HANDBOOK FOR SUBJECT FILING

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020031-8
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 109
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 31
• Publication Date: April 6, 1959
• Content Type: REPORT

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6 APRIL 1959
HANDBOOK FOR
SUBJECT FILING
S MAINTENANCE
RECORDS MANAGEMENT PROGRAM
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This Manual is intended primarily for training purposes. It
serves as an adjunct to the Agency's official Handbook for Subject
Filing.
This Manual has been prepared as a guide to installing and
maintaining the Subject Numeric System of Filing set forth in the
Handbook.
The Subject Numeric System of Filing is being established as.
the standard system in the Agency. It increases the administrative
usefulness of records, expedites the disposition of records no
longer needed, and facilitates preservation of records of perma-
nent value.
Although the subjects listed herein are primarily adminis-
trative and general in nature, individual offices may adapt and
expand the given subject title list to meet their particular
needs. Area Records Officers and the Records Management Staff
are prepared to assist offices in adapting or modifying the
filing system to fit specific requirements.
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PART ONE - GENERAL INSTRUCTIONS
Page
SECTION I. INTRODUCTION
1. Scope ............................................. 1
2. Responsibility..... ............................... 1
3. Definitions ....................................... 1
SEC ICON II. TYPES OF FILES
4. General Subject Files ............................. 3
5, Case or Project Files.*.... ....................... 3
6. Alphabetical Name Index ......................... .. 3
SECTION III. STANDARD FILE CLASSIFICATION SYSTEM
7 . Description ............................ ...... ..... 5
8. File Classification Guide. 5
9. Classifying Papers for
SECTION IV. CROSS REFERENCES
10.
When and How to Prepare Cross References,....,.,,,
10
SECTION V. FILING THE RECORDS
11. Assembling the Papers for
11
12. Folder and Guide Arrangements.
11
13. Placing Material in the Files .....................
13
3-4. File "Cut-off" Periods and
14
SECTION VI. FINDING AND CHARGING-OUT THE RECORDS
15. General ..................
16
16. Finding the Records ...... .........................
16
17. Charging-out the Records ..........................
17
EXHIBITS
A. Subject File Copy .................................
19
B. Alphabetical Name Index Copy ......................
20
C. Correspondence Cross Reference, Form No. 135 ......
21
D. Correspondence Continuity Reference, Form No.
232... ... ..................................
22
E. Arrangement of Folders, Guides, and Labels.......,
23
F. Rules for Alphabetic Filing,...,..................
24
G. Correspondence Charge-out, Form No. 36-270.,,,,.,,
30
H. Case File Charge-out Card, Form No. 119...........
31
I. File Backing Sheet, Form No. 36-271., ........ oo...
32
PART TWD - FILE CLASSIFICATION GUIDE ........................
33
SUBJECT LIST.... .......................................
33
SUBJECT INDEX ..........................................
71
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MANUAL FOR SUBJECT FILING
SECTION I
INTRODUCTION
The Standard File Classification System and the attendant pro-
cedures described herein are prescribed for use in filing and
maintaining correspondence records. Although the system is
designed to permit a certain amount of flexibility to meet the
specific requirements of various offices, it is essential that
the basic pattern provided herein be followed carefully if an
adequate degree of standardization is to be maintained. Further
subdivision of any of the subjects listed is permissible to pro-
vide for the necessary detail which may be required by some of-
fices. "Case" or "project" files may be established under any
subject as required.
2. RESPONSIBILITIES
The Records Management Staff, Management Staff and desig-
nated Area Records Officers throughout the Agency have tech-
nical custody and responsibility for the proper maintenance
and disposition of official records of the Agency. The Rec-
ords Management Staff will furnish to offices maintaining
official records all assistance possible in the establishment
of their files, including procedures for maintenance, servic-
ing, and retirement of the records.
3. DEFINITIONS
a. OFFICIAL RECORD COPY
The original or copy of a letter, document, report, etc.,
which is maintained in a designated "Official File Station"
for documentation purposes and which is distinguished from
other copies of the same document, in the same organiza-
tional element, by the fact that such other copies merely
serve as temporary working papers, "convenience" files, etc.
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b, OFFICIAL FILE
Each file containing official record copies shall
constitute an "official file" and should include the
original incoming communication and the initialed -e~ low
copies of outgoing and interoffice correspondence;
original or action copies of reports, executed forms,
maps, photographs, and other documentary material. The
official record copies shall not be maintained in any
organizational unit not specifically designated as an
Official File Station.
Reference material consisting of printed or duplicated
copies of publications, extra copies of communications
used as reading files, and other material considered as
temporary working papers is not included in the definition
of official records. Such nonrecord material shall not be
interfiled with official records.
c. OFFICIAL FILE STATIONS
The term "Official File Station" means any specifi-
cally designated organizational element where the
official record copies of correspondence and other
documents are maintained. The physical. location of
an Official File Station shall be determined by the
head of such organizational element, with technical
advice from Records Management Staff.
d. CLASSIFY, CLASSIFIED, AND CLASSIFICATION
As used in this Handbook and in filing operations, these
terms refer to the subject or file designation of records
and. not to security classifications: "TOP SECRET," "SECRET,"
or "CONFIDENTIAL."
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TYPES OF FILES
4. SUBJECT FILES
Subject Files are. considered to be those types of paper
records which ordinarily include correspondence, reports,
and other documents which may be classified and filed under
all or many of the subject categories included in the File
Classification Guide. The general subject material is dis-
tinguished from that which is ordinarily identified as "case"
or "project" files as described in the next paragraph.
5. CASE OR PROJECT FILES
A case or project file is described as a file comprised of
material relating to a specific action, transaction, person,
organization, location or thing, yet may cover one or many
subjects pertaining to the specific case or project. Types
of case or project files may include voucher files, contracts,
loan cases, construction projects, leases, litigation cases,
and many others. Case or project files may be included as a
part of the subjec files or ey may a located physically
from such files. Asa general rule tie volume of these
records and the use made o hem should dictate their arrange_
men .
6. ALPHABETICAL NAME INDEX
The Alphabetical Name Index is a finding medium through which
correspondence and other documents filed by subject may be
located when the available information is the name of the cor-
respondent, the name of the author of a document, or the name
of an individual or organization referred to in correspondence
or documents. It is not always necessary or advisable to es-
tablish a name index to the subject file. Therefore, careful
consideration should be given to the actual need for such an
index before establishing one. In other words, the Alphabetical
Name Index should not be established at any Official File Sta-
tion if :
a, The quantity of material filed by subject is so small that
no difficulty will be encountered in locating it by subject;
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b. The type of records filed is susceptible to an alph a-
betLcal arrangement by names within the subject files;
or
c. The type of material can be located easily by case or
project symbol, number,, or other means of identification,
without the aid of an alphabetical index.
If the Alphabetical Name Index is used it should be composed
of extra copies (normally pink tissues) of outgoing corre-
spondence, and Form No. 135, "Correspondence Cross Reference."
Paragraph 12c decribes the arrangement of folders and guides
for the Alphabetical Name Index.
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STANDARD FILE
CLASSIFICATION SYSTEM
7. DESCRIPTION
The file classification system adopted for use is known as
the "Subject-Numeric System of Classifying and Filing."
This system is an adaptation of both the simple subject
and numerical coding systems. It retains the simplicity
of the alphabetical arrangement of subject titles, brings
together related subjects, and provides file designations
consisting of a combination of descriptive subject titles
with related subjects organized as subdivisions of the
primary subjects. The subdivisions of the primary subjects
are assigned Arabic numerals to reduce time and effort in
marking material for filing and to make it easy to memorize
the filing designations.
8. FILE CLASSIFICATION GUIDE
The File Classification Guide contained in Part Two of this
Handbook is divided into two parts, as follows:
a,
A Subject List consisting of a group of alphabetically
arranged primary subject titles with their related sec-
ondary and suggested tertiary subdivisions.
b.
A Subject
all of the
It serves
Index consisting of an alphabetical listing of
subject titles and other appropriate references.
the same purpose as an index to a book.
9. CLASSIFYING PAPERS FOR FILING
The process of classifying involves the analysis of correspond-
ence or other documents to determine the subject by which they
should be filed, and the placing of file designations on material
to show where it should be placed in the file,
as IMPORTANCE OF THE PROCESS
Papers received for classifying and filing may cover a wide
variety of subjects. Also a number of papers involving one
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particular subject may be intermingled with those of other
subjects. The file classification system is designed so
that all of the papers on related subjects will be consist-
ently and logically brought together in the files. How-
ever, sound judgment and careful attention must be given to
the procedures which follow if the classification process
is to be accomplished satisfactorily. THE ABILITY TO
LOCATE PAPERS PROMPTLY AFTER THEY ARE FILED DEPENDS LARGELY
UPON THE CARE USED WHEN CLASSIFYING MATERIAL BEFORE IT IS
FILED.
b. METHOD OF CLASSIFYING
The following are the normal procedures to follow when
classifying material for filing.
(1)
(2)
(3)
Read and analyze the correspondence or other material
to determine the most outstanding or prominent sub-
ject; that is, the subject by which the papers will
most likely be requested.
Select the proper file designation by referring
directly to the Subject List or Index of the File
Classification Guide, in the following manner: (a)
determine the appropriate primary subject category,
such as TRAVEL.. PERSONNEL, etc., for example, a let-
ter concerning recruitment of personnel would fall
under the primary subject PERSONNEL; (b) select the
appropriate subdivision, if any, under the primary
subject, for example, a letter concerned with budget
estimates would be classified by the secondary subject
Budget Estimates, a subdivision of the primary subject
APPROPRIATIONS. Similar reasoning is applicable for
the selection of tertiary subjects.
If no appropriate subdivisions of the primary subject
have been provided, the primary subject itself is used
as the file designation.
Starr or write the file designation in the upper right
corner of the Subject Fie copy yellow tissue), as
shown in Exhibit A or in the same position on any in-
coming correspondence which did not require a reply.
The file designation consists of the full primary sub-
ject title followed by the Arabic numeral or numerals
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(4)
representing the subdivision of the primary sub-
ject. For examples The file designation ACCOUNT-
IM 1 denotes the proper file classification for
material to be filed under the primary subject
ACCOUNTING, and the secondary subdivision Accounts
Current.
Mark the Al habetical Name Index Copies (if the index
is being employed) at the same time the file designa-
tion is placed on the Subject File copy, by placing
the same file designation by which the subject copy is
to be filed, in the upper right corner of the pink
copy as shown in Exhibit B. This file designation will
indicate where the material is located in the Subject
File. Also after the file designations are placed on
the file copies, the names title, etc., under which
the Name Index copies are to be filed should be under-
scored on such copies. The following are examples of
how the papers should be marked: private (a) should be Correondeiceled by rtthe last name of heiindivid-
ual addressed. Example of marking:
Mrs. Mary Brown
1220 Ivy Street
Seattle 5, Washington
(b) Correspondence addressed to officials of commercial
concerns should be filed under the name of the
company or organization. Example of marking:
x
Mr. John Doe, Manager
American Machine Corporation
cago 129 I ino
(c) Correspondence addressed to officials within the
Agency should be filed under the name of the
principal organizational unit addressed, disregard-
ing such teens as "Office of." Example of markings
MEMORANDUM FOR: Executive Officer, Office of Personnel
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(5)
(d) Correspondence addressed to individuals in
other Federal agencies should be filed under
the name of the agency. Examule of marking:
x
Mr. Joseph Black
Chief, Aeronautics Office
Department of Commerce
Washington 25, D. C.
Indicate the cross references to be prepared in the
following manner:
(a)
For the Subject Files. If the material being
classified involves more than one subject by
which it is likely to be requested, or a single
subject with more than one interpretation,
select the file designation for the additional
subject(s) and stamp or write it immediately
below the file designation already shown for the
main, most prominent subject. In such instances,
a cross mark "X" should be placed at the left of
the file designation to indicate that a cross
reference is required, as follows:
RECORDS :3
X COT? UNICATIONS 2
(b) For the Alphabetical Name Index. If the
Alphabetical Name Index copy is to be filed in
the Name Index by the name of an organization,
indicate, by placing a cross mark "x" above the
first letter of the last name of the individual
addressed, that a cross reference is to be made
for filing by the name of the individual. Like-
wise, indicate cross references to be prepared
for any names of persons or organizations referred
to in the body of the correspondence or document.
(6) Note earlier material to be brought forward and consol-
idated with later correspondence. If an indication of
earlier correspondence or documents is discovered, this
fact should be noted on the correspondence to indicate
that the earlier material should be removed from the
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file and consolidated with the material of the
later date. See paragraph 10b for instructions
regarding preparation of Form No. 232, Corre-
spondence Continuity Reference.
as HELPFUL HI TO THE CLASSIFIER
(1) While some analytical ability is desirable, the
knack of noticing essential key phrases and ideas
in correspondence helps to select correct file des-
ignations. However, if the subject cannot be easily
determined, it is helpful to consider the correspond-
ence in this light: "Why was it written?" or "What
reason was there that prompted the writer to write
it?" Usually it will be found that the purpose for
writing suggests the subject under which it should be
filed.
(2) It is helpful at times to refer to previous correspond-
ence already on file to verify a tentatively selected
file designation.
(3) In unusual cases the subject of correspondence is so
vague that it is difficult to determine the proper file
designation. In such cases, there need be no hesitancy
in going to the dictator or other authoritative sources
to obtain a sufficiently clearer conception of the
subject matter, so that the material may be properly
classified. This extra effort will permit more accu-
rate filing and facilitate finding the material.
(Zt) The subject line frequently appearing above the body
of correspondence should not be relied on too heavily
in determining the subject under which the correspond-
ence should be filed. It may be vague, misleading,
or even remote from the real subject of correspondence
concerned.
(5) Persons responsible for classifying and filing records
should study the organizational and functional struc-
ture of the Agency and keep currently informed regard-
ing policies, procedures, programs, and projects:. Such
knowledge is essential to the selection of correct file
designations.
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10. WHEN AND HOW TO PREPARE CROSS REFERENCES
The use of appropriate cross references in the file or index
can be an invaluable aid in locating material quickly when
needed. Care should be taken, however, to avoid making and
filing unnecessary cross references which will consume time
in preparation and space in the files. The following are
normal conditions under which cross references should be made.
a, WHEN MORE THAN ONE SUBJECT IS INVOLVED
For those documents which cover more than one subject as
indicated in paragraph 9b(5) an extra copy of the doc-
ument, if available, should be used or Form No. 135,
Correspondence Cross Reference, should be prepared,
as shown in Exhibit C.
b. TO CONSOLIDATE RELATED MATERIAL
When it is necessary to bring forward earlier correspond-
ence or documents and consolidate it with subsequent
material as explained in paragraph 9b(6) Form No. 232,
Correspondence Continuity Reference, as shown in Exhibit D.
should be prepared.
c. TO PROVIDE ALPHABETICAL NA 4E REFERENCE`!
When incoming letters are filed without replies, or extra
copies of correspondence are not available for filing in
the Alphabetical Nami5 Index, name references should be
made on Form No. 135. Also, such references may be
prepared for names of individuals or organizations
referred to in the body of the correspondence.
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11. ASSWBLING THE PAPERS FOR FILING
After correspondence and docwnents are marked with the
correct filing designation, they should be properly assem-
bled preparatory to filing. Each unit of material con-
sisting of two or more papers relating to a particular trans-
action should be arranged in chronological order with the
latest date on top. Such papers should be fastened together
with staples in both upper corners of the assembly, or with
prong fasteners if the unit of material is too thick for
staples.
12. FOLDERS AND GUIDE ARRANGEHENI
The orderly appearance and efficiency of any file depends to
a large extent upon the careful preparations uses and arrange-
ment of folders and guides in the file drawer. Folders are
necessary to keep related papers together and in order.
Guides serve as "sign posts" to help speed up filing and find-
ing operations. The incorrect use of either folders or guides
will retards rather than aid,, these operations. To provide
for uniformity as to types of folders and guides and their
arrangements the following standards should be adhered to, as
far as practicable:
a. GENERAL SUBJECT FIIE
(1) Folders and File Designations
Kraft folders, 11-point weights square-cuts with
reinforced tabs meet requirements for the Subject Files.
Such folders should be prepared for only those subject
titles for which there is a definite current or antici-
pated need. If there is little or no need for the use
of subdivisions of some of the primary subjects, fold-
ers for those subdivisions should not be placed in the
files. If an occasional piece of correspondence is
classified under a secondary or tertiary subject, the
material should be placed in the primary subject folder.
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When a primary subject folder contains ten or
more file units with the same secondary or ter-
tiary designation, a separate folder should be pre-
pared for the material.
File designations may be typed directly on the
folder tabs if a long-carriage typewriter is avail-
able. If such a typewriter is not available, gummed
labels may be used. In either case the file des-
ignations (whether typed directly on folders or
labels) for any primary or secondary subjects con-
tained in the File Classification Guide shouldbee-
p ed uni o y on the folder to enning one-
half inch from the left. Labels or file designations
for case or project files established within the
Subject File, should be placed in the center of the
folder. See Exhibit E. for an illustration of the
correct method of preparing and placing file des-
ignations on folders.
(2) Guides
Pressboard Guides, with metal angular tabs, one-third
cut, should be used in the Subject Files. Tabs will
be used in the following manner: SECOND position for
all primary subjects; and THIND position for secondary
subjects. See Exhibit E, for illustration of proper
arrangement of guides and the correct method of writing
file designations on guide inserts.
(3) Arrangement Within the File Cabinets
Folders and guides should be arranged in the file
drawer in the exact sequence in which the primary and
secondary subjects appear in the File Classification
Guide, starting from the front of the drawer, with the
guides preceding the related folders. The sequence
of the drawers should be from top to bottom of the
cabinet.
b. CASE OR PROJECT FILES'
Kraft folders, 11-point weight,, square-cut, reinforced tabs,
with fasteners may be used for case or project files, but
their arrangement may vary according to types. Case or
project files may be established within the Subject Files
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or physically separated depending upon the type and spe-
cific reference needs of the organizational element.
(1) Folders and Guides
The same type of folder and guide described for use
in the Subject Files should be used for the Alphabet-
ical Name Index. Alphabetical captions may be typed
directly on the folders, or labels may be used if a
suitable typewriter with large type is not available
for typing on the folder. If it is difficult to
determine in advance how large the index will be, it
is advisable to start first with a folder for each
letter of the alphabet and make folders for subdivi-
sions of these letters as the file grows. Special
folders for common names, such as "Smith," "Brown,"
"Adams," etc., and names of organizations or indi-
viduals with which the organization has frequent
correspondence may be made as required.
(2) Rules for Alphabetic Filing
Exhibit F, is a complete set of rules for alphabetic
filing. All persons having the responsibility for
filing records should thoroughly familiarize them-
selves with these rules, so that, regardless of who
does the filing there will be consistency in the
arrangement of the index reference.
13. PLACING MATERIAL IN THE FILES
After material to be filed has been classified and marked for
filing, the papers should be segregated as to types of files
preparatory to actually placing them in the files. For exam-
ple, Subject File material should be arranged alphabetically
by the primary subject categories appearing on the documents.
Index references for the Alphabetical Name Index should be
arranged in alphabetical order before proceeding with the fil-
ing operation.
a. ARRANGEMENT WITHIN THE FOLDER
When filing the material, place each assembly within the
13
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proper folder with the left edge of the papers down.
Unitas of material for filing should be arranged in
the folder in chronological order with the latest
date forward, unless a different arrangement will
facilitate its use. All material should be filed
loose in the folders except for case or project mate-
rial which should be fastened to the folder.
Folders should not be overfilled. Three-quarters of
an inch is the normal capacity of a folder. When the
capacity of the folder has been reached, additional
material on the same subject or case should be placed
in another folder and arranged with the folder contain-
ing the more current records in front. The inclusive
dates of the material should be shown on the tab of
each of the earlier folders in this manners
1 January 1959 - 31 March 1959
When the new folder is started, the beginning date
should be indicated on the tab in this manners
1 April 1959 -
b. BREAXII3 DOWN VOLUKINOUS CASE OR PROJECT FILES
The amount of material accumulating in connection with
a single case or project may become too voluminous for
filing in one folder. Rather than file the papers per-
taining to the project or case in two or more folders,
chrono_ lc ically, the reference use of the material com-
ppi sing the complete case may be facilitated by dividing
the material into several action phases of the case and
filing it in separate folders under the project or case
designation. A voluminous single project requires too
many individual folders to afford easy reference to the
material if filed in straight chronological order from
the date of the first document to the latest.
14. FILE "CUTOFF" PERIODS AND RETI04ENT
The periodic termination of filing in a series of records at
a predetermined time and the starting of a new series of
records of the same type with current material is termed a "cut-
off" procedure. The purpose of applying a cut-off procedure is to
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facilitate retirement of the older records. To identify the
cut-off period the filing year should be entered on the right
side of the folder tab. (See Exhibit E.)
Cut-off periods, such as "1 year of accumulation," "Remove
from current file upon completion of transaction," should be
established for each file series in order to prevent the ac-
cumulation of files beyond the actual current needs. The cut-
off files may then be retained for an established holding
period before retirement to the Records Center. During this
holding period, material from the cut-off file(s) which be-
comes necessary for current operations may be brought forward
and interfiled with the material in the current file.
After expiration of the established holding period, the re-
maining cut-off portion of the file should be transferred to
the Records Center. When material is withdrawn from the cut-
off portion of a file for continued action, Form No. 232,
Correspondence Continuity Reference, should be placed in the
cut-off file. This will identify the material brought for-
ward and indicate the filing location in the current file.
The above cut-off and retirement procedure is prescribed in
order that office space and equipment requirements will be
held to a minimum.
Approved Records Control Schedules, Form No. 139,-Provide
specific authority for control and disposition of each
type of record. Information concerning these schedules
may be obtained from your Area Records Officer or the
Records Management Staff.
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FINDING AND CHARGING-Our
THE RECORDS
15. GENERAL
The primary purpose of any filing system is to provide an
orderly method of arranging and putting documents away so
that they may be produced quickly when needed. Therefore,
the successful operation of any system depends upon the
ability to locate records promptly. In this connection,
the following procedures and techniques are given, which if
followed by the searcher, will contribute to the efficient
operation of the file system.
16. FINDING THE RECORDS
a. RECEIVING THE REQUEST
The person receiving the request for the file should
endeavor to obtain as much information as possible from
the requester to enable the searcher to identify the
needed record. The amount of information required to
locate a specific file will depend upon the type of file
requested. For most general correspondence files the
subject matter and date of the material is most important.
However, the name of any individuals, companies, organiza-
tions, agencies, etc., identified with the correspondence
will assist in making the search,
be MAKING THE SEARCH
As a general rule, material in the Subject File may be
located by going directly to that file, if the requester
has supplied adequate information regarding the subject
of the material. If the searcher is not sure of the
file designation by which the records may be found, he
should consult the File Classification Guide before going
to the file. If only name references are given, or if the
subject information is not adequate, the searcher should
refer to the Alphabetical Name Index (if one is being used)
to determine the location of the record in the subject file.
16
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Because of the numerous types of project or case files,
and since they are more easily identified and located
than general subject material, no specific suggestions
are given concerning the searching for such records.
If the material requested cannot be found in the files,
a search should be made of any unfiled records.
17. CHARGING-OUT THE RECORDS
To ensure proper use of records, to prevent their loss and
misplacement and to keep informed at all times of the
location of records, it is necessary to maintain control of
all material withdrawn from the files. This control is
accomplished through a charge-out system. Individuals to
whom records have been charged should be held responsible for
their custody and prompt return after the records have served
their purpose.
as REMOVING INDIVIDUAL RECORDS FROM THE SUBJECT FILE
Form No. 36-271 (to be redesignated as Form No. 225),
File Backing Sheet, should be attached to records removed
from this file. These File Backing Sheets will provide
a substantial base, protect the record(s) and distin-
guish the material from other papers. This form has a
distinctive blue color and measures 8" x 112". (See Ex-
hibit I.)
Form No. 36-270 (to be redesignated as Form No. 224),
Correspondence Charge-Out (see Exhibit G), should be
filled in and placed in the folder in an upright position
in the exact location from which the record(s) were re-
moved.
Upon return of the charged record(s), Form No. 36-270,
Correspondence Charge-Out, should be removed and canceled
and the record together with Form No. 36-271, File Backing
Sheet, attached should be placed in the file.
Case files are always charged out in their entirety.
Entire folders are removed and delivered to the
requester. Upon such removal, fill in Form No. 119,
Case File Charge-Out Card, as shown in Exhibit H.
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and file in an upright position in the exact place
from which the folder was removed. When this charged
folder is returned to the files, the Charge-Out Card
is canceled and placed horizontally in the folder.
This will eliminate the necessity of preparing a new
Charge-Out Card each time the same case file is
withdrawn.
c. CHECKING THE FILES FCR CHARGED RE100RDS
The files should be inspected regularly to ensure the
return of charged records. The charge-.out forms when
placed in an upright position are taller than other mae-
terial in the files and can be distinguished readily by
a casual inspection. When such inspections reveal that
material has not been returned., assure that the material
is still in use,
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Mr. John Doe, Manager
American Machine Corporation
Chicago 12, Illinois
Exhibits A and B are included herein to represent
copies of correspondence properly classified and marked
for filing. Exhibit A shows the placement of the file
designation in the upper right corner of the Subject File
copy (yellow), including the correct method of indicating
what cross references should be made.
Exhibit B shows where to place the file designation
on the Alphabetical Name Index copy (pink) as well as
how to underscore the appropriate name references for the
Name Index.
You will find the detailed procedures for classify-
ing and marking correspondence explained in paragraph 9
of the general instructions.
Distribution:
Orig. Addressee
1 - Comptroller
ROBERT R. BROWN
Deputy Director
1 - Official
1 - Name Index
1111?4_1?X21 A-
19
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Mr. John Doe, Manager
American Machine Corporation
Chicago 12, Illinois Dear Mr. Doe: NrMIS E LEI) COpy
Exhibits A and B are included herein to represent /N AIPMgf~NM1E Nis
copies of correspondence properly classified and marked INDEX
for filing, Exhibit A shows the placement of the 'file
designation in the upper right corner of the Subject File
copy (yellow), including the correct method of indicating
what cross references should be made.
Exhibit B shows where to place the file designation
on the Alphabetical Name Index copy (pink) as well as
how to underscore the appropriate name references for the
Name Index.
You will find the detailed procedures for classify-
ing and marking correspondence explained in paragraph 9
of the general instructions.
Distribution:
Orig. - Addressee
1 - Comptroller
1 - Official
I - Name Index
ROBERT R. BROWN
Deputy Director
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TO: American Machine corp., Chicago, ni.
John Doe, Manager
FROM: Robert R. Brown, Deputy Director
SUMMARY: Procedure for classifying and marking correspondence for
filing.
FILED: RECORDS 3
INDEXER: LMN
REMARKS:
EXg-TBrT C
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USE THESE CAPTIONS TO IDENTIFY THE FILE
THAT IS BEING BROUGHT FORWARD FOR CON-
SOLIDATION WITH MATERIAL OF A LATER DATE.
FILE THIS FORM IN PLACE OF THE MATERIAL
BEING BROUGHT FORWARD.
USE THESE CAPTIONS TO SHOW WHERE THE
CONSOLIDATED PAPERS ARE NOW LOCATED IN
THE FILE.
EXHIBIT D
22
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ARRANGEMENT OF FOLDERS, GUIDES AND LABELS
LABELS FOR STANDARD
FILE DESIGNATIONS
APPROPRIATIONS 2-1 1953
EXHIBITS
PRIMARY SUBJECTS
2ND POSITION GUIDE
23
ACCOUNTING 2-1
PER DIEM
ACCOUNTING 2
ALLOWANCES
LABELS FOR CASE FILES
OR DETAIL SUBJECTS
ACCOUNTING 1 1953
ACCOUNTS CURRENT
SECONDARY SUBJECTS
3RD POSITION GUIDES
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Alice Delaney
Andrew De Laney
Michael D'Fao
John Fitzsimmons
Robert MacAlister
Charles McCarthy
Hugh O'Neill
FitzHugh Peters
Susan St. John
Albert Vandegriff
Ronald Van de Griff
Delaney
De Laney
D'Fao
Fitzsimmons
MacAlister
McCarthy
O'Neill
Peters
St. John
Vandegriff
Van de Griff
EXHIBIT F (Page 1)
24
There are three steps in alphabetic name filing:
1. Determine the indexing form of the name--files as written, surname
transposed, articles to be disregarded, etc.
2. Determine the filing units in the name.
3. Consider the filing units in turn, determining the arrangement of
the material in strict alphabetic order.
Some of the rules for alphabetic filing, therefore, are concerned
with determining the filing order of the name; some with the
determination of filing units; and others with the alphabetic
arrangement of those units.
1. In filing by names of individuals the surname is the first unit,
the first name or initial is the second unit, the second name or
initial is the third unit, and so on for any additional names
or initials the person may have.
A fundamental rule of filing is "nothing comes before something."
Thus a surname without given name or initial precedes the same
surname with a given name or initial; also a surname with a given
name precedes the same surname and same given name with an initial.
Richard Johnson
Jones
J. Jones
J. A. Jones
J. Allen Jones
James Jones
James A. Jones
James Abbott Jones
James Allen E. Jones
Ernest E. Jordan
Johnson
Jones
Jones
Jones
Jones
Jones
Jones
Jones
Jones
Jordan
J.
J.
J.
James
James
James
James
Ernest
A.
Allen
A.
Abbott
Allen
K.
This example illustrates the alphabetic arrangement considering
first the first units, then when the first units are the same,
the second units are considered; when the second units are also
the same, the third unit is considered, etc. However, where it is
known that the material is on the same individual whether written
with initials or given names, it is filed together. Thus, If
J. Jones, J. A. Jones, and James A. Jones is the same individual,
material is filed together under his most common method of writing
his name. The usual methods for writing the name is
First given name
Middle initial
Surname
2. Prefixes such as d' D' de De De La di du, Fitz, La, Le
M' , Mac, Mc O' Vaann~ V a=Van "I_ 1 er '~ are considered as
part oT eT er the given name or surname to which they are
prefixed, and are arranged in strict alphabetical order.
Alice
Andrew
Michael
John
Robert
Charles
Hugh
FitzHugh
Susan
Albert
Ronald
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4.
Wm. Jones
Jones
William
Jas. Miller
Miller
James
Chas. Smith
Smith
Charles
Theo. Williams
Williams
Theodore
Jno. Young
Young
John
t St. is filed as though spelled out.
The abbreviation for aS in.
St. Louis Athletic Club Filed Saint Louis Athletic Club.
5. Titles euch as Dr., Mrs., Miss., Prof., Col., Director, Supt.,
and abbreviations, sucWas Jr., Sr., 2nd, may be placed in
parentheses after the name, but are disregarded in filing.
However, if there are two names in which the surname and given
names are identical except that one is Jr.. and the other Sr.,
these designations are considered in filing. Foreign and
religious titles, such as, Duke of Argyll, Sister Mary, etc.,
are filed as written.
Jones, J. A. (Dr.)
8. The legal name of a married woman, where known,
filing purposes rather than her husband's name.
in parentheses after the name, but is not consi
Mary Elizabeth Brown Mrs.)
Mary J. Brown (Mrs.)
Mary Jones Brown (Mrs.)
is used for
Mrs, is placed
Inc rrect File
J. E. Brown (Mrs.)
not John E. Brown (Mrs.)
7. When the full names of two or more individuals are identical,
they may be identified and arranged according to age, color,
sex, etc. If these factors are unknown, they are arranged by
the alphabetic order of the cities in the addresses.
8. Names of firms and institutions are filed alphabetically as
written when they do not contain the full name of an
individual.
9. Firm names or titles of institutions containing the full name
of an individual are filed in the following order:
a. Surname
b. Given names or initials
c. Remainder of firm name or title
Marshall Field
and Company
James A. Jones
Foundry Company
When it is not clear whether the names are the given name and
surname of a single individual or the surnames of two individuals,
the material is filed as though the names were of two persons,
and cross-referenced under the second name.
Barton Adams Advertising Agency
File: Barton Adams Advertising Agency
Cross reference: Adams, Barton, Advertising Agency.
EXHIBIT F (Page 2)
25
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10. Names of firms or titles of institutions containing numerals
are filed as though the numbers were spelled out.
The 13 Club filed Thirteen Club (The).
11. Hyphenated names of individuals are treated as one unit in
filing.
12. Hyphenated firm names and titles are treated as separate words.
Henson-Hendrix Company Henson I Hendrix Company
13. Names which may be spelled as one word or two words are filed
as one word.
Interstate Insurance Co.
Inter State Produce, Inc.
Unit 2 Unit 3
Interstate
Inter State
Company
Inc.
'14. Apostrophe and a, indicating singular possessive, is not
considered in filing. S and apostrophe, indicating plural
possessive, J.$ considered in filing.
Shop
A.
(The)
Anderson's Candy Shop
Charles A. Anderson
The Boy's Companion
Boys' Club
Anderson's
Anderson
Boys
. is
Candy
Charles
Companion
15. Articles, prepositions, and conjunctions, such as, f
in, of, and the. do not affect the order of filing, When the
is included as part of the title it is placed in parentheses;
if it is the initial word, it is placed at the end of the
title.
The Clark Company
The James B. Clark Company
Edward Cole
Cole and Sons Hardware Co.
League of Nations
League of Women Voters
Max the Hatter
Clark
Company
(The)
Clark
James
B.
Cole
Edward
Cole (and)
Sons
Hardware
Company
League(of)
Nations
League(of)
Women
Voters
Max (the)
Hatter
I
16. The words brothers. company, incorporated, limited. $oB, and eons,
and their abbreviations are considered in filing, and when
abbreviated, are filed as though spelled out.
Jones Brothers
Jones Company
Jones, Incorporated
Jones, Limited
EXHIBIT F (Page 3)
26
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17. Compound geographic names are considered as two words; prefixes
to geographic names are considered as one word.
New York Publishing Company
South Carolina Utilities
New
South
York
-Carolina
Publishing
Utilities
18. When the names of two or more businesses are identical, they may
be filed alphabetically by the names of the cities in which they
are located, if such separation is desirable.
General Electric Company, Pittsburgh
General Electric Company, Schenectady
19. An abbreviation in a firm name is'filed as if the name were
written in full where name is known.
20. A foreign title or article in a firm name is considered as a
separate filing unit.
El Morocco
La Parisienne Beauty Shop
El
La
Morocco
Parisienne
21. When such phrases as association of union of. organization off,
societ for, bureau of Governmenta bureaus excepted), do depart-
BM excepted) constitute t e
beginning of a name or title, they are considered and filed as
part of the name.
Association for the Advancement .)
of Management ) Filed as written, first
Association of Mechanical Engineers) and second units indicated
ociet for Prevention of Cruelty ) by underscore
to Animals
22. Names of churches, clubs and similar organizations are filed
under the first "unit" word that is most important or that most
clearly identifies the organization.
23. United States and Federal when preceding a department of the
Government are not considered in indexing. These titles are
considered in filing when they appear in the names of firms
or institutions not connected with the Government.
Federal Casualty Insurance
Company
Federal
Casualty
United States Tariff
Commission
Tariff
Commission
Federal Trade Commission
Trade
Commission
United States Steel
Corporation
United
States
EXHIBIT F (Page 4)
27
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24. Departments and Bureaus of the Federal Government are filed in
the following order:
a.
The
principal
words
in
the
name
of
the department
b.
The
principal
words
in
the
name
of
the bureau
c.
The
principal
words
in
the
name
of
other units
necessary for
filing
purposes.
Civil Service
Commission
Farmers Home
Administration
Forest Service
Public Health
Service
General Account-
ing Office
Bureau of Mines
Bureau of Inter-
nal Revenue
Civil
Agriculture
Agriculture
Federal
General
Interior
Treasury
Farmers
Forest
internal]
(Bureau of)
25. Frequently governmental units are referred to its "State of ,"
"Commonwealth of ," "County of "City of
"Municipality of ," "Township of ," etc. These desig-
nations are not considered in filing. The actual name of the
governmental unit is indexed and these designations, when
necessary, are appended parenthetically.
County of Claiborne, Tennessee
State of Maine
Commonwealth of Massachusetts
City of Memphis, Tennessee
Claiborne, Tennessee (County of)
Maine (State of)
Massachusetts (Commonwealth of)
Memphis, Tennessee (City of)
26. Bureaus and Departments of Municipalities..-The name of the city
is written first, State second, name of department or bureau
third:
Cincinnati City Council
Cincinnati Bureau of
Health
Office of the City
Manager, Cincinnati
Office of the Mayor,
Cincinnati
Cincinnati Planning.
Commission
Police Department,
Cincinnati, Ohio
Department of Safety,
Cincinnati
Cincinnati,
Cincinnati,
Cincinnati,
Cincinnati,
Cincinnati,
Cincinnati,
Cincinnati,
Ohio, City Council
Ohio, Health (Bureau of)
Ohio, Manager
Ohio, Mayor
Ohio, Planning Commission
Ohio, Police Department
Ohio, Safety (Department of)
Where the volume of correspondence from a municipality or other
government subdivision is small, all material may be filed
chronologically under the name of the subdivision without
further breakdown,
EXHIBIT F (Page 5)
28
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27. When the name of a city is part of the name of a firm or other
organization, not a part of the city government, the name is
filed as written.
Cincinnati Post
Cincinnati Women's Club
Knoxville Automobile Club
Knoxville Glass Company
Knoxville News-Sentinel
New York Times
By use of rules 26 and 27 the 15tate name affords the means of
distinguishing between official municipal correspondence,
correspondence with or about municipal departments or munici-
pally owned and operated organizations and enterprises, and
correspondence with commercial organizations or firms having
municipal names.
In rare instances where there are two or more cities by the
same name but in different States, material must be arranged
in alphabetical order by States:
Bowling Green, Kentucky, Automobile Club
Bowling Green, Ohio, Automobile Club
28. Material regarding banking institutions is filed first by
the name of the city in which the bank is located, then
by name of bank, with State at end of title in parentheses.
If the city name is embodied in the name of the bank at the
beginning, it is not repeated.
Bank of Knoxville, Knoxville, Bank of Knoxville
Knoxville, Tennessee (Tennessee)
Hamilton National Bank of Knoxville, Hamilton National Bank
Knoxville, Tennessee (Tennessee)
Knoxville Trust Company Knoxville Trust Company (Tennessee)
Bank of Maryville, Maryville, Bank of Maryville
Tennessee (Tennessee)
First National Bank of Maryville, First National Bank of
Maryville, Tennessee (Tennessee)
29. Newspapers which do not have as part of their name the name of
the city in which they are published are filed the same as
other commercial organizations. For example, The Daily Mirror
is filed under D although it is a New York newspaper.
The words New York are not carried as part of the name of this
newspaper. Similarly, this applies to all other such newspapers
where the name of the city is not actually a part of the
newspaper's name.
Daily Mirror (The)
Knoxville News-Sentinel
Minneapolis Star-Journal
New York Times
Toledo Times
EXHIBIT F (page 6)
29
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CORRESPONDENCE CHARGE-OUT
1. D TE OF CORRESPONDENCE 1. DATE OF CORRESPONDENCE
2. FILE ASST FIC.ATI ON 2. FILE CLASSIFICATION
3. TO
3. TO
4. FROM
4. FROM
5. SUMMARY
5. SUMMARY
-
R. CHA ED TO
-
--_---' 6. CHARGED TO
7. ATE CHARGED OUT
7. DATE CHARGED OUT
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