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Ken Matthews

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This presentation has been prepared to aide in theorganization of electronic files located within anERA (Electronic Records Application) or DMA(Document Records Application). The goal is toprovide a foundation upon which one can use todevelop records management skills in the areas oforganization and preservation of electronic files.Applying these skills will foster a RecordsManagement environment where (ESI)

Electronically Stored Information may effectivelystored, searched, and retrieved.

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Subject Codes: These are broken down into three areas:(Admin, Program Development, and Program Subject Files)

Case Files: All of the materials in a case file relate to a common number,number,name or date (event).name or date (event).

Strategic ObjectivesStrategic Objectives: SOs are considered case files but will be handled: SOs are considered case files but will be handledseparately due to its importance and (potentially) different disposition.separately due to its importance and (potentially) different disposition.

(presently being scheduled with NARA))(presently being scheduled with NARA))

Specific Office/Function RecordsSpecific Office/Function Records: These refer to records such as contracts,: These refer to records such as contracts,Budget etc, with which the main offices responsible for that function should fileBudget etc, with which the main offices responsible for that function should filetheir records.their records.

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SpecificOffice/Function

Records

Strategic

Objectives

Case Files

Subject

Files

Records

Management

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Subject files consist of general file materials of incomingoriginals and

outgoing record copies of letters, memoranda, telegrams,reports and

materials involving a wide variety of subjects. They bringtogether

documents relating to the same subject so that informationcan be

easily found. The subject categories chosen as filing guidesreflect the organization, policies, programs, and functions of

theAgency.

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The Subject Outlines are made up of subject file codes (e.g. EDU12, PRC 4, ADM 8) with file classification captions such as HealthEducation, Administrative Management, etc., followed by anarrative description for each code and classification. Together,these comprise a system that provides offices with an effectivemethod for filing and retrieving information.

Each subject outline (i.e., ADM, AGR) has an alpha numeric filegroup code (i.e., ADM-1, ADM-2, AGR-1, AGR-2) which providesprimary and secondary breakdowns for subject filematerials. These codes are subdivided into secondarybreakdowns for more precise identification of subject

content. Individual offices may subdivide subject categoriesfurther into tertiary or third levels of breakdown.

Next, you will see a recommended structure of the Subject Filesin your sharable drive where the numeric part of the subjectcodes was purposely omitted and it is left to your discretion to

include (or not) these added breakdowns when setting up yourfiles.

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ADM Administrative ManagementADM Administrative Management

BUD BudgetBUD Budget

FIS Fiscal Accounting and AuditFIS Fiscal Accounting and Audit

GRS General ServicesGRS General Services PER PersonnelPER Personnel

PRC Procurement and ContractingPRC Procurement and Contracting

TRV TravelTRV Travel

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SUBJECT FILES

(ADMINISTRATIVE)

ADMINISTRATIVE

PROCUREMENT

TRAVEL

PERSONNEL

GENERAL SERVICES

FISCAL

BUDGET

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(Program Background, Support, and Development)

ECFECF Economic and Financial AffairsEconomic and Financial Affairs

INFINF Information and Mass CommunicationInformation and Mass Communication

LEGLEG Legislative and LegalLegislative and Legal

LGPLGP Loans, Guaranties, Private EnterpriseLoans, Guaranties, Private Enterprise

OCMOCM Organizations, Committees, and MeetingsOrganizations, Committees, and Meetings

PRMPRM Program Development, Evaluation, andProgram Development, Evaluation, and

ResearchResearch

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SUBJECT FILES

(Program Background, Support and Development)

Economic and Financial Affairs

Information and Mass Communication

Legislative and Legal

Organizations, Committees, and Meetings

Loans, Guaranties, Private Enterprise

Program Development, Evaluation, and Research

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AGR AgricultureAGR Agriculture DEM Democracy and GovernmentDEM Democracy and Government EDU EducationEDU Education FPC Food for PeaceFPC Food for Peace

HLS Health and SanitationHLS Health and Sanitation IND Industrial DevelopmentIND Industrial Development PUB Public AdministrationPUB Public Administration SCT Science and TechnologySCT Science and Technology SOC Social and Institutional DevelopmentSOC Social and Institutional Development

TRG Training (pertaining to participants)TRG Training (pertaining to participants) TRP Transportation (as a sector)TRP Transportation (as a sector)

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Subject Files (Programs)

Agriculture

Democracy and Governance

Education

Industrial Development

Health and Sanitation

Food for Peace

Science and Technology

Public Administration

Transportation (as a Sector)

Training (Pertaining to Participants)

Social and Industrial Development

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Case files are the most common type of file, comprising

an estimated 85 percent of all files. They contain records

documenting a project, action, event, person, place, or other matter.

All of the materials in a case file relate to a common number, namenumber, name

or date (event).or date (event).

Examples include:Examples include:

Project Files

Contract Files

Loan Files

Personnel Files

Participant Files

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A case file has a beginning and an endA case file has a beginning and an end, and contains ALL types and formsof

material relating to that case, including correspondence.

Many case files also include working papers that are created and used in the

course of preparing other case materials. They include bulky background or

supporting papers: spreadsheets, questionnaires, notes, data obtained for the

case or project, data analyses, drafts. They are often needed for budget,

project, loan, contract and similar files that have large amounts ofbackground

or supporting papers.

Case working papers are filed separately from the corresponding case file, as

they have a shorter period of use and are destroyed sooner than case files.

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Strategic Objectives (S.O.)/Project files are the largest type of case.Materials pertaining to the S.O./project are filed together byactivity/project number.

Most of the official strategic objectives/project files are alreadysegregated from other types of files, and organized by S.O./Project

number andtypes of documents.

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The final category includes records that are created or received by specificfunctional offices (i.e., Procurement, Communications and Records, Budget,etc.) For example, if you work in the Budget Office, you have specific recordsthat are created and preserved to document business transactions particular tothat office. Conversely, you might work in Procurement and when dealing withyour own budget documentation, you can file these records in your SubjectFiles under the administrative subject code Budget. The difference is related

to the disposition of the applicable files, the Budget Office might need to keeptheir budget records for six years versus the Procurement Office keeping theirbudget records for two years.

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At times, there will be situations where you might want or need to keep a

particular document in several of the options presented in this guidance. For example, a

document might need to be filed with the S.O. Team but your office wants to file another

copy using the specific office/function guidance plus a copy in the admin subject files area

for reference purposes. Well, this practice is quite acceptable and happens quite

often. All you must do is to comply with the particular disposition instructions, though

different, for each category and it will be legal to destroy the records once retention is metfor

each of the categories involved.

Offices might want to consider saving their files under different categories to ensure

proper documentation of their functional office, the Strategic Objectives, and other

administrative needs (i.e., reference, legal, and audit, etc).

A good practice when filing a document in different categories is to cross reference the files.

This means to enter a statement somewhere visible to all others (authorized to access

the document) mentioning where the other copies are filed (i.e., A copy of this

document has also been filed in the Budget Admin Subject Files and another with the S.O.Team files, etc..).

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(YOUR OFFICE)

ADMINISTRATIVE

Subject Files

PROGRAM BACKGROUND, DEVELOPMENT, AND SUPPORT

Subject Files

PROGRAMS

Subject Files

SPECIFIC OFFICE/FUNCTION RECORDS

STRATEGIC OBJECTIVES

CASE FILES

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