applies to the records of
an office, the wording is mandatory for folder
label captions in that office. The recordkeeper
should compare the wording of his present folder
labels with that of the agency manual. If at
all possible, he should adopt manual wording
even though he is not required to do so by his
agency.
Hints for selecting clear captions, particu-
larly for added topics, follow:
Terms understandable to everyone using
the files are best. Maybe "dust" is better
than "particles"; "oil wells" may be better
than "petroleum engineering."
Two words may give the topic broader
coverage; for example, "Supplies-Equip-
ment."
Long headings (more than four words) in a
caption make it hard to recognize quickly
the types of papers fitting a topic. Cap-
tions like "Copper-tungsten-zinc all-phase
diagram" are hard to use.
Figures 18 and 19 contain examples of problems
of conformance by the recordkeeper who is
combining manual topics. In this situation he
has only enough papers on "Employee Rela-
tions," "Conduct," and "Performance Ratings"
to make up one folder, and must choose the
proper caption for that folder.
Reconciling the Alphabetic (Relative) Index.
An extremely efficient tool, when the record-
keeper seeks the subject file designation for a
document, is an alphabetic subject index such
as that shown in figure 17. The larger the file,
the greater is the timesaving value of such an
index.
When topics are added to the agency man-
ual, underlining will distinguish them in the
draft of the Office Subject Outline. Then after
the Office Subject Outline is completed, these
marked additional topics can be inserted in their
proper sequence in the Relative Index of the
agency filing manual, if not too numerous. If
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additions are numerous, some pages of the man- sequence
ual Index may need to be redone. New terms
may subsequently be introduced whenever and
wherever needed.
Step 3. Define Topic Coverage
The recordkeeper can be more certain of filing
the same type records under the correct topics if
the Office Subject Outline includes definitions
of the kind of records he proposes to file not
only under each primary, but also the subordi-
nate headings.
Most agency filing manuals confine their
definitions to primary subjects. By using
"See" or "See also," some manuals indicate
other closely related primary topics to use for
materials that might be mistakenly filed under
the particular primary topic. Appendix A
gives examples of such references at the primary
level.
A few manuals include definitions of all
listed headings. One of the best examples of
full explanation below the primary levels is the
Army Manual, a page of which is reproduced
as figure 21. Such descriptive detail is some-
times called "scope notes," since coverage is
basic in the definition.
The recordkeeper usually will find that the
time he spends in defining the coverage of
subject topics can save him much more time
later on when he is operating his subject file.
By defining topics, he can discover how well
the caption wording actually describes the
records he proposes to file in the folder, and
can consistently file subject-related papers
together. Further, he can bring to light
possible overlapping coverage between topics,
which he might not have discovered without
defining the topics.
Step 4. Prepare Final Office Subject
Outline
The final step includes the following actions:
? Placing the topics in exact desired
sequence. As topics were selected or
added to the initial rough topic listing,
the entries may not have been kept in the
code. In this final draft the topics must
be in the precise order the folders should
follow in the file drawers.
? Typing the Outline in clear, neat format
(if a markup of the agency filing manual
would be unsightly). Indentation is
used to show different levels of subordina-
tion. Adequate spacing between topics
should be allowed for inclusion of defini-
tions and other notations.
? Testing out the Outline. At least 1
month's papers from the old file, and as
much of the current filing as possible,
should be checked against the Outline.
Filing the papers in the old file under the
old system is continued, however, until
all persons concerned are fully ready to
install the new system.
? Reviewing the Outline with the record
users. By reviewing the Outline with
those who use records, the recordkeeper
can build confidence in the system, and
improve it as users offer helpful sugges-
tions.
Some Rules on Agency Manual
Adaptation
From the preceding step-by-step discussion, a
number of firm conclusions, having general
applicability, can be drawn. These conclusions
can be. called rules.
The first rule is don't prepare a folder
for every topic included in the agency
manual. Failure to observe this rule will
result in many empty folders. Manuals are
constructed to take care of a subject in some
depth, in case depth is needed. Most offices
do not need much depth. Obviously they
should use only those primary topics for which
they have papers. They should use secondaries
and the finer breakdowns only when the volume
(specified in the second rule) warrants their
use.
The second rule is select 1 topic (folder)
for about every 25 papers expected to be in
the file at the time the records are ready
for cutoff. Unless a sufficient number of
topics (folders) are provided, folders may con-
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SAMPLE OF AGENCY MANUAL
WITH DEFINITIONS OF FILING CAPTIONS
Description
jectives and command responsibilities, safety program studies, methods
for accident prevention and hazard control, safety reporting systems,
and other integral policies of the safety program.
006-02 Safety survey files. Documents relating to surveys made to evaluate the
effectiveness of safety programs and safety standards and procedures,
including survey reports, changes made as a result of the findings of the
surveys, and related papers.
606-03 Safety liaison files. Documents created in the coordination and exchange
of information with private and public safety agencies, and in repre-
senting the Army on safety councils and committees, but exclusive of
documents which are an integral part of the safety instructions files or
safety standards files described in this section.
606-04 Safety technical files. Documents created in providing technical review,
advice, and guidance with regard to identifying and eliminating or
controlling safety hazards.
606-03 Safety standards files. Documents created in the development of safety
standards and practices in: developmental and production operations;
the safe location, design, layout, and construction of facilities where
explosives are handled or operations are exposed to explosive hazards;
the. safe handling, storage, and movement of explosives and tither dan-
gerous materials; and other areas requiring safety standards. The files
include recommendations, coordination actions, studies and other actions
taken to establish standards.
606-06 Safety deviations files. Documents relating to deviations, waivers, and
exemptions from safety regulations established for operations, machines,
quantity distances, buildings, or facilities. Included are requests for
waiver, deviation, or exemption; approvals or disapprovals; sketches;
drawing; and related documents.
606-07 Accident experience files. Documents created in the statistical reporting of
Army accidents and in summarizing and analyzing Army accident
experience and trends involving Army aircraft, motor vehicles, fires,
personal injury, damage to property and other accidents. This defi-
nition does-not include documents relating to the investigation of specific
accidents, accident claims files, nor the control documents accumulated
by data processing activities for the preparation of statistical reports.
606-08 Safety data processing files. Documents used to accumulate data for pre-
paration of safety program reports by data processing procedures. The
files consist of punched cards, reports and similar papers which reflect
the time and date of accidents, category, personnel data, property
damage data, or other pertinent information.
606-09 accident case files. Documents relating to individual accidents, such as
reports of accidents, and investigations thereof, involving Army aircraft,
Army motor vehicles, fires, damage to Army property, and injury to or
death of military and civilian personnel.
606-10 Driver's report of accident files. Duplicate copies of driver's reports of
accidents, except when filed as a part of a report of survey or when
constituting an exhibit to a report of investigation required by AR 25-20.
606-11 Flight safely messages files. Telegraphic messages used to inform aviation
activities of aircraft accidents and their causes in order to prevent the
recurrence of similar accidents.
(106-12 Safely awareness files. Documents created in developing or selecting
materials, such as posters, placards, cartoons, literature or other means
of making personnel aware of safety hazards.
106-l3 Safety awards files. - Documents created in the consideration and selection
of commands, installations, activities, and individuals, for recognition
of outstanding effort and achievement in the prevention of accidents.
Disposition
Offices at major or intermediate com-
mand headquarters: 6 years.
All other offices: 2 years.
All safety offices: Permanent. Cut off
annually.
Offices surveyed: When obsolete, super-
seded or office discontinued, which-
ever is first.
All safety offices: 2 years.
Office responsible for developing stand-
ard: 10 years after supersession or
obsolescence.
Other offices: 2 years.
On expiration or disapproval of the
waiver, deviation, or exemption.
Files pertaining to contracts will be
disposed of with the related con-
tract files.
Office performing Army-wide staff re-
sponsibility: Permanent. 'Cut off
annually.
Other offices: 3 years.
Punched cards: 1 year. Cut off end of
each reporting period.
Reports from which cards are pinched:
3 months. Cut off end of each re-
porting period.
Office performing Army-wide staff re-
sponsibility for safety function: Per-
manent.
Offices, other than above, performing
review and determination responsi-
bility: 10 years.
Offices initiating reports and investiga-
tions: 2 years.
2 years.
Office performing award selection re-
sponsibility: Permanent. Cut off
annually.
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tain more than the maximum limit of about
75 papers. It would take a long time to look
through them, and even then, the wanted paper
might be overlooked. In addition, overthick
folders slow down filing.
On the other hand, too many subordinate
topics could mean many folders with only one
or two papers in them. Too many choices make
it hard to file consistently. The same type
papers are likely to be split among the folders
for closely related topics. A separate folder for
a subordinate topic normally should not be es-
tablished unless a minimum of about 10 papers
is expected.
The third rule is have no more than
three levels of subordinate topics within a
primary. The relationship of deeply sub-
ordinated topics to their primary topic may
be difficult to grasp. Two levels of subordina-
tion within a primary topic normally provide
enough precise breaking down of that topic.
Three levels are still acceptable, but more than
three begin to hide the topic relationships. If
there are too many levels, corrections may be
made by disregarding the primary topic and
elevating the present secondaries to primaries,
the tertiaries to secondaries, and so on. Or,
corrections may be made by rewording the
primary topic caption to restrict it to a less
broad subject matter area.
The fourth rule is to rely on primary
topics for complete subject matter
coverage. A Subject Outline is expected to
provide a logical home for every paper filed by
subject in an office. To avoid the need for
folders labeled "Miscellaneous," the primary
topics have been carefully selected so that they
provide complete subject matter coverage.
lengthy file designations otherwise expressed
as words) are almost exclusively associated
with subject files. Figure 18 illustrates subject
file codes. There, by use of a combination
letter and number file code, the lengthy file
designation, "PERSONNEL-Recruitment-
Applications-Per Annum," was abbreviated
to "PE 12-1-2."'
The format and structure of the subject file
codes vary widely from agency to agency.
Some code symbols consist of unsegmented
numbers-"1207"; others of segmented num-
bers-"14-3-4"; and others of combinations of
words or letters and numbers-"A-12-2,"
"PERSONNEL 12-1-2," or "PE 12-1-2."
Each agency filing manual usually will specify
the approved file code format.
File codes have both advantages and dis-
advantages. They save time in writing subject
file designations, in recognizing filing sequences,
and in sorting and filing records. However, a
disadvantage lies in the fact that the file code
symbols rather than the subject topics them-
selves will determine the sequence of the folders
at each level of subordination. If a record-
keeper cannot remember an assigned file code
symbol for a particular subject topic, he must
first look up the code symbol in his Subject
Outline before he can find the folder for that
topic in the file. Further, writing errors such
as transposing or otherwise writing wrong code
numbers can easily go unnoticed and cause
papers to be lost. Unless file codes are required
by an agency manual, a recordkeeper may
find that adopting them for small subject files
of a drawer or so per year may result in more
trouble than they are worth.
Recordkeepers should understand that the
total coverage of all subordinates need not equal
the total coverage of their primary. If there
is a gap in the coverage of the topics at any
subordinate level, a paper can be filed in the
appropriate folder at the next higher level, even
in the primary folder.
Subject File Codes
As mentioned in the preceding chapter, file
codes (numbers or symbols used to abbreviate
The Name Index
In some offices, needed records can be found
more rapidly by maintaining a separate Name
Index to the subject file. This Index is arranged
alphabetically by names of persons or organi-
zations referred to in correspondence or docu-
ments.
When To Use. When planning a subject file,
the recordkeeper should consider establishing a
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separate alphabetic Name Index when the
following conditions are met:
? Records are frequently requested by the
names of individuals or organizations
concerned, rather than by subject.
? Most of the material consists of corre-
spondence with many persons or organi-
zations outside the agency. Also such
correspondence covers a wide variety of
subjects. However, if these records are
not filed by subject, but are, for example,
case files subarranged alphabetically by
names within the subject file, then an
alphabetic Name Index is not needed.
? The quantity of subject-filed material is
large, perhaps more than one file cabinet
a year. In small subject files the record-
keeper usually can locate needed records
without a Name Index.
Offices should not hesitate to discontinue an
alphabetic Name Index that is little used.
The fact that it occasionally helps to locate a
requested document becomes a managerial
decision of weighing cost versus benefits.
How To Establish. If needed, the Index
should be letter size. It should consist of extra
copies of outgoing letters of distinctive color,
a copy produced by an office copier, or letter-
size cross-reference forms such as OF 21.
See chapter VIII, page 54.
The work of keeping up a Name Index can
be reduced if a limit is placed on the type of
letters for which extra index copies are made.
For example, the types of communications most
often asked for by name are those addressed
to supervisors in agency headquarters and to
important State officials. Consequently, Name
Index copies are needed only for correspondence
with these persons.
When the recordkeeper marks the subject
copy for filing, he should at the same time also
mark the Name Index copy. The file desig-
nation of the subject file copy should be marked
in the upper right corner of the Name Index
copy. Also the name or title under which the
Index copy will be filed should be underscored.
See figure 22. The following are examples of
underscoring various types of names or titles
on the Name Index copy:
1. Correspondence with private individuals
should be filed by the last name of the
individual addressed.
Mrs. Mary Brown
1330 Ivy Street
Seattle 5, Washington
2. Correspondence with officials of commer-
cial concerns should be filed under the
name of the company or organization.
In the example given below, if the man-
AN ALPHABETIC NAME INDEX TO A SUBJECT FILE
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ager of the company is better known
than the company, a cross-reference under the name of the principal organi-
zational unit, disregarding such terms as
under "Dough" might be advisable.
Mr. John Dough, Manager Bureau of, and Office of
Crusty Baking Corporation To: U.R. Wright,
Forest Division
Chicago 12, Illinois Bureau of Land Management
Interior Department
3. Correspondence with officials of the
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VI. CASE FILING
Why is disposal planning so important in our case filing?
Can we recognize the essential papers within our case folders?
How do we separate case working and other nonessential papers?
What do we do when our case folders get too full?
Are there any special cautions for cases arranged either alphabetically or
numerically?
What should we do about indexes and cross references?
What do we do with papers that may or may not become cases?
What information goes on case folder labels?
How many guide labels will we need?
The major problems connected with case-filed
records are closely tied in with the need for
better disposal planning. While planning the
system for arranging and operating case files,
records personnel should build into the sys-
tem procedures facilitating eventual disposal of
records. To facilitate disposal, they should:
(1) Obtain a clear understanding of what
constitutes the essential papers of each case,
(2) develop surer standards for identifying and
segregating case working and other nonessential
short-lived papers, and (3) have easily under-
stood definitions of what are inactive cases,
so that such items can be kept separate from
the active file.
To develop this kind of standardization, it
is necessary to examine closely existing folders,
to list precisely the documents found therein,
and then to determine which are the papers
needed to give a complete picture. Because
case files collect the same kind of documents
for each transaction, each inclusion or omission
of a kind can affect as many papers as there are
individual cases comprising the total file.
Therefore, offices can waste hundreds of man-
hours if their records management officers do
not properly determine in advance what
essential papers go into the case files, and how
each file will be constituted. See figure 23.
The Essential Papers
Case files usually consist of papers which are
recurrent as to preparation and repetitive
as to type of data recorded. Normally they
are concerned with transactions that have a
definite beginning and ending in point of time.
The recurrent and repetitive kind of infor-
mation going into a case file enables records
personnel to promote standardization by mak-
ing such decisions as: "Z type of case shall
consist of papers A, B, C, and so on."
This standardization relates primarily to case
content although records personnel should not
neglect standardizing the format of cases as
well. Standardization should be concentrated
on basic papers needed in each case history
folder to tell the whole story of that case.
These essential papers are almost always the
items that need to be kept longest. Frequently
they have legal overtones.
Things To Avoid in a Case Folder:
? Extra words or poor identification
on label
? Excess writing on file designation
of each paper
? Needless papers filed
? Hard to dispose of short-term
value papers intermixed with valu-
able papers
Some of the best standardization of case folder
contents has been accomplished with project
files. Projects frequently are detailed studies
of a particular matter and usually result in the
preparation of formal findings or reports. They
often cover an extended period of time.
Essential papers characteristic of project
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files, hence subject to standardization, may
include :
1. Papers authorizing the project, and
describing its scope, purpose, objectives,
and methodology.
2. Selected samples of documents used
during the course of the project.
3. A document which signifies completion
of the project. The closing document
is usually the final report, publication,
action, or legislative proposal or other
end product for which the project was
authorized.
4. Intermediate progress reports showing
significant stages of development, sum-
maries of data, and special tabulations.
Working and Nonessential Papers
This basic type of record was briefly described
in general terms in chapter III, but that de-
scription was not in enough detail to enable
recordkeepers to pinpoint their case working
and nonessential papers. In every office the
description needs to be restated to fit the case
working papers. kept by the office. For ex-
ample, the working papers for contract cases
are different from the working papers of proj-
ects, or of personnel cases, or of commodity
cases.
Actually, which papers are separated from
the essential papers and are classed as working
or nonessential papers depends on a difference
in disposability. Much of the significant data
in the working papers may be adequately sum-
marized and included in the essential case
papers. Therefore, the bulky working papers
are disposable after a much shorter retention
period after the close of the case, and should be
separated from the essential papers. The
recordkeeper usually will have received guid-
ance from the agency records management
officer so that he makes the right decision in
filing the working papers separately. This
assures that the separation will be in con-
formance with the approved records disposal
schedules for case-filed papers.
Despite the variety of types of working or
nonessential papers on cases, the key point is to
recognize them and keep them separate from
the essential papers. How the recordkeeper
separates working or nonessential papers de-
pends on their `plume, the needs of records
users, and the frequency and ease of eventual
records disposal.
Possible varieties of case working or non-
essential papers may be illustrated by a typical
project file. Projects can generate:
1. Voluminous, easily recognized collections
of cards, questionnaires, summary sheets,
and other background papers involved in
gathering and' tabulating data. These
would be in separate drawers or cabinets
from essential documentation papers.
2. Short-lived correspondence or papers
involving routine administration of the
case, transmitting papers between head-
quarters and field offices, and the like.
These have no more value than general
correspondence-type transitory papers.
Short-lived case correspondence may be
kept on one side of the basic case folder,
or in a separate folder behind the basic
case folder, or even intermixed with the
more voluminous separate working
papers, if such a file is established.
3. Peripheral papers-that is other papers
which do not belong with the essential
papers, but which have greater value
than the short-lived correspondence men-
tioned above. These are frequently
segregated within the case folder by
labeling them "temporary" and placing
them on one side of the folder and the
essential papers on the other side. If
necessary, short-lived case correspond-
ence may be intermixed with these
"peripheral" . papers.
Figure 24 illustrates the three separation meth-
ods described above. The United States Civil
Service Commission with the Official Personnel
Folders and the Social Security Administration
with its claim files employ the third method
illustrated.
Potential Case Papers
Offices should standardize the filing of pre-
liminary correspondence and other records
accumulated before a case folder is formally
established. Sometimes preliminary inquiries
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will quicken the establishment of a case. In
any event, potential case papers will often be
referred to and the handling of the inquiry will
be helped by consistency of practice in their
"prefiling."
These papers should be filed in a pending
or suspense file until a final decision is made on
formalizing the case. If a folder is established,
the recordkeeper should remove pertinent
papers from the pending file, and place them in
the case folder. The recordkeeper should also
cut off the pending folder each year, to retire
those preliminary papers not leading to a formal
case. He should check through the folder first,
to make sure he has not overlooked bringing
forward all papers on established cases.
Filing by Name
Filing by name in large case files is not as
simple as it may seem at first. The problem is
to get consistency. Only if standard rules
have been followed, can persons, especially
those who do not do the filing, find records in
an alphabetic file, particularly in a large one
involving more than 2,000 names. Names
with vowels dropped from them, possessives,
names containing compass terms or numerals,
compound words, hyphenated surnames, and
WAYS TO SEGREGATE TEMPORARY FROM ESSENTIAL PAPERS
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name appendages force the recordkeeper either problem. a pro e ? ever, becomes
to formulate his own rules, or to follow those complicated when the exact spelling of the name
developed by the experts.
cannot be established or when a group of people
all have the same name. In such instances
Four authorities which publish standards secondary evidence is introduced to pinpoint
the individual. Common items of secondary
evidence are birth date; street address; tele-
"Rules for Filing Catalog Cards," Ameri- phone number; Social Security number; signa-
can Library Association ture; and physical description such as height,
"Filing Rules for Dictionary Catalogs of weight, color of eyes, sex, and even fingerprints
the Library of Congress" and photographs.
"Rules for Alphabetical Filing," Ameri-
can Records Management Association
"Report of Z-39 Subcommittee on Index-
ing," American Standards Association
Appendix B presents in summary form some of
the generally applicable alphabetic filing rules.
These were compiled by the Department of
the Army.
A document may be many folders away
from where it should be if files personnel do
not consistently apply such standard rules or
their equivalent. Disregarding rules is the
most common cause for "misfiling" of case files
arranged by names.
Names are usually arranged in strict alpha-
betic order, letter by letter, to the end of each
word. Sometimes it is questionable which part
of the name is to be used. The usual practice
in the United States is to use the full surname,
including hyphen compounds, with all prefixes
.and to file exactly as spelled, disregarding um-
lauts, accents, and other diacritical marks
used with foreign names, thus:
d'Alembert Macdonald
Dalton Mayer
de Secour McCall
Devon M'Lean
Di Stefano O'Brien
El-Abd Obst
El Al O'Daniel
Fitzgerald Okin
Fitz-Hugh Tenant
Int'feld Ten Eyck
L'Abbee Vanner
Labor Van Ness
La Chappelle Vonner
MacAllister Von Rath
Similar and Identical Names. Sequencing
papers by verified names should not be a
Where there is doubt about the spelling of
a name, the searcher must be able to scan groups
of names in order to select the individual he
wants. The usual case files practice is to cross-
reference individual names by providing lists
similar to the list shown below:
Berch
Canady
Ebel
Eisenberg
Lisle
McCloud
McElroy
Mueller
Ray
Rhine
Rogers
Sinclair
Smith
Weinberg
see also Baer, Baier, Bair, Baire,
Bare, Bayer, Beir, Byer
see also Birch, Burch
see also Kennedy
see also Able, Abel
see also, Isenberg
see also Lyle, Lysle
see also McLoud, McLeod
see also Mcllroy
see also Miller
see also Rea, Wray
see also Ryan, Rhein, Ryen
see also Rodgers
see also Saint Clair, St. Clair
see also Schmid, Schmidt
see also Wineberg, Wineburg
The National Archives and Records Service
has a staff study, Phonetic Filing, which
describes the phonetic ("soundex") grouping of
similar-sounding names (Johnson, Johnsen,
Johnston, Johnstone, Johnstown, Jonston).
By means of this system, case files on such
individuals can be found even though the
requester does. not know the correct spelling.
Handwritten Names. In some instances
where signatures are used, there are errors due
to difficulty in interpreting handwriting. In
such instances n may be confused with u,
r with i, b or h with li, e with i, a with o, and
so on. The possibility of such errors should
be considered if finding difficulties occur.
Corporate Names. Firm names and other
corporate names are best treated as personal
surnames. As surnames they would be filed
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ignoring articles, conjunctions, and amper-
sands, thus:
Backus, J. C. & Company
Belton, Donald F. & William D. Company
Best, William
Best's Beauty Salon
Bevans and Beverly Service Co.
Beyer, John
Beyer Real Estate
Bill's Barber Shop
Bit of Honey Shoppe
C & C Auto Service
Commission on Waterways
Individual or Organization Names. Record-
keepers will be tempted to file by the names of
persons signing letters rather than by the
names of organizations with which they are
connected. They should consistently file by
organization names and titles. If they are not
consistent in this practice, papers from the
same organizational unit may be in widely
scattered folders within the file. Organizations
change less than the names of individuals
representing them. It is the organizational
commitment which counts.
Alphabetic Distribution of Names. Rec-
ordkeepers should know in advance how much
of a file arranged alphabetically by names of
people will fit under each letter of the alphabet.
For this, Appendix C has been provided. It
is based on national averages of the incidence
of people's names. It reflects in varying
numbers of breakdowns of the alphabet, up to
200, the typical distribution of people's names
under each of the letters of the alphabet.
For example, in a normally distributed file
arranged by names of people, about half of the
guides and folders will be under these six letters
of the alphabet-"S," "B,') 44M," "H," "C,"
and "W." Offices needing finer alphabetic
breakdowns than are included in Appendix C-
such as 750, 1,500, or even 5,000 captions-
should write to the National Archives and
Records Service in Washington.
The Social Security Administration publishes
a list of the most common names in the United
States. The names are listed in alphabetic
sequence, and also by frequency of occurrence
in the Social Security files.
Filing by Number
People recognize, recall, and follow file se-
quences more easily when numbers or symbols
are used. One reason for this is that numbers
or symbols are so much shorter than word
designations.
Operational (identification) symbols, such
as requisition numbers and project symbols,
often best. identify particular work. The more
commonly they are used in speaking or writing
about the work, the more promising they be-
come as file designations for case files. They
are then more likely to be what persons will
already know when the records are needed and
more likely to be shown on records received for
filing.
The four most used numeric systems are:
(1) serial numeric, (2) duplex-numeric, (3)
terminal digit, and (4) numeric coding.
Serial Numeric. Practically all officeworkers
are familiar with consecutive or straight nu-
meric filing, in which the material is arranged
in strict sequence 1, 2, 3, 4, 5, 6, on up. Num-
bers are assigned to records as the records are
created. The newest records have the highest
numbers and are always placed at the open end
of the system. Figure 25 shows case folders
arranged in serial-numeric sequence, a method
generally used when less than 10,000 papers a
year are filed in this fashion.
Duplex-Numeric. A duplex number consists
of two or more parts, separated by a dash,
space, or a comma. For example: 611-201;
096 10 2594; 1401-02; 100, 200, 300. Here
the case papers are arranged in straight nu-
meric sequence by the first part of the
number, and thereunder by succeeding parts
of the number. For example, papers numbered
36-1-1, 1-100-2, and 30-99-60 would be ar-
ranged in the following sequence: 1-100-2, 30-
99-60, and 36-1-1.
Terminal Digit. Normally, under this
method, case files are arranged first of all by
the final two digits, then by the second two
digits (reading from the right), and finally by
the third two digits (reading from the right).
These two-digit groups are known as the
primary, secondary, and tertiary groups. This
arrangement accommodates a million items.
As a general rule, the number of digits used
in the primary, secondary, and tertiary :groups
are determined by the potential range of the
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series of numbers the system is designed to ac- prepare 1 x mple
commodate. For example, if the range is great specialty form is given in figure 26.
enough, three digits may be used. As with
consecutive numeric filing, there is usually some
form of alphabetic key to the numerically se-
quenced material. Figure 25 also shows case
folders arranged in terminal digit sequence.
Numeric Coding. Substituting numeric or
alpha-numeric code symbols for lengthy file
designations otherwise expressed as words is
done largely in connection with subject files.
A discussion of this special type of file sequenc-
ing is found on page 33.
Case Labeling
Complete information is needed on each uni-
formly prepared case folder label. Normally
the label should show both the identifying case
number or symbol and the full name of the
individual or organization involved. Often for
complete identification, labels show the city
and State in which the person or organization
is located. Good case folder labels should be
uniformly prepared, easy to read, precise, and
complete. When an index card is required for
each newly established case folder, carbon inter-
leaved specialty forms are helpful. With them,
both the folder label and the index card can be
FOLDERS IN NUMERIC ORDER
14-
Papers. Letters, to be identified as case
papers, should 'bear the case identification
(label) number or symbol on their face. This
may appear at the top of letters in the "in
reply refer to" line or under the identification
of the office, writer, and typist at the bottom
of file copies of outgoing correspondence. Form
designers should. always allow on forms a
"filing space" for the case number or name.
Guides. Guide card labels for case files, visibly
reflecting the name or number sequence, can
be relatively simple. In normally active files,
if the case folders are alphabetically arranged
by names, usually only enough guide card
labels will be needed to provide one guide
signpost (showing alphabetic letters) for about
10 case folders. In larger case name files, there
may be as. many as 10 or more folders under
such common names as "Smith," "Jones," or
"Brown." Guide tabs may also be needed as
signposts for the folders filed under each of
these common names.
For numbered case files, recordkeepers
normally need guide card labels to reflect
numeric breakdowns of the file at regular
FOLDERS IN TERMINAL
DIGIT ORDER
,qw
Fs ure 25 41
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M INATION INDEX FORM AND GUMMED FOLDER LABEL
v sscssl ssnvics I os' Is> eaeo w urc xusxrs
_ crs s ss 4
rxus. osr ., ccxa nes nx-sn
intervals, the 10's for example. Particularly
for serially numbered case folders, even fewer
guide cards may be needed than for alpha-
betically arranged folders. Figure 14, page 18,
gives examples of case file guide card labels.
Subdividing the Case File
In most instances, papers in individual case
folders are arranged in date sequence, with the
latest material placed on top. Normally if a
folder becomes too full (more than 75 to 100
papers), a new folder should be established.
The tab of the closed folder should show the
beginning and ending dates of the materials in
it. The new folder tab should show the be-
ginning date of material, and the new folder
should be placed in the file in front of the old
folder.
If more than two folders are required to
keep the papers easily findable in a single case
history, it is advisable to break down the case
by subject topics. Figure 27 illustrates pos-
sible subject breakdowns for a research project
concerned with tomatoes. Usually, offices
e. usisrso urscoev
adopt the same subject topics for all cases
within the file that are sufficiently voluminous
to require subdividing by subjects.
FOLDERS ARRANGED IN
SUBJECT ORDER FOR
VOLUMINOUS PROJECT FILE
B-7 Reports
8-7 Data
B-7 Manuscript
A81-7 7 Development
cedures
B-7 A_thrizations
BV-7mp? orr Y
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VII. STANDARDIZING EQUIPMENT AND
SUPPLIES
What are the standard equipment and supplies to be found in the Stores
Stock Catalog?
Why use letter size equipment and supplies wherever possible?
When do we use shelf filing?
What are the recommended standard guide cards, folders, and folder labels
for most files?
What are guide cards for?
How do we use guide tab positions?
How do we caption labels?
Do colored labels help distinguish files?
The Federal Supply Service of the General
Services Administration publishes a Stores
Stock Catalog listing available files items.
These have been designed, tested by experience,
and standardized to meet the needs of the
Government. Usually agencies select their
filing equipment and supplies from this catalog,
although they may have issued supplementary
instructions which their files personnel need to
know.
Government filing equipment and supplies
are standardized to suit the papers most offices
file. As most papers are less than 8% inches
wide, but of varied length, Government filing
items are principally two sizes, letter and legal.
Figure 28 shows the generally accepted dimen-
sions of these sizes. Shelf files use folders %
inch shorter than those designed for filing
cabinets.
STANDARD GOVERNMENT PAPER
AND FOLDER SIZES
Select Letter-Size Equipment and
Supplies
Letter-size equipment and supplies are 5 to 10
percent less expensive than legal size; hence
offices can seldom justify using legal size. In
addition, legal-size filing equipment requires
'20 percent more floorspace, and space may be
an expense factor. Records managers through-
out the Government are trying to get legal-
size paper reduced to letter size. Until they
succeed, files operators should fold legal docu-
ments to letter size before filing. Folding
papers can be expensive, however. If 20
percent or more of the papers to be filed are
legal size, it is less expensive to use legal-size
equipment and supplies.
Standard Vertical Filing Cabinets
To house records and make them readily ac-
cessible, the following general-purpose letter-
size filing cabinet listed by the Stores Stock
Catalog is recommended :
For Correspondence :
Gray-finish steel upright filing cabinet.
Five-drawer unit, letter size, without lock.
Stock No. 7110-286-3799.
At the present time this letter-size cabinet costs
about $50 delivered. Plungers or keylocks are
available at extra cost, but they do not meet
document security requirements and are not
considered tamperproof.
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Most offices still using the old four-
drawer cabinet will want to plan for the new
standard five-drawer cabinet. It has 25 per-
cent greater filing space, but since it is 5%
inches higher, its top is less accessible as work-
space. It has no guide rod channels in the
file drawers; so to convert old guide cards,
the rod projections at the bottom must be
cut off. Part of the greater filing space comes
from deeper file drawers, providing 234 inches
more filing space (2634 inches inside clear di-
mensions). If four-drawer cabinets, placed
back to back with a 36-inch aisle, were replaced
by the new style, the aisle would be reduced
by about 4 inches.
Hints in Using Filing Cabinets
? Offices are expected not to procure addi-
tional filing cabinets as long as there are
inactive records in the office. If inactive
records are disposed of or transferred to
records centers, more cabinets may not be
needed.
? Files should not be shifted without
changing drawer labels.
? Most offices use the middle cabinet
drawers for the most active material,
saving the bottom or top drawers for
less active files not yet removable from
the office. Older cabinets, which do not
work as well as new cabinets, may also
be used for less active files.
? If more than one drawer at the top is
opened at a time, the cabinet can tip over.
Safety requires all drawers to be closed
when the user has finished.
1 drawer for each 4,000 sheets of active
records or 1 for each 5,000 sheets of inac-
tive records.
Standard Shelf Files
The standard shelf file, shown in figure 29, saves
space and equipment money when certain files
maintenance conditions exist. A shelf file saves
space by storing in the same floorspace about 20
percent more records than a filing cabinet can
store. Although a standard shelf file will cost
more than a standard filing cabinet because
transportation charges are added to the price,
a shelf file will house about twice as many
records as will a filing cabinet. How shelf files
do this is explained in a pamphlet, Standard
Shelf Files, published by General Services Ad-
ministration, Washington, D.C., in January
1961.
Shelf files also save personnel time in those
file operations where more time is spent on
finding than interfiling. Recordkeepers place
papers into folders (interfiling), and they
extract papers from the folders or remove the
entire folder from the file (finding). The
time spent on this work can be computed, at
least during a test period. Studies show that
finding is faster from shelves than cabinets, so
that if the finding total is greater than the
interfiling figure, then shelf files will save staff
time. If shelf files do not save time, however,
they are not likely to be a good investment un-
less the space involved is office space costing the
Government over $3 a square foot.
? Cabinet drawers should not be wasted on
large stocks of blank forms, office sup-
plies, or office publications. If more than
a half a cabinet is required, it is usually
more economical to house the material
in transfer drawers, supply cabinets, or
shelving.
? Recordkeepers need to know how many
file drawers the office will fill each year.
They should reserve adequate growth
space to last until file cutoff or disposition
time. Shifting files is hard work that can
generally be obviated by planning. To
compute the space, records officers allow
Although assigned a Federal stock number,
standard shelf files are not presently included
in the Stores Stock Catalog. As of the publi-
cation date of this handbook, standard shelf
file units are obtainable from specified manu-
facturing companies who have entered into an
annual contract with the Government to fur-
nish them in accordance with procurement
regulations. The following is a brief descrip-
tion of the standard letter-size unit.
Cabinet, 7 shelf, letter size, no posting shelf,
set up. Stock No. 7110-817-0665. (Cost-
about $50, f.o.b., point of manufacture.)
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020023-7
Successful shelf filing usually requires special- Stock Catalog. The cost of guides (about 12
type guide cards, folders, and chargeout cards cents apiece) and of folders (about 3 cents
with tabs on the side rather than on the top. apiece) must be figured into any estimate to
These, however, are available from the Stores determine the feasibility of shelf filing.
STANDARD SHELF FILE AND SUPPLIES
- ......::!~::..........~_?-tai .............
./ ..:333!3i3i?'iiii!3!!"!i!i!i3"i3ii3ixiirJ,3i3ii3EE~3~r?tiiiiiEEEE'1E33E!ii~fii"!iiEiE!'!33i3i333!ii3i333!3333:i333333!!333!3
..:3i!i::i'.33i!~33!!!33~i~ 33?~3u?.33:tttii3!3i:3Pii:i~ ii~!:'::::.Y::::::::~'::::.{::::::::1t~:ii::::~:i::::
Shelf File Dimensions
Letter: 84"X363/4"x14"
Legal: 84"X363/4"X17''
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020023-7
Special Use Equipment Guide Cards as
The Stores Stock Catalog lists a variety of
vertical file housing equipment for 3- by 5- or
5- by 8-inch cards, ranging from a 1-drawer
cabinet to a cabinet with 10 double drawers;
it also lists various types of guides for card
records. For oversize maps, drawings, or
tabular records, it lists a 5-drawer special
filing cabinet in which each drawer is 41%6 by
53% inches. Many other sizes and types of
oversize file housing are available commercially.
Some extremely active records are best
housed in visible card equipment, rotary card
equipment, mobile filing drawers, and other
special devices. These are not available from
Federal Supply, but must be purchased accord-
ing to agency regulations. In any event,
equipment of this kind should not be purchased
until its probable use has been reviewed by the
agency records management officer.
Supplies for Files Arrangement
An efficient files system needs to make the logi-
cal framework so visually clear that, at a
glance, the organization of the files is obvious.
This goal requires full use of guide cards,
folders, drawer labels, shelf labels, folder labels,
or colored labels. Figure 30 shows how labels
direct a recordkeeper to the desired paper.
LABELS AS FINDING AIDS
Supports
Signposts and
Standard guide cards are primarily "signposts."
They have a protruding metal tab with a
"window" which is angled to make the inserted
label caption clearly visible. This angle males
each guide card far more visible than the
square-cut self-tab of the standard general-
purpose folder.
Standard guide cards are available with the
tabs either in three different positions (third-cut
guides), or in five different positions (fifth-cut
guides). Figure 31 illustrates the features of
standard third-cut guides. Normally, third-
cut guide tabs are used for long captions com-
posed of words, and fifth-cut tabs for short
captions composed of letters or numbers.
STANDARD THIRD-CUT
GUIDE TABS
Guides reduce the area of search. An
analysis of figure 32 will show why. A filled
file drawer is not likely to contain fewer than
40 folders. Without guides, the eye must
rove through the entire lot. With a minimum
of four to six evenly distributed guides in the
drawer, less looking is needed.
Guide cards are also supports. They help
the folders stand erect in a file. This is be-
cause of their stiffness, in turn dependent
upon their thickness. Four to six standard
pressboard guides evenly distributed within a
file drawer will help to keep folder labels visible
by preventing the bottom of one folder from
slipping underneath another. Figure 33 de-
picts the need for support given by guides.
46
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 2001/0 Approved For
GUIDES REDUCE AREAP64 T~%F00020023-7
WITHOUT GUIDE TABS
At least 50
folder labels
to search
Guide Tab Positions To Show
Subordination
Guide tabs can graphically display the relation-
ship of subdivisions to the larger headings
of a system for arranging files. Since there is
a choice of three or five different positions of
the tab, particular tab positions can be con-
sistently used to show the relationship of the
broad to the more specific breakdowns of a
files arrangement.
For example, in a subject file, first position
guide tabs can show the primary or broadest
topic headings, second position tabs the first
level of subtopics, and third position tabs the
further breakdown of subtopics. Different
guide tab positions can also be used to show
subordinate levels within geographically ar-
ranged files. See figure 34.
A less satisfactory alternative is to place
the folder labels in different positions across the
folder tab. In this method, the guides might
be limited to selected primary topics only.
The folder label method is less expensive, but
does not provide as visible signposts as guide
cards do.
Hints on Using Guides
9 A guide card for every two or three
folders is wasteful. Highly active files
may properly have an average of six
folders to a guide. Normally active
files would have more folders to a guide,
perhaps 10, depending on the complexity
of arrangement.
Guides for inactive cutoff files are not
needed if folder labels are complete.
One complete set for active files is enough.
Recommended guide cards are pur-
chased from the Federal Supply Service
in quantities of 100. All 100 guides
in a box have the same tab position,
the same cut (third or fifth), and the
GUIDES RIEDUCE FOLDER SAG
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 Approved For Release 2001/07/17 :.CIA-RDP74-00005R000100020023-7
same size (letter or legal). Fifth-cut
letter-size guides cost about 5 cents a
piece, while third-cut letter-size guides
cost about 6 cents a piece.
Recommended File Folders
An open binder for housing papers, known as a
folder, has been used for filing since early in
this century. From the wide variety of folder
styles listed in the Stores Stock Catalog, four
types are recommended. Figure 35 gives the
basic features of each of these four.
The general-purpose kraft folder is designed
to meet the normal records requirements of
most offices. The need for one of the other three
types would be less common. For example, for
records with a retention period of less than 5
years or for infrequently used records, the
inexpensive lightweight manila folder is often
preferred. For offices needing folders that can
be heavily loaded and receive abnormally rough
or extensive use for a period longer than 5 years,
there are two heavyweight folders to choose
from. Of these two, the pressboard type is
more rugged and holds more records than the
? Double-thickness reinforced standard
folder tabs lengthen folder life. They
require separate folder labels unless the
recordkeeper handwrites directly on the
tabs, since the thick tabs will not fit under
the roller of a standard typewriter for
direct typing. Recordkeepers wanting
to type directly on the tab should use
the 9.5-point manila folder with a non-
reinforced tab.
? Normally it costs more in labor than it
is worth to salvage inexpensive standard
folders when disposing of papers kept for
several years. Removal of fastened
papers is especially time consuming.
? To "overfolderize" is wasteful because
the folders will have too few papers in
them. In a subject file, overfolderizing
is avoided by checking the folders at file
GUIDE TAB POSITIONS SHOW LEVELS OF SUBORDINATION
kraft type, but is approximately twice as
expensive. Both have built-in fasteners since
records getting suck hard use need to be
fastened.
Hints on Using File Folders
2nd position guides,
first bieakdowns
48
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 ApprovedRECOMMENDEFor Release FORODQ;SRQ.~EOQ~Q07
Type (100 to a box)
Thickness in
points i
Tab
GENERAL PURPOSE
Kraft (147 pounds) _ _ _ _ _ - _ _ _ _
11
Square cut, with third-cut score marks.
Stock No., letter size:
Reinforced, double thickness extending
7530-634-4917.
the full length of the tab.
Cost: about $1.40 per
hundred
SPECIAL USE
Lightweight Manila_ _ _ _ _ _ _ _ _ _
9. 5
Nonreinforced, square cut.
Letter size, about $1.00
per box-least expensive
available.
Heavyweight Kraft----------
18
Nonreinforced, square cut.
Heavyweight Pressboard
25
Angular metal, third cut only. With
blank, white, perforated inserts and
-
cellulose acetate window protectors.
All 100 folders have the same position.
When ordering, specify position desired.
i One point is one thousandth of an inch.
2 Prices for catalog items are quoted from the September 1963 "Stores Stock Catalog."
disposal time, and not preparing new
folders for little used topics. In a nu-
merically arranged case file with only a
few forms for each case, a folder is not
needed for each case. Offices place up
to 75 items in 1 folder to meet this
situation.
A few special types of papers may not
require file folders for housing. In a
technical reference file, many of the
publications can be kept directly be-
tween guides. In some offices, reference
materials are housed in red fiber filing
jackets, without flap and with up to
3%-inch expansion. These filing jackets
are listed in the Stores Stock Catalog.
Labels
While guide card labels are the principal file
signposts, drawer labels and folder labels also
help to find or file faster in the right folders.
Drawer labels narrow the search to one drawer,
guide labels to several folders, and folder labels
to the contents of one folder.
To make the, organization of files visually
clear, offices depend upon accurate and complete
label captions to identify the contents. The
more complex the system of guides, tabs, and
placement of folders, the more carefully the
wording of the labels must be planned.
Labels should be in large type-executive if
possible. Neatly handwritten or printed let-
ters, numbers, or symbols are acceptable; but
the small space available often makes hand-
written words illegible. Colored drawer labels
(card stock) will help identify separate files,
and different-colored standard folder labels also
can identify separate files or different kinds of
papers within a particular file. Commercial
companies offer various colored guide window
protectors to aid in distinguishing type of files.
Drawer Labels. Usually the first label read
is a drawer label. To guide the user properly,
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 Apyo
Xou-ld norma~ly sphow01(1) the filelA~RD~2}4-0 00 and an 05R0 oversize 010 20 label. Self-adhering (pressure
the years covered (especially if files are broken sensitive) labels do not require moistening.
periodically), or a distinction between active The general-purpose, self-adhering label is
and inactive files, (3) the kind of filing arrange- intended for captions comprising three or less
ment the file follows, and (4) the segment of typewritten lines. The gummed oversize label
the particular file included in that drawer. is for captions of more than three typewritten
Guide Labels. The second label usually needed lines such as lengthy project or publication
titles, or for captions which include files disposi-
is the guide label. It should clearly give an idea tion or other instructions. Figure 36 illustrates
of the contents of the folders which follow. In the features of these two labels.
man
i
t
hi
l
y
ns
ances t
s
abel will be identical to
the label on the first folder which follows the
guide. For example, in an alphabetical ar-
rangement, a guide card for "AG" would be
followed by a folder marked "AG," though the
next folder might be "AL," and so on. Be-
cause often as many as 10 folders are behind
one guide, the record user must glance at the
following guide card to know the span of
folders covered by the first guide. In a sub-
ject file, the guide card should show the file code
symbol, if there is one, as well as the topic.
Folder Labels. In a sense, the entire files
system is planned to bring the user speedily to
one folder. If the label of that folder does
not completely and exactly identify the con-
tents, however, even the best files system falters.
A good folder label should reflect in no more
than three typewritten lines: (1) the specific
name, letter, geographic location, topic, number,
or symbol identifying the contents of that
folder; and (2) the place in the files arrange-
ment of that folder in relation to the guide
cards and to the other file folders. For the par-
ticular purposes of an office, occasionally the user
may need such further identifying information
as: abbreviations identifying a particular sepa-
rate file; names, titles, or topics which a par-
ticular symbol may stand for; disposition instruc-
tions; and inclusive dates of materials if the
folder gets too full and must be split.
Recommended Folder Labels
Two different styles of folder labels are recom-
mended, a general-purpose, self-adhering label,
RECOMMENDED FOLDER LABELS
General Purpose
SIZE -------- 3/2 x % inch. Three typewritten
lines fit on labels.
QUANTITY-- 248 to a box-8 labels to a
sheet, 31 sheets to a box.
Available in plain white, or
with 7 different color identi-
fication strips, %2 inch wide.
When ordering, note different
stock number for each color.
COST________ About 25 cents a box.
METHOD Self-adhering. After typing,
OF AP- peel each label off backing
PLYING. sheet and apply directly to
front of folder tab.
Special Long Caption
SIZE________ 3% x 1% inch. Four type-
written lines will fit on
labels, leaving room for
label foldover-more lines
if label is not folded over.
500 labels to a box in a con-
tinuous perforated fanfold
strip.
Available in plain white, or in
buff, pink, blue, or green.
When ordering, note different
stock number for each color.
COST------- About 15 cents a box.
METHOD Moisten back. Usually fold a
OF AP- segment of the label over the
PLYING. folder tab.
50
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VIII. MAINTAINING THE FILES
How often should we file?
How do we assemble directly related papers?
How do we choose the proper file designation for each paper?
When do we cross-reference papers?
How can we use extra copies as indexes or cross-references?
How can we sort papers for faster filing?
What filing aids are available to help us put away papers faster and more
accurately?
How can we keep files neat and usable?
How can we keep control of papers which leave our files?
How should we lay out our records equipment?
What is the cost of misfiling?
In one office, people will look at an index, try
one file, find a cross-reference, drift from
drawer to drawer, fumble from folder to folder,
peer into paper after paper. In another office
they go straight to the right paper in the right
folder in the right drawer in the right filing
cabinet. The second office has learned its files
maintenance lessons.
Filing Daily
Too many people let materials go unfiled too
long. They let papers accumulate on desks,
on tops of tables or cabinets, in boxes, or in
drawers. They finally take action when the
clutter grows unsightly.
Papers ought to be put away daily. The
operating routine is to (1) check and sort,
(2) mark the file designation, (3) index or cross-
reference as necessary, and (4) file.
Daily filing is better than weekly or other
periodic filing chiefly because the papers most
frequently asked for are those most recently
received. Seeking them in a large stack of
miscellaneous unfiled papers is slow and tedious
work.
Checking and Sorting
the office forthwith, those to be discarded,
and those to be acted on as required. If the
amount of papers warrants, those separated
for filing in the office may be sorted into as
many stacks as there are separate basic file
types. These were described in chapter III.
Those papers "not to be filed" are most
likely to include: (1) papers which agency
rules direct to be sent to another location for
filing; (2) papers to be circulated in the office
prior to filing; (3) papers authorized to be
destroyed; (4) papers concerning incomplete
actions which require suspense or followup
control, or incomplete papers for which some-
one must attempt to collect the missing papers
or data; (5) personal papers mistakenly placed
in the "file" basket; and (6) papers presumed
to be filed but which lack a mark authorizing
filing.
File Authority.. With respect to (6) above
the well-managed office does not file papers
until the proper official has, in effect, "certi-
fied" the need for filing. This authorization
may be his initials, a checking symbol (V), or
the word "file." Documents not bearing such
authorization, plus any others which the record-
keeper is not sure are ready for filing, should be
returned to the principal involved.
The first step in daily filing is quickly separating
all papers into groups: those to be filed in
File authority is not required on docu-
ments that obviously are ready for filing as
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soon as they are prepared. Examples of these paper, or routing slips
documents are the suspense copy of a mail information.
control form, a memorandum for record pre-
pared for file only, a signed receipt for a classified
document loaned or transferred. In addi-
tion, file authority may not be required on
documents placed in library-type accumulations
for reference use, such as reference copies of
publications or copies of messages placed in a
message reference file. However, before filing
a reference publication the recordkeeper should
be certain it is definitely needed, as explained
in chapter II.
Inspection for Completeness. To assure
sufficiency of documentation, the recordkeeper
must assemble directly related records. For
case-filed records this means filing together the
incoming letter, a copy of the reply, and any
pertinent attachments or enclosures.
For a transaction involving general corre-
spondence subject files, files personnel (1) re-
move any earlier correspondence already , on
file, (2) ascertain if any segments of the current
correspondence are lacking, and (3) assemble
the complete papers in reverse date order
(earliest papers at the bottom of the pile).
This is often called filing "under date of latest
action."
If action is complete but essential docu-
mentation is missing, an attempt should be
made to obtain missing papers or copies of
those papers. If the needed papers are not
obtained, a notation, "NR" (No Record) is
placed on the related file paper.
Normally, a recordkeeper staples the as-
sembled file in one or both upper corners.
Wire staples are inexpensive, easy to apply and
remove, cause little damage to file material,
and can hold a fairly large number of papers.
If there are more than 30 to 35 pieces of gen-
eral correspondence, a prong fastener may be
used. The recordkeeper should not use file
backing sheets or covers, however, unless he
has a special need to protect papers. All over-
size papers should be folded neatly or clipped
at the margin, otherwise they can hide a label
and thus lose a folder in the file. The record-
keeper should strip from papers to be filed
any envelopes, duplicate copies of the same
not containing record
Marking the File Designation
(Classification)
The second step in the daily filing, that of
determining and marking the file designation,
should remind every recordkeeper that classi-
fication is the vital key to fast, efficient reference
service. Much of this handbook, particularly
chapters III, IV, and V, has been concerned
with classification problems.
Case Files. The recordkeeper must decide
whether to use the case identification, usually
already somewhere on the paper, as a file
designation or to mark the file designation on
papers. If the case numbers or symbols are
prominent, he can file by them; if they are not,
he can highlight them by underlining or circling.
For case files arranged alphabetically, usually
the significant words or phrases of the identi-
fication are underlined. For some papers, the
recordkeeper may have to write a name, title,
or location to serve as a file designation. For
example, he has a case file arranged by regions
and alphabetically by names of persons there-
under, but a paper to be filed shows no region.
He should write on the paper the region name
or number and underline the last name of the
person concerned.
Subject Files. Figure 37 illustrates the steps
in determining the proper file designation for
the harder-to-file general correspondence rec-
ords. As earlier indicated, subject files present
difficulties because the recordkeeper must study
and master the meaning of the subject topics
before he can file under them.
Basically the recordkeeper can follow the
same steps to select the proper file designation
for technical reference materials filed by subject.
Since publications have titles to aid in quickly
determining what they are about, he should
hesitate before filing them under another
subject.
Indexing and Cross-Referencing
Some papers either may be called for by more
than one filing feature or may concern more
52
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 tiAppr_*Ve E5Wcp,q*,seo?OQIIQ?/17h' f W DP74-0g9g5 ~,QA~Q00 002 ?0,, .0 , _---
recordkeepers provide separate indexes or
interfiled cross-references to such papers.
These finding aids open as many avenues of
reference within the files to particular records,
as the recordkeeper might expect persons
asking for papers to use when identifying such
papers.
This "See also" effort can be overdone and
much time can be wasted. Recordkeepers
should not depend on indexes or cross-references
as crutches. Instead they should decide the
one most likely way the bulk of the papers will
be requested.
Separate Index Files. In choosing the one
descriptive filing feature of the papers upon
which the filing arrangement of a particular
file group was based, the recordkeeper may
have recognized 'that records users may call for
papers by a second filing feature. See chapter
IV for a description of filing features. The
recordkeeper has, for example, established a
geographically arranged file but also receives
requests for papers by names of organizations
concerned. If he has not established a separate
index by organizations, he may need to search
through the entire geographic file when he
knows only an organization name. The time
wasted in making such extended searches could
easily justify the effort required to install a
separate index and to keep it complete and up
to date.
of the individual papers placed on file is needed,
the answer may be an index comprised of extra
copies of documents, supplemented as required
by the standard cross-reference forms shown
in figure 38. An example would be an alphabetic
Name Index to a general correspondence
subject file.
Extra copy letter-size indexes have advan-
tages. When extra copies can be used, no
time is spent in writing on a cross-reference
sheet a summary of the content of the main
file document. If the need for extra copies is
known in advance, the typist can make addi-
tional ones at. very little cost. Even a copy
from a rapid copy machine may be cheaper
than a completed cross-reference form. It
follows that the recordkeeper should prepare
cross-reference forms only when he cannot
readily obtain copies.
An extra copy index is not suitable,
however, when a separate source of reference is
needed to a complete case folder, rather than to
individual papers within a file. Instead, an
index on cards, visible strips, or on some other
medium is needed. Card indexes are also used
for files requiring intensive indexing, such as a
technical reference file paralleling a library
situation.
Interfiled Cross-References. Even in well-
planned files, some papers being classified re-
CLASSIFYING SUBJECT CORRESPONDENCE
Step 1:
Read and analyze the letter to
determine subject matter content.
Step 2:
Use the subject outline and the
relative index to select exact topics
and file codes.
Step 3:
Mark selected topics or
codes on the letter.
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 nnr-r-23
Approved For Release 2001/07/17 (In PDP7d nnnn5Qnnn T1VV
vcvvv 7
02
CROSS-
REFERENCE
(Name, number, or
subject under
which this form
is filed)
IDENTIFI-
CATION
OF
RECORD
0*0
(Illustrates a subject cross-reference topic
under which this form is filed)
(Thu date
the olinthe g dateu of this form)~es as
BRIEF
SUMMARY
OF
CONTENTS
FILED
(Name, number, or subject
under which the document
itself is filed)
J. Smith, Director, El Paso, Tex. (Organizational titles or location
-- may be needed to identify whom a
R. Henry, Records Management Officer fetterie to orfrom)
Comments on inspectn of recrds mgmt procedures in offices;
explains advntgs of & recmds installing OF 21, Cross-Ref form,
sample enc.
(Use understandable abbreviations in summarizing the contents of documents,
or in indicating organizational titles or locations in the "To" or "From" captions)
(Illustrates a subject topic under which
the record could be filed)
INSTRUCTIONS FOR USING CROSS-REFERENCE SHEETS
Prepare Cross-Reference sheets when (1) a document contains more than one name, number or subject
under which it should be filed, and (2) sufficient copies of the record itself are NOT available for this
purpose.
SINGLE CROSS-REFERENCE-Select first sheet from pad, enter cross-reference caption in open space
opposite -.
TWO CROSS-REFERENCES-Select first two sheets from pad, enter first caption in open space
opposite->, enter second caption in a shaded space that matches the open space on the second sheet.
THREE CROSS-REFERENCES-Select first three sheets from pad, enter captions in all three spaces
provided.
SPECIAL USE OF CROSS-REFERENCE SHEETS
is removed
to l correspoReference when dence in a current file.
A asingle cutoff Cross-Reference
forward and attached Continuity
file and e brought sheet
from
1. Use the "Cross-Reference" space to enter the subject from which the document was removed.
2. Identify the document as illustrated above.
teleTor" and "From" dument is if it is different from the
show the
and date. to describe
3. the subject "Filed"
letter being brought forward.
Optional Form 21
SA Circular 259
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 9Appmvo&fFm'FsMesaeiiWIIQ77d rriogkN P74-OWRipkgRPaOANOEXTRA COPY AS
papers of the regular subject or case files, or
A CROSS REFERENCE
possibly among the "extra" copy index files.
Two common conditions that require inter-
filing cross-references are :
1. A record may concern more than one
subject, case, or name. It might well be
called for by any one of its multiple
subjects, names, or case identifications.
Hence a cross-reference is needed for
each way it could be requested.
2. Papers that would normally be filed in
separate locations may need to be filed
together. Common examples are the
filing in the current file of items that
were previously housed in a "closed"
file, or of security classified papers having
a direct relationship to material in un-
classified files.
Typically, a well-organized subject file in an
office will not require more than one interfiled
cross-reference for every 10 papers filed. Cen-
tral records units may require a higher percent-
age of cross-references than would be required in
individual offices. When the number of cross-
reference copies or forms in the files outnumber
the items being cross-referenced, either the
file classification system needs revision, or the
operator needs additional training. Sometimes
both situations occur at the same time. When
either or both situations develop, it is time to
ask the agency records management officer to
make a special survey.
As was the case with letter-size separate
indexes, interfiled cross-references may also be
either special letter-size forms (figure 38) or
properly marked extra copies of documents
(figure 39).
Standard Cross-Reference Forms. OF Form
21, "Cross-Reference," available from General
Services Administration Stores Depots, may
be used for preparing either needed letter-size
separate index references or interfiled cross-
references. The cover sheet of the pad of
forms (figure 38) contains a completed sample
form and instructions for using the form. This
general-purpose form can be used either for
cross-referencing a record involving more than
one subject, name, or case identification, or for
associating related papers in the file. It also
n and
Underlining identifies
the file location of this
cross reference copy
Figure 39
could be used to show that a paper was reclas-
sified and moved in the file. In reclassification
actions, the typical practice is to type "Reclas-
sification" at the top of the form.
OF Form 22, "Continuity Reference," also
available from Stores Depots, can be used only
to indicate that a record has been moved from
one place in the file to another, usually in a
general correspondence subject file. The form,
depicted in figure 40, is often used to indicate
that correspondence has been brought forward
from a cutoff subject file for attaching to a
letter in the current year's file. It is available
primarily for those agencies which prescribe a
separate cross-reference form for this type of
cross-reference.
Permanent Cross-References. This special
type of cross-reference is used primarily for
change of names. In name case files, it serves
in such instances as the renaming of an orga-
nization, the merging of two or more organiza-
tions each with a case folder, or the changing
of a woman's name by marriage. When such
a change occurs,, the recordkeeper can indicate
on the tab of a half folder (the back leaf) the
name or identification of the old file designa-
tion (under which the half folder is filed), and
after the words "Filed Under," the name or
identification now serving as the file designation.
Figure 41 illustrates this.
A half-folder cross-reference provides a
more visible finding aid than a single cross-
reference sheet interfiled among the papers of
a case.
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 DESCRIPTION OF CORRESPONDENCE OR DOCUMENT BEING BROUGHT FORWARD
SUBJECT
(Under which this to
is filed)
BRIEF SUMMARY
OF
CONTENTS
Comments on inspectn of records mgmt procedures in office;
Discusses instaling OF 21 Cross-Ref Form, sample enc.
BROUGHT FORWARD and filed with the documents described below
which both latest letter and brought forward letter
are now filed)
P. JorW Chief, Audit and Inspection
FROM R. Henry
INSTRUCTIONS FOR USING "CONTINUITY REFERENCE"
Prepare a "Continuity Reference," to:
1. Replace a piece of correspondence which is being moved from one location in a file and is being, refiled
in a different location under a later date. Examples: (1) Bringing together all correspondence relating
to a single transaction-(2) Moving correspondence to the current year's file from a file cutoff as of
December 31, last year.
2. Substitute for a record when the subject under which it was originally filed is changed. When the
form is so used, it is unnecessary to correct or change any index references to the former subject title.
NOTE: Cross-Reference, Optional Form 21, may also be used for this purpose. See instructions on
cover of Optional Form 21 when the Cross-Reference is used as a Continuity Reference.
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drawer as the reader faces it so that all filed
CROSS-REFERENCE
documents can be read as a book.
Fastening Papers. A common file standard
is "file the papers loose." General correspond-
ence records in a subject file need not be
fastened to the folder.
Only Back Leaf of Folder
Figure 41
Placing Papers Into Files
All paper clips, pins, and rubberbands should
be removed before papers are filed. Torn pages
should be repaired by the use of transparent
pressure-sensitive tape.
Normally before placing papers into folders,
recordkeepers should sequence them to parallel
the actual arrangement of the files themselves.
In many offices, if filing is done daily, the small
amount of papers to be filed will warrant only
a rough sort into separate stacks for each
separate file group in the office. Usually,
table sorting into trays should be sufficient for
this low volume. However, should there be
enough papers that the recordkeeper needs
finer sorting to approximate the sequence of
folders within a particular file group, he can
use a standard 25-division desk sorter.
Desk-sorting equipment is designed to sort
from 100 to 500 papers in one sorting operation.
Desk sorters have a series of dividers between
which papers are placed in a horizontal position.
See figure 42. Sufficient space (% to 1 inch) is
provided between each divider for ease in
sorting, and the distance between the first and
last divider is not so great as to prevent easy
reaching. A desk sorter may be improvised by
stapling a series of file folders together with
about 1 inch of each folder visible for labeling
purposes. A desk sorter which holds papers in
position is desirable if volume warrants or when
the recordkeeper is frequently interrupted by
other work.
Documents should be placed in the folder
with the latest dated material on top and with
the top of the sheet toward the left of the file
Unless the entire folder is charged out from
the file, as case folders often are, and in addition
travels about an office, fastening papers to
folders with prong fasteners is unnecessary.
This practice more than doubles the time
required to place papers in the file. If case-
filed materials must be fastened, folders with
built-in prong fasteners have been found to be
easier and quicker to work with than folders
without built-in prongs. Many offices do not
punch and fasten the material until the folder
is charged out.
Match File Designations With Folder Labels.
A recordkeeper can reduce troublesome misfiles
if he matches the file designation of each paper
with the folder label before placing the paper
into the folder.
Use Filing Aids To Save Time. Fortunately
there are many filing aids to speed records
work. The larger the files operation, the more
time is saved by using the aids and devices
depicted in the double-page spread, prepared as
figure 42.
Folder Thickness. The contents of a thick
folder should be checked as documents are
inserted. The recordkeeper should identify
and remove those documents of sufficient
volume to require preparation of separate
folders for them. Sometimes further subdivi-
sion may be required. For example, in a Name
Index to a subject file, the contents of a folder
should be subdivided and a new folder estab-
lished when 10 or more papers for the same
name are accumulated.
When the contents of any folder reach
three-fourths inch in thickness and they can-
not be properly subdivided further, the folder
should be cut off. The inclusive dates of the
contents should be added to the folder caption.
An identically captioned folder should be
placed in the file immediately in front of the
cutoff folder. The new folder should begin at
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FILING AIDS AND DEVICES
PHOTOCOPY MACHINE
FOR QUICK COPYING
Best for rapid reproduction when
one or several copies of a file
document are needed.
METAL PRONG FASTENER
Best where it is essential to
secure papers in case files.
TWO-HOLE PERFORATOR
Best in preparing material for case files.
Punches holes accurately spaced for neatly
securing papers in files.
Wire staples best for
fastening several papers
filed loosely in a folder.
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FILING AIDS AND DEVICES
Allows clerk to keep
hands free for filing.
Sipeledls' slorting and
filing of papers.
Keeps papers to
be filed in order.
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a logical time such as the beginning of a month straighten the contents of the drawer. If
New or additional file folders should be
prepared immediately after the need for them
is discovered. Figure 43 illustrates the problem
of overfull folders.
Keep Folder Labels Visible. Every folder label
should be readily visible. When papers rise in
the folder to obscure the folder label, the
contents should be "tamped down" by gentle
shaking. As folders become filled with papers,
the recordkeeper should crease the scoring at
the bottom of the front folder leaf to cause the
papers to rest squarely on the bottom of the
file drawer. Then the papers will not rise and
cover the folder label. Recordkeepers should
not, however, crease the scoring on folders
until the increasing volume of papers requires
Leave Working Space in Drawers. About 4
inches of working space are needed i ' each file
drawer of active records to permit apers to
remain loose within folders. Time and motion
studies show that it takes twice as long to insert
papers into folders if the drawers are jammed
Folders and guides should be 4iandled by
their bodies and not by their tabs/'. The tabs
are intended to be a means of idezitifying con-
tents and are not handles for the movement of
guides and folders.
Likewise, the guides in the rear of the file
drawer should not be pulled forward to
the drawer contents must be straightened,
the bottoms of the folders should be moved
forward. Properly positioning the drawer
compressor also helps keep folders upright
in the drawer.
Filing Clippings. Clippings should be inter-
filed with related materials under the same
classification. All clippings filed should bear
a notation as to the newspaper or magazine
and the date of the issue from which they were
taken. Clippings of less than 8 x 1032 inches
should be mounted on regular bond paper and
filed in the same manner as other documents.
Clippings larger than 8 x 10% inches should be
filed loose in the folder and folded, as needed,
to fit the folder neatly.
Filing Security Classified Papers. Security
classified papers should be filed in separate file
containers, apart from unclassified papers or
papers marked "For Official Use Only." Most
agency security regulations permit filing un-
classified material with classified, however,
when they are needed together for reference
purposes. The interfiling of unclassified and
classified papers is restricted to those papers
which directly support, explain, or document
the record of the action or transaction.
Filing Bulky Material. Bulky material
should be filed separately in storage equip-
ment suited to its size. This material can be
maintained in file classification, date, or serial
number order. A cross-reference to the bulky
material should be prepared and filed with the
file papers or a notation of the bulky material
AVOIDING OVERLOADED FILE FOLDERS
BOATS
1 60 Figure 43
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shou Be placed in a conspicuous location on reference materials remain valuable until they
the file papers. The bulky material should be are superseded. During the daily filing, when
marked to show storage location, file classifica- recordkeepers file a revised publication, they
tion, and sufficient identifying information to should remove, if possible at the same time, the
associate it with the related file papers. A copy publication which it replaces. Similarly for
of the cross-reference prepared for the regular reference periodicals, they should set up a
file can be attached to the bulky
serve this purpose.
material to revolving file whereby they discard the oldest
Removing Inactive Records
At least once a year (oftener for papers with
shorter retention periods) file operators are
expected to dispose of records according to the
approved agency disposition schedules. To do
so, (1) file operators cut off files, (2) transfer
inactive files to storage, (3) dispose of overage
files, and (4) purge publication reference mate-
rials of obsolete items.
For some time it has been obvious that
successful records disposition heavily depends
upon regular breaking of files; that is, physically
separating active from inactive files. Though
establishing a new set of folders for subject
files is time consuming and painstaking, this
action should be taken as frequently as reference
service will permit. Breaking files is basic to
a good file operation.
To cut off general correspondence subject
files and establish a new set of file folders,
recordkeepers generally use the guides from the
previous year's file and bring forward any ma-
terial needed for the new file. (When necessary
they use Form OF-21, "Cross-Reference," or
Form OF-22, "Continuity Reference," to sub-
stitute in the previous year's file.for individual
papers moved up.) They then follow their
records control schedules to dispose of, or
transfer to storage, the oldest year's file.
Throughout the year recordkeepers should
place in a separate file all closed or inactive
case files. Then at least once a year they
should remove the oldest year's materials from
the inactive file and carry out the authorized
disposal of case working papers. If there are
enough inactive cases, they save time by mark-
ing on the folder tab the year the case became
inactive.
No one has yet established periodic file
breaks for all types of reference files. Some
issue when they file the latest, once they have
accumulated an agreed-upon number of issues
on the file. It is best, moreover, for the super-
visor to check through publication reference
files at least twice a year to be sure all obsolete
materials have been removed.
Suspense Files
Whenever a letter requiring action is received or
sent, there is always the question "Will that get
done and will it get done on time?"
A suspense or tickler file may be a part .of
a centralized file operation or may be a part of
the desk file of any office. The suspense file
will serve to remind that something specific
must be done on a certain date, that a reply to
a letter written or a telegram sent is expected
on a certain date, or that a transitory document
being held for reference may be destroyed on a
certain date. This file may include, for
instance, a brief reminder that a report must
be submitted or a letter written at a specific
time.
The suspense file may take the form of a
3- by 5-inch desk card file on which the infor-
mation or action desired or requested is noted
along with the date by which the task must be
accomplished. It may also consist of copies
of letters or the originals of letters, filed by the
date followup is required.
Suspense files can cause filing problems.
A card file requires time and money and labo-
rious hand posting. A document suspense file
made up of file copies can keep needed docu-
ments out of their place in the regular file.
Recordkeepers can, however, control the split
in the files by proper chargeout procedures.
Extra copies used in suspense files can easily be
intermixed in the main file unless they are
destroyed as soon as the action is completed.
Whether cards or originals or copies of
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documents are maintained, they are filed behind
guides or in folders numbered 1 through 31,
standing for the days of the month. Each
day the recordkeeper should check the actions
to be completed on that day and should notify
the official responsible for completing the action.
Card File Systems
Card files used for immediate reference to
records must function quickly and accurately.
Their efficiency will depend largely upon
whether or not an adequate number of guides
are used in systematic arrangement. Guide
signposts of card size are available for both
alphabetic and numeric files.
A card file in which information is recorded
on the cards at various intervals, as on stock
records or card ledgers, is known as a "posted
record." When the card file is an index to
other information, like an index to files, or when
it is merely a list like a mailing list, it is known
as a "reference record."
Two types of equipment are used for card
files, (1) vertical and (2) visible. In the vertical
arrangement, the cards are filed on edge in
correct order with only the guide tabs visible.
In the visible system, the cards are held in an
offset or shingled manner, with one overlapping
the next, so that the indexing information on
each card is visible.
Standard card sizes are 3 by 5, and 5 by
8 inches. A guide should be used for approxi-
mately every 20 or 25 cards. More guides
may be necessary in very active files. Also,
posted records require more guides than refer-
ence records.
Chargeout Systems
A chargeout system tells where a record can be
located after it has been borrowed from the
files. If employees must ransack the office
frequently in looking for borrowed records, a
chargeout system will save time and insure
more rapid finding of records needed in urgent
situations.
Charge cards on heavy paper stock should
protrude above other records, identify the
records removed, and show who has the records
and when they were removed. For a case
folder, the recordkeeper needs to show the
case file designation or title to identify the bor-
rowed record. To identify a single piece of
general correspondence, however, he needs to
show, in addition, the date of the letter, the
signer and addressee, and a short description of
its contents.
OF Form 23, "Chargeout Record," has been
designed for charging both case-filed and general
correspondence records.
To have an effective chargeout system,
recordkeepers must consistently remove the
charge card each time a charged-out document
is returned to files. Recordkeepers should also
periodically check charge cards to follow up on
documents removed from the files for a period
longer than allowed.
Misfiles
Everyone wishes to eliminate misfiles because
they are costly. On an average, a misfiled
document costs an office about $60. Costs of
misfiles come mainly from-
Loss of executive or professional time while
waiting for the missing document to be
provided.
Loss of time, both by the searcher and by
those disturbed in attempts to find the
missing paper.
Sometimes a misfiled document is not found.
The loss can lead to other misfile costs such
as-
Making a poor decision on the basis of
insufficient information.
Spending time trying to reconstruct lost
information, including possibly rechecking
sources from which information was
originally obtained.
Layout for Filing Operations
The larger the filing operation and the more
people involved, the greater the . need for
properly arranging desks, filing containers, and
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filing aids and devices. The guidelines pre-
sented here are therefore of primary interest
to the operation of full-time records facilities
employing more than one recordkeeper, al-
though they will apply to a lesser degree to
part-time filing operations in individual offices.
Work Flow. Proper layout is essential to
avoid backtracking and lost effort in the daily
chain of repetitive steps involved in filing and
finding papers. For smooth flow of work,
offices will-
? Position each recordkeeper's desk so he
can receive his work from the person im-
mediately next to him.
? Reduce to a minimum the distance be-
tween a worker and the records containers
or filing aids or other devices he uses.
? Arrange the immediate work space on
the desk or table of each worker so that
all papers or needed tools an be posi-
tioned within arm's length, and that
adequate space is provided for separating
different types of papers.
Space Standards. Offices should observe the
following layout standards when arranging
desks or recordkeeping equipment:
? Thirty-six inches is the minimum aisle
for file cabinets placed back to back.
Aisles may be wider depending on the
amount of activity and the number of
people using the records. General Serv-
ices Administration space standards per-
mit a maximum aisle width of 45 inches.
The minimum aisle space for file shelv-
ing is 30 inches.
? Employees' desks should face in the same
direction, avoiding, if possible, workers
having to face the light. Allow, as an
average, 36 inches for chair space be-
tween the back of one desk and the front
of another.
Arrangement of Filing Equipment. Small
collections of filing cabinets or file shelving
should be placed against walls or railings; larger
collections should be placed back to back. The
containers should be arranged so the records
are in consecutive order from left to
To eliminate needless walking, long
without breaks should be avoided.
right.
rows
Offices with many file cabinets or file
shelf units must consider the floor load capacity
of the building. An empty standard five-
drawer file cabinet weighs about 195 pounds,
while each linear foot of letter-size record
material weighs about 30 pounds. Cabinets
may need to be alined along the walls or over
sustaining supports if a weight problem exists.
Lighting. For general office work, a level of
lighting intensity of 75 foot-candles is recom-
mended. Offices with inadequate lighting fix-
tures try to place employees near windows to
obtain the desired lighting.
Access Control. The more people allowed to
work in the records, the more difficult it is to
maintain the records in an orderly manner.
Access to the records should be limited to
assigned records personnel only. In addition,
special access controls are required for secu-
rity classified documents and for records marked
"For Official Use Only." To promote better
access control, most offices-
? Place the desk of an assigned record-
keeper near the office door, or in a
position which provides a clear view of
the active files.
Use cabinets to form a partition, if a
separate office is not available for the
files.
Figure 44 illustrates applying the principles of
space layout and utilization described here.
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LAYOUT OF A RECORDS UNIT SHOWING FLOW OF WORK
400 square feet (20' x 20') : 37 cabinets
0
0
0
0
Finding record and inserting-charge card
o_ 0
0
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IX. EVALUATING AND REPORTING
Do we know how many times we cannot find information or records when
they are requested?
Are our "can't finds" too high in relation to the total requests received?
Do we have standards for measuring how effectively we carry out our filing?
Are we consistent in the way we report on the number of papers being filed
and the number of requests we receive?
No matter how small or large the files opera-
tion, offices should evaluate periodically how
well the job is being done. This requires
accumulating statistical data, comparable over
a meaningful timespan, upon which to base an
appraisal.
Measuring Finding Effectiveness
The best measurement of a files operation is
the certainty with which it can speedily pro-
duce complete and pertinent information.
The factors listed below should provide some
relevant standards.
Misfiles. Audits indicate that a typical office
file struggles along with nearly 3 percent of the
papers or cases physically misfiled. This is too
high. How much lower the figure should be
depends on the kind of file and the impact of
"can't finds" and delayed finding on the
function served. Supervisors should set a
figure and by sampling determine whether it
is being met. If not, extensive training of
personnel is called for.
"Can't Finds." Probably no office would con-
sider as high as 3 percent "can't finds" an
acceptable standard for its subject files. This
figure is based, of course, on the assumption
that the records being sought are actually
in the files. In most case files, even a 1 percent
failure to find would be excessive.
Time Required. In most subject files, about
10 percent of the searches require looking in
several places before the desired document is
found. In case files, the files operator should
not have to look in more than one place for
more than 2 percent of the searches. But
depending upon the experience of the files
operator, it should normally take no more than
2 to 3 minutes to locate any item requested
from the files.
Measuring Filing Productivity
Supervisors can measure work done against the
time subordinates need to perform it. How
valuable this ratio information is depends on
the size of the :files operation and thereby how
many man-hours are being invested in it.
Usually the key factors that must be con-
sidered in setting productivity standards are
governed by the chain of clerical tasks involved
in placing papers into the files. It may be
necessary to determine-
? The average time required in assembling
related papers and in determining and
marking the filing designation on each
piece to be filed.
? The average number of cross-references
marked on each piece, and the average
time required in determining and mark-
ing each reference.
? The average time required in preparing
and marking each reference for filing.
This time is affected by the format
of the cross-reference (available copies,
standard cross-reference forms, or cards).
? The average time required in sorting each
piece to be filed into the same sequence
as that of its appropriate file.
? The average time required in actually
placing each marked piece into the
folders. This will be affected primarily
by the effectiveness of the guide and
folder labels in pinpointing the one
folder wanted and whether or not papers
to be filed must be fastened with prong
fasteners.
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Because of the variables affecting each of the
foregoing steps in the filing process, an optimum
time rate for each step cannot be given in this
handbook. An office desiring to measure
filing productivity must set for each step those
standards which best fit its own operations.
These standards should be expressed as the
average time per piece filed. A number of
Navy field offices under the Navy Bureau of
Supplies and Accounts have done this, using
time-and-motion study techniques.
Recording Data
Figures 45 and 46 illustrate formats for record-
ing data useful in evaluating recordkeeping once
an office has established standards. For a
small file, such as one kept by a secretary on a
part-time basis, recording 2 weeks' data only
three or four times a year on the finding effec-
tiveness form may be sufficient. Other record-
keeping installations may also wish at similar
intervals to record data on the filing effec-
tiveness form. Large central records facilities
may wish to record each day all data covered
by both forms, and possibly even additional
data.
REPORT OF EFFECTIVENESS
IN FINDING RECORDS
Date
(a)
7/3
4.4
No. Requiring a Search
in 3 or more folders
Figure 45
REPORT OF EFFECTIVENESS
IN FILING RECORDS
7/3
No. Man Hours
Filing
Type of File
Caa
No. Pieces
Received
Forms
(d)
Extra Copies
(e)
The forms are self explanatory except for
"Number of Requests Received" (column b,
figure 45) and for "Number of Pieces Received"
(column c, figure 46) discussed in the following
paragraphs.
Number of Requests Received. Record-
keepers should count all requests received for
either information or records from the file,
except requests made for information obviously
not answerable from the records. They should
normally consider as one request a call involving
withdrawal of more than one copy of the same
document. Searching and withdrawing ma-
terials from more than one subject folder, for
one call, should also constitute a single request.
For multiple requests for several different case
folders, they should count as a separate request
each case withdrawn.
Number of Pieces Received. The record-
keeper should count each letter, memorandum,
or other document as one piece regardless of the
number of pages. If an incoming letter is
stapled to an outgoing carbon copy and other
attachments, he should count the entire docu-
ment as only one piece
It is best to report an actual count of
pieces received. An estimate is permissible,
however, if volume is large. Estimating is
simple, once an average is established for the
number of sheets per piece filed. This average
is based on at least 1 month's count.
Since an inch stack of material normally
contains 200 sheets, 200 is divided by the
average number of sheets per piece to determine
the average number of pieces to an inch.
Once this basic average is obtained, the record-
keeper can easily estimate the number of pieces
received for filing by measuring in inches the
stack of incoming materials.
Some other hints:
Report only new materials received and
classified. Do not report as pieces re-
ceived, materials which are to be destroyed
or otherwise not placed in the files.
Do not report as pieces received, materials
which are reclassified because of the instal-
lation of a new system, or for some other
reason. Report such papers on the back of
66
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 4pprgMgda or a ?0f1/07/1 ? JCIA-RDP74-%0058000100020023-7
ISeT o feces ec assl- a cost of rc ferPnreC .nano *., f1- .,..,...__e_,
Estimating Finding and Filing Costs
The cost on a national average for initially
filing a single page letter is from 3 to 6 cents.
On a national average, the annual cost of files
operations is about $340 for an uninsulated five-
drawer letter-size cabinet. This figure is com-
puted by adding together the following annual
costs:
Rent and maintenance per square foot of
cabinet space including working area
Equipment depreciation
Filing supplies
Labor
Labor cost, which is the largest factor in deter-
mining the overall cost, is the proportionate
share of the worker's salary representing the
time spent in filing.
The cost of "screening" files to remove
unwanted or unnecessary papers generally runs
about $5 per cubic foot of records, rarely less
than $3. This cost, if the job is a difficult one,
may run as high as $15 per cubic :foot.
aaa uic aaac is uci.cruunea oy aiviarng the cost of
the file operation by the total number of refer-
ences made each year. The national standard
appears to be $1 per reference. However, a
rate of 50 cents per reference is being realized
by the Federal Records Centers, elements of
the Social Security Administration, and a
number of other offices.
The Recordkeeper's Job
From this handbook, a recordkeeper can prepare
a statement of the responsibilities fitting his
own recordkeeping job. Such a statement is
complete only if it covers the full range of files
operations in his office, including: Discarding
the unneeded; identifying essential records;
installing the appropriate separate file groups
and systems of arrangement within each file
group; checking, assembling, marking, and
sorting materials to be filed; providing reference
service; implementing disposal policies; and
adhering to equipment, layout, supply, and
productivity standards.
This handbook admiringly salutes the
faithful and highly useful Federal recordkeeper.
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APPENDIX A
Excerpts From United States Civil Service Commission Filing Manual
PART II-FILE CLASSIFICATION PATTERNS
Section .01-ADMINISTRATIVE SUBJECTS
This outline contains subject titles for the classification of correspondence and other documents
pertaining to the administrative and housekeeping operations of the Civil Service Commission.
DO NOT USE subjects in this section for the classification of any material specifically
relating to the major program responsibilities (substantive functions) of the Commission. Sec-
tion .02 is used for classifying program material.
The following is a list of Primary Subject Titles contained in Section .01.
Primary Subject Code
Administrative Management---------------------------------------- ADM
Administrative Services--------------------------------------------- ADS
-------------------------
Budget and Fiscal ------------------------BUF
Committee Management--------------------------------------------- COM
Information Services----------------------------------------------- INF
------------------------------- PER
Personnel (CSC)___________________
Footnotes which apply to all outlines in these patterns:
1 Correspondence regarding this material is filed in the location indicated. Material itself is
maintained separately.
s Maintained separately in case files.
File specifics under appropriate subjects.
Cross-reference significant items to appropriate subject file.
Extra copies are non-record and are stored elsewhere.
s May be subdivided by special planning studies and assignments.
Approved plans, resulting in published issuance filed under ADM-2.
s Use this category to organize extra copies of materials (case files, procedural backup, etc.)
as needed for day-to-day working references, and for related opinions and decisions which are not
part of a case file or an issuance file (ADM-2). Routine informational responses on these subjects
are filed under INF-5.
AM Su i,1em t 178-C NOVEMBER 1962
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 Approved For RW.DtPas M? 219YQ7/A17IVE CIA-7
Use this outline for all material on the overall policy, mission, organization and direction of the
Commission, including management improvement programs and for all formal rules, regulations
and guides.
Except: Material pertaining to Administrative support, and services------------- SEE: ADS.
Personnel Management CSC------------------------- - -- SEE: PER.
Program Management ---------------------------
SEE: Specific Programs.
Budget and Fiscal--------------- SEE: BUF.
Organization and Management-Committees and groups--------------- SEE: COM.
ADMINISTRATIVE MANAGEMENT
1 Administration-Basic Organization & Functions
1-1 Assignments & Authorizations
1-1-1 Organization Charts
1-2 Conference Agenda & Minutes
1-3 Management Surveys
1-4 Improvements, Plans & Projects 7 (by name of project or plan)
1-4-1 Evaluations & Reports
1-4-2 Improvements
1-4-3 Reorganization
1-5 Workloads
2 Administrative Issuances 1 (Also SEE: 7-3)
2-1 Administration of
2-1-1 Issuance System
2-2 Administrative Manual
2-3 Federal Personnel Manual
2-4 Internal Federal Personnel Manual
2-5 Minutes
2-6 Other Formal Issuances (Bulletins, Circulars, Handbooks, etc.)
NOTE: See the -1 category of each primary and secondary
for local level issuances.
2-7 Personnel Manual-CSC
2-8 Regulations
3 Delegation of Authority
3-1 Authorizations-Special
NOVEMBER 1962
AM Supplement 178-C
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7 Reference Aids
7-1 (Reserved)
7-2 Addressee Index (Name Files)
7-3 Issuances, Reference Sets (Filed in accordance with instructions for issuances; NOT in
subject file folders)
7-4 Other nonrecord references
7-5 Reading (Chronological) Files
8 Security
8-1 (Reserved)
8-2 Buildings, Security of
8-3 Equipment, Security of
8-4 Files, Security of
COMMITTEE MANAGEMENT-COM
Use this outline for material on the managment of all standing and Ad Hoc committees, boards,
intra- governmental committees, commissions and other groups over which the CSC has admin-
istrative jurisdiction. Maintain in case file by name of committee, etc. If case file becomes too
large or too active to handle, use following outline to further sub-divide the file.
COMMITTEE MANAGEMENT
1 Administration-Basic Organization & Functions
1-1 Authorizations & Assignments
1-2 Meetings, Agenda, Minutes
1-2-1 Schedules
2 Instructions, Operation
NOTE: The substantive records of these groups (project files, working papers, case files,
registers, indexes, etc.) are maintained separately and filed under categories corresponding to the
appropriate functions or subjects affected.
AM Supplement 178-C NOVEMBER 1962
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APPENDIX B
Excerpts From Department of the Army Regulations AR 345-210,
31 October 1962
RULES FOR ALPHABETICAL FILING
Rules Examples
a. NAMES of individuals are transposed for filing purposes: Last
name (surname); first name (given name) or initial; middle name or
initial.
b. PREFIXES on surnames (Bel, Bon, D', d', de, del, Des, di, du, El,
Ger, L', La, Le, M', Mac, Mc, 0', St (Saint), Ten, Ter, Van, Vander,
Von, Vender, and others) are considered inseparable parts of the sur-
name and will be filed as though written as one. M', Mac, and Mc are
filed in strict alphabetical sequence.
c. HYPHENATED surnames of individuals are filed as one complete
surname.
d. UNDETERMINED surnames. When it is not possible to deter-
mine the surnames of individuals, they will be filed as they are written.
e. MARRIED WOMEN'S names. The legal name will be used and
the husband's name, if known, will be cross-referenced. (The legal name
consists of the first name, maiden surname, and the husband's surname
(Josephine Adams Laurens) or her first name, middle name and the hus-
band's surname (Josephine Mary Laurens).
f. ABBREVIATED first names are filed as though they were spelled
in full.
g. NICKNAMES followed by recognizable surnames are filed under
the surname and the nickname used as the first name. Nicknames with
no recognizable surnames are filed as they are written.
h. TITLES or degrees of individuals, whether preceding or following
the surnames, are placed in parentheses following the name and disre-
garded in filing (Courtesy titles, Mr., Madam; military titles, Col.,
Major; professional title, Dr., Prof.; official titles, governor, mayor; titles
of respect, Rev., Hon.; foreign titles, Lord; degrees, LL.D., Ph.D).
Titles followed by one or more names not recognizable as surnames are
filed in order as written.
i. ABBREVIATED DESIGNATIONS, such as Sr., Jr., 2d, 3d, ap-
pearing as part of a name are disregarded in filing but are shown in paren-
theses following the name.
2. Firms, corporations, companies, associations, institutions, govern-
ments, and geographical names.
a. COINED names of firms, including trade names composed of sep-
arate letters or a single word, are filed as written, except when they em-
body the full names of individuals.
b. SURNAMES are used for filing when the full name of an individual
is embodied in a firm or organization name; surname first, with the first
name or initial immediately following and the balance of the name as
written. Rules for personal names apply.
Arthur B. Anglin-filed Anglin Arthur
13.
David de Valera-filed de Valera
David.
Blanche Duff-Gordon-filed Duff-Gor-
don Blanche.
Black Thunder.
Henry George.
Laurens Josephine Mary (Mrs) (Mrs.
William A).
Laurens William A (Mrs)-filed Lau-
rens Josephine Mary.
Chas. Brown-filed Brown Charles.
Red Larson-filed Larson Red. Bos-
ton Jimmie.
Dr. Charles C. Brown-filed Brown
Charles C (Dr.).
C. Albert Brown, Jr.-filed Brown. C
Albert (Jr).
A A A Chemical Co.-filed A
Chemical Company.
Aunt Jemima's Pancake Flour-filed
Aunt Jemima's Pancake Flour.
Charles Brown & Company-filed
Brown Charles (&) Company.
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31 OCTOBER 1962
Rules
c. PREFIXES on firm and geographical names such as Co-, D', d', de,
des, Di, El, L', la, le, los, Mac, Mc, 0', San, Ten, Ter, Van, Von, are
considered inseparable parts of the name and will be filed as though
written as one word.
d. HYPHENATED firm names are filed as one complete name.
e. COMPOUND names of firms which may be spelled either as one
or two words are filed as one word. This rule must be restricted to a
few frequently occurring words, such as Inter State; Mid West; South
Eastern; South Side; North East.
f. COMPOUND GEOGRAPHICAL firm names are filed as written.
Abbreviations are filed as though spelled in full.
g. ABBREVIATIONS representing names or parts of names of firms,
of government agencies, fraternal and similar organizations are filed
as though spelled in full.
h. APOSTROPHE S ('s) is not considered in filing, but s apostrophe
(s') is considered in filing.
i. ARTICLE, CONJUNCTION, OR PREPOSITION, such as the, and,
&, of, for, on, by, when it is part of a firm name is inclosed in parentheses
and disregarded in filing. When "Ye" is used, it is filed as written.
Foreign language articles are not translated and are filed as written.
j. STATE, COUNTY, CITY, TOWN, or a similar word when appear-
ing as the first word in the name of a firm, institution, association, etc.,
and not referring to a government establishment, is filed as written.
k. NUMERALS of one or two digits which comprise a name or the
beginning of a name are read in units and tens and are filed as though
spelled out. A name with three or four digits is read in hundreds. Con-
sider only the lowest number in captions beginning with inclusive
numbers. Captions beginning with numbers spelled in full or abbreviated
are filed as though spelled in full. Numbers of two or more words are
filed as one word.
1. FIRM names beginning with such phrases as Board of, Bureau of,
Commission for, which do not refer to any government establishment or
function, are filed as written.
in. STANDARD TERMS such as Bros., Co., Corp., Ltd., Inc., names
of states and cities, often abbreviated, affect the filing sequence. When
abbreviated they are filed as though spelled in full. In foreign firm names
abbreviations of company, brothers, etc., whether they appear before or
after the names are filed as written. They are not translated.
n. CHANGE of firm name due to successorship should be filed under
the current firm name and a permanent cross-reference made under the
former name.
o. MULTIPLE names. Firms doing business under two titles are
filed under the more active or important name and a permanent cross-
reference is made under the other name. This includes firms "doing
business as," written "d/b" or "d/b/a."
Examples
De la Verne Co.-filed De
Company.
Los Angeles, Calif.-filed Los Angeles,
California.
Air-E-Ator Ventilating Co.-filed Air-
E-Ator Ventilating Company.
Inter State Warehousing Co.-filed
Inter State Warehousing Company.
Ft. Wayne Paper Co.-filed
Wayne Paper Company.
N.J. Coal & Coke Co.-filed New
Jersey Coal (&) Coke Company.
Amer. Society for Civic Education-
filed American Society (for) Civic
Education.
E. 59th St. Garage-filed East Fifty
Ninth Street Garage.
Anglin's Beauty Shop-filed Anglin's
Beauty Shop.
Anglins' Automobile Co.-filed Ang-
lins' Automobile Company.
The Calico Cat-filed Calico Cat
(The).
Il Progresso Italo-filed Il Progresso
Italo.
City Letter
Company.
County of Wall Surveying Co.-filed
County (of) Wall Surveying Com-
pany.
86 Madison Ave. Realty Co.-filed
Eighty-six Madison Avenue Realty
Company.
1198 Park Ave. Corp.-filed Eleven
Hundred Ninety-eight Park Avenue
Corporation.
92-96 W. 18th St. Corp.-filed Ninety-
two (96) West Eighteen Street
Corporation.
Committee for Economic Develop-
ment-filed Committee (for) Eco-
nomic Development.
Brown Bros.-filed Brown Brothers.
Cie Generale Transatlantique-filed
Cie Generale Transatlantique.
Clairo Company formerly Van Ess
Products Co.-filed Clairo Company
(Formerly Van Ess Products Co.).
Van Ess Products Company-filed
Clairo Company.
Max Jensen doing business as Ace Van
Lines-filed Ace Van Lines.
Jensen Max d/b/a filed Ace Van Lines,
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 AR Aopf Kied For Release 2001/07/17: CIA-RDP74-00005R00010002003?-bCTOBER 1962
Rules Examples
p. PARTNERSHIP AND FIRM names which contain the full names Charles Brown & Henry Jones-filed
of two or more individuals are filed by the name of the first individual Brown Charles (& Henry Jones).
mentioned.
q. VARIOUS LOCATIONS. The same firm name appearing at Allied Van Lines, Denver, Colo.-filed
various locations is filed by name of firm and then by city. Consider the Allied Van Lines Denver Colorado.
State when there is a duplication of city names. Allied Van Lines, Portland, Me.-filed
Allied Van Lines Portland Maine.
r. SUBSIDIARIES OR DIVISIONS. Firms having subsidiaries or Truscon Steel Co. Division of Republic
divisions, may be filed either by name of the parent organizations or by Steel Corp.-filed Republic Steel
name of divisions. Whichever is adopted should be followed consistently. Corporation Truscon Steel Co. Divi-
Affiliations should be cross-referenced under either method. sion.
s. BANKS, BOARDS OF TRADE, NEWSPAPERS, etc. Since the Board of Trade Chicago, Ill.-Chicago
names of many banks, boards of trade, chambers of commerce and news- (Ill) Board of Trade.
papers are alike, the city is the identifying word. They are therefore
filed by location: city first, the state in parentheses, followed by the name
of the bank, board of trade, etc.
t. FEDERAL DEPARTMENT NAMES. Federal government de-
partments and subdivisions thereof are filed by name in the alphabetical
name file disregarding the parent organization.
Bureau of Budget:
U.S. Coast Guard:
Office of Emergency Management:
FRATERNAL or similar organization name, which is part of a
larger organized group, is filed under its name, and the name of the parent
organization may be cross-referenced.
4. INSTITUTION names, hospitals, schools, colleges, churches, hotels,
cafes, libraries, etc., are filed under the first distinctive word or name in
the title. If the title is composed of the name of an individual, rules for
personal names apply.
5. SUBDIVISIONS of state, county, municipal or foreign govern-
ments, such as departments, boards, bureaus, commissions, etc., are
entered after the name of the state, city, county, or country, and filed as
the second or third unit.
Filed Budget Bureau (of).
Filed Coast Guard (U.S.).
Filed. Emergency Management
(of).
Filed Great
Station.
Lakes Naval Training
Filed President Executive
The).
Veterans of Foreign Wars, Portsmouth
Post, N.H.-filed Portsmouth
(N.H.) Post, Veterans (of) Foreign
Wars.
Andrew Carnegie Library-filed Car
negie Andrew Library; University
of Washington-filed Washington
University (of).
Water Dept. Fairfax County, Va.-
filed Fairfax County (Va) Water
(Dept).
73
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APPENDIX C
Captions for Divisions of the Alphabet
A
Cr
H
Li
Pe
St
Am
D
He
M
Pi
Su
B
De
Ho
Mar
Q
T
Be
Do
Hu
Mc
R
To
Bi
E
I
Me
Ri
U
Br
F
J
Mo
Ro
V
Bu
Fi
K
Mu
S
W
C
G
Ki
N
Sch
We
Ch
Gi
L
0
Se
Wi
Co
Gr
Le
P
Si
XYZ
A
C1
Fr
John
Ni
Sp
Al
Co
G
K
0
St
Am
Con
Ge
Ke
P
Sto
Ander
Cor
Go
Ki
Pe
T
Ar
Cr
Gr
Kn
Pi
Tho
B
Cu
Gro
L
Pr
Ti
Bar
D
H
Le
Q-R
Tr
Be
De
Ham
Li
Ri
U
Ber
Di
Har
Lo
Ro
V
Bi
Do
Hat
M
Ros
W
Bo
Dow
He
Man
S
War
Br
E
Hi
McA
Sch
We
Bro
El
Ho
Me
Se
Wh
Bu
Et
Hon
Mi
Sh
Wi
C
F
Hu
Mo
Si
Wo
Car
Fi
I
Mu
Smith
XYZ
Ch
Fo
J
N
See footnotes at end of table.
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020023-7
150 Divisions*
A
Co
Gar
Jones
Mu
Sp
Al
Con
Ge
K
N
St
Am
Coo
Gi
Ke
Ni
Sto
Ander
Cor
Go
Kel
Su
Ar
Cr
Gr
Ki
Or
T
At
Cu
Gre
Kn
P
Te
B
D
Gro
Kr
Pe
Tho
Baker
Davis
H
L
Pet
Ti
Bar
De
Hal
Lar
Pi
Tr
Be
Del
Ham
Le
Pr
U
Ber
Di
Har
Lei
Pu
V
Bi
Do
Harr
Li
Q-R
Ve
B1
Dow
Hat
Lo
Re
W
Bo
Du
He
Lu
Ri
Wall
Bon
E
Hen
M
Ro
War
Br
El
Her
Man
Ros
We
Bro
Et
Hi
Mas
Ru
Wei
Bu
F
Ho
McA
S
Wh
Bur
Fe
Hol
McD
Sch
Wi
C
Fi
Hon
McK
Schm
Williams
Car
Fl
Hu
Me
Se
Wilson
Cas
Fo
Hun
Mi
Sh
Wo
Ch
Fr
I
Miller
Si
Wr
Che
Fri
J
Mo
Smith
XY
Cl
G
John
Mor
Sn
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200 Divisions**
A
Con
Green
Lar
Or
Sn
S
Ad
Coo
Gri
Le
P
p
S
Adams
Cor
Gu
Li
Par
t
S
Al
Cr
H
Lo
Pat
tone
S
Allen
Cu
Ham
Lor
Pe
tr
S
A
D
Har
Lu
Per
u
m
American
Davis
Harr
M
Ph
Sw
T
Ar
De
Has
Mah
Pi
Th
As
Dem
He
Man
Po
Ti
B
Di
Hen
Mar
Pr
T
Bal
Do
Her
Mart
Pu
o
T
Bar
Dor
Hi
Mas
Q
r
T
Bas
Dr
Ho
Mc
R
u
U
Be
Du
Hom
McD
Re
it
d
U
Ben
E
Hos
McI
Ri
e
n
V
Bi
Ed
Hu
McM
Rid
V
Bi
El
Hun
Me
Roc
e
V
Bo
En
I
Mer
Ros
o
W
Br
Es
J
Mi
Ross
l
W
Bre
F
Je
Miller
Ru
a
W
Bro
Fe
Jo
Min
S
ar
W
Brown
Federal
John
Mo
San
e
l
W
Bu
Fi
Jon
Mor
Sc
e
W
Bur
F1
Jones
Mos
Sch
es
Whit
C
Fo
K
Mu
Schu
e
W
Cam
Fr
Ke
Mur
Se
i
it
Car
Fri
Kern
N
Sh
W
Wil
Cas
G
Ki
National
Sher
s
W
Ch
Ge
Ko
Ne
Si
o
W
Che
Gi
Kr
Ni
Sim
r
X
Ci
G1
Ku
No
Sk
C1
Go
L
0
Sm
Y
Z
Co
Gold
Lan
01
Smith
Collins
Gr
*Records Management, Files Systems and Standards, AR 345-210, Headquarters, Department of the
Army.
**Files Handbook for Congressional Offices, Senate Members, National Archives and Records Service,
General Services Administration.
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Q Q;, 7G OFFICE; 1964 0--666-584
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GENERAL SERVICES
4 ADMINISTRATION*
Washington: 1964
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