Ken Matthews

This presentation has been prepared to aide in the organization of electronic files located within an ERA (Electronic Records Application) or DMA (Document Records Application). The goal is to provide a foundation upon which one can use to develop records management skills in the areas of organization and preservation of electronic files. Applying these skills will foster a Records Management environment where (ESI) Electronically Stored Information may effectively stored, searched, and retrieved.

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 handled separately 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 file Budget etc, with which the main offices responsible for that function should file their records. their records.

Specific Office/Function

Records

Strategic Objectives

Case Files

SubjectFiles

Records Management

Subject files consist of general file materials of incoming originals and

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

materials involving a wide variety of subjects. They bring together

documents relating to the same subject so that information can be

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

the Agency.

The Subject Outlines are made up of subject file codes (e.g. EDU 12, PRC 4, ADM 8) with file classification captions such as Health Education, Administrative Management, etc., followed by a narrative description for each code and classification. Together, these comprise a system that provides offices with an effective method for filing and retrieving information.

Each subject outline (i.e., ADM, AGR) has an alpha numeric file group code (i.e., ADM-1, ADM-2, AGR-1, AGR-2) which provides primary and secondary breakdowns for subject file materials. These codes are subdivided into secondary breakdowns for more precise identification of subject content. Individual offices may subdivide subject categories further into tertiary or third levels of breakdown. 

Next, you will see a recommended structure of the Subject Files in your sharable drive where the numeric part of the subject codes was purposely omitted and it is left to your discretion to include (or not) these added breakdowns when setting up your files.

◦ADM Administrative Management ADM Administrative Management ◦BUD BudgetBUD Budget◦FIS Fiscal Accounting and Audit FIS Fiscal Accounting and Audit ◦GRS General Services GRS General Services ◦PER Personnel PER Personnel ◦PRC Procurement and Contracting PRC Procurement and Contracting ◦TRV Travel TRV Travel

SUBJECT FILES(ADMINISTRATIVE)

ADMINISTRATIVE

PROCUREMENT

TRAVEL

PERSONNEL

GENERAL SERVICES

FISCAL

BUDGET

(Program Background, Support, and Development)

◦ ECF ECF Economic and Financial Affairs Economic and Financial Affairs ◦ INF INF Information and Mass Communication Information and Mass Communication ◦ LEG LEG Legislative and Legal Legislative and Legal ◦ LGP LGP Loans, Guaranties, Private EnterpriseLoans, Guaranties, Private Enterprise ◦ OCM OCM Organizations, Committees, and Meetings Organizations, Committees, and Meetings ◦ PRM PRM Program Development, Evaluation, and Program Development, Evaluation, and Research Research

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

◦ AGR Agriculture AGR Agriculture ◦ DEM Democracy and GovernmentDEM Democracy and Government◦ EDU Education EDU Education ◦ FPC Food for Peace FPC Food for Peace ◦ HLS Health and Sanitation HLS Health and Sanitation ◦ IND Industrial Development IND Industrial Development ◦ PUB Public Administration PUB Public Administration ◦ SCT Science and Technology SCT Science and Technology ◦ SOC Social and Institutional Development SOC Social and Institutional Development ◦ TRG Training (pertaining to participants) TRG Training (pertaining to participants) ◦ TRP Transportation (as a sector) TRP Transportation (as a sector)

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

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, name number, name or date (event). or date (event).

Examples include:Examples include: ◦ Project Files ◦ Contract Files ◦ Loan Files ◦ Personnel Files ◦ Participant Files

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

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 of

background 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.

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

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

number and types of documents.

The final category includes records that are created or received by specific

functional offices (i.e., Procurement, Communications and Records, Budget,

etc.) For example, if you work in the Budget Office, you have specific records

that are created and preserved to document business transactions particular to

that office. Conversely, you might work in Procurement and when dealing with

your own budget documentation, you can file these records in your Subject

Files under the administrative subject code “Budget”. The difference is related

to the disposition of the applicable files, the Budget Office might need to keep

their ‘budget” records for six years versus the Procurement Office keeping their

“budget” records for two years.

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 met for 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..).

(YOUR OFFICE)

ADMINISTRATIVE Subject Files

PROGRAM BACKGROUND, DEVELOPMENT, AND SUPPORT Subject Files

PROGRAMS Subject Files

SPECIFIC OFFICE/FUNCTION RECORDS

STRATEGIC OBJECTIVES

CASE FILES