SUGGESTIONS AWARDS FILES

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP78-00487A000100160011-4
• Release Decision: RIPPUB
• Original Classification: C
• Document Page Count: 5
• Document Creation Date: December 19, 2016
• Document Release Date: May 17, 2006
• Sequence Number: 11
• Publication Date: January 1, 1957
• Content Type: MEMO

Approved For Release 2006/05/17: CIA-RDP78-00487A000100160011-4
Nies
Chief
Miss
Records Management Officer
esti
/Wards Staff
Suggestions Awards Files
1. During the past few weeks, I had the opportunity to
review the Avards Program in the Civil Service Commission,
Alters= Administration, General Services Administration, and
the Atomic EbergyCzemission. A few features of each of these
programs maybe of interest to you.
2. The Veterans Administration appears to have the largest
and by far the best program. It began in 1947 and averages
150 cases each month. At present the backlog is slightly-under
1000 cases. The backlog developed in 1953 'when a reorganization
occurred. and more than 1000 cases were transferred to the present
committee for evaluation. Amoratorium was declared for a six
month period in= effort to reduce the backlog. During that
period they were able to index:and classify all the suggestions
and a card file was established vhich appears to be the core for
the program today. A strait alphabetical index file is used
against which all suggestons are checked for duplicates. This
file is purged asoften as time permits - one monthly basis,
if:vossible. For those suggestions that have been closed for
two years or more the cards are removed to an inactive file and
all related cards end case folders are removed fraa the respective
files and destroyed. The inactive card file is now es voluminous
that a five-year cutoff has been suggested. /n other words, when
a case has been closed for five years the card. will be destroyed.
There appears to be no point in retWning the cards since the
eiggestion case files will have been destroyed three years
previously.
. 3. All the agencies maintain numerical files corresponding
to the leather assigned to the suggestion. The name of the
suggestor loses its significance after an award has been made. -
The VA and GSA assign a code number to each of its Regional offices
or sdbcommittees. This number, together with the next succeeding
number for the particular committee, is assigned to the suggestion
when received by the Central Committee. The CSC prefixes its
suggestions with the fiscal year, startirg with the number one at
the beg;ming of each fiscal year. They are readily able to tell
the number of suggestions received for each fiscal year and the
number received for the current year. This system also affords
a natural cut off for the file.
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4. Each of these agencies operates under a decent zed
program. The subcommittees are authorized to Approve and award
frxm$100 to 000. (ASC field committees can award up to 000;
OSA regional offices can mord. up to $250; CSC sUbcommittess
can award up to $100, subject to post audit by-the Mein Committee;
anti the VA subcommittees can award up to $100). These sub-
committees have the effect of reducing the workload for the Wain
Committee. Appratimatc1y84, of the VA cases are closed out at
this level. If suggestions are thought to be applicable to areas
outside the jurisdiction of the subcommittees, the suggestion is
forwarded to the committee at the next higher level for consider-
ation. If the suggestion is adopted in other areas an additional
award is paid. to the suggestor.
5. The VA. utilizes the supervisory nharne) for its
suggestions. The high rate of adoptions is attributed, to the
supervisory participation which effects the giallity of suggestions
submitted and also results in the elimination of worthless or
weak suggestions at the point of origin.
6. The VA strictly adheres to the two-year retention for
closed cases. This feature is incorporated into published
procedures which have been disseminated. to ell components. The
other three agencies have incorporated the two-year limitation
in pUblished procedures but because space is not a problem the
old suggestion files have not been destroyed. However, each
agency admits that the problem will have to be met before long.
7. In the OSA only one copy of a suggestion is submitted.
by a auggestor. The suggestion is recorded on a register, at
which time a number is assigned. The register contains all
information required for reporting to CSC andilOSA. Straight
numerical system is used. The names of ouggestors right be
referrml to if further identification is needed to identify
the case but generally it is not required. Individual folders
are not mede. Instead a folder is prepared for each Begdonal
Office and Division in the Central Office. When the suggestion
become inactive, all pertinent papers are stapled together and
filed in the proper folder. When folder is full another ii set
up. The procedural manual sets up the entire program. No
retirement or disposition of case files has been made since
space is available and the volume is not great. NO hard and
fast Alles appear to apply to this suggestion system, it is
epparently working smoothly. No backlog was sentioned end. no
major problems were apparent.
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8. The SC uses a straight numerical Wotan with the
and. number appearing on the folder. They are eve inenting
a system of cards - to be tried, for one quarter. Three
of cards are used; the original for control by number, one
filed by suggestori s name, and, one filed by office evaluatips
the case. Cards are maintained in a portable cardex -which is
divided into sections denoting degrees or steps in the evaluating
process. (e.g. sections are designated as "To Evaluating Office",
"With Committee", "Rejected", "Asa* to be Made", etc. Follow-up
is made by memo after 2 weeks unless a technical subject is
involved, then no definite tickler date is established). A two
limitation is contempleted but volume not yet great. They
rely on merry for checking duplicates.
9. The General Records Schedules which establish, retention
periods for records maintained by Federal Agencies has designated
a two-year retention period for Incentive Award Case Files and.
three years for reports pertaining to the program. This decision
is '.rtsed. upon the premise that this per:d is sufficient to
satisfy adminietrative value in evaluating later suggestions
and in documenting current practices. Evidence of awards under
the program are requ.ired to be placed in the employee's official
personnel folder to be retained for a longer period.. This appears
to be the basis for the two year retentIon used. by these agencies.
Records Control Schedule for Suggestions
7, establishes a three-year retention period. for
files. When I revamPed the subject Sradvic file
iseperate file for suggestions submitted educe
enuarY 1955. I have used a broad subject category, filed. alpha-
betically, as a first breakdown with secondary breakdowns according
to the number of suggestions on a particular subject. Some of the
sunnariee on the cards were too brief to properly classify. I
would suggest that consideration be given to a carefully chosen
key word. that will determine the file classification for each
suggestion and that a more detailed emmmu7be included. on the card.
This will aid in matching up similar type suggestions. If, after
a Wyart experimentel Arica you feel that this file is not satis-
factory, Iwould be glad to revise it again.
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2, Item k2 of the Records Control Schedule sets up a two
year retention period for the Index file. However, since the
suggestion case files are being retained for throe years I have
increased the retention period to three years to correspond with
the case files. If the card. file is screened annusaly to remove
the suggestions that have been closed for more than three years
it would reduce the complexity of checking for duplicatea and.
keep the awards system on a current basis.
3. Assigning suggestion numbers on
will facilitate reporting, provide a natural cut
file, end 'would also have a psychological effect on the evs1u.
titian process. Individuals wad be more inclined
the earliest numbers first. This also spans that the case tiles
will be converted from an alphabetical to a numericel
4. A control system could be net up* The upper portion
of the suggestions now being retained on Miss Ricks' desk could
be segregated by sectional dividers designeting the various
phases for processing a suggestion. The control card would be
moved into the section corresponding with the status of the case.
The card would move through each phase until action is completed,
at which time the card could be destroyed, *t the present time,
two so-called closed control card files are being maintained.
The one on which the least information is recorded should be
destroyed
5. A system of colored metal tabs d also be used as
a control system, Different colored tabs are egployed to denote
the various phases of processing. Zeta may be ettached directly
to the folders with changes in color to be made as the status of
the awe progresses. A definite follow-up should be made when
cases are not returned from evaluators within the allotted time.
This ow be done by telephone on a daily basis.
6. To facilitate screening case files for ret.ixement,
suggest that the date on which the suggestion is closed, be stomped.
on the top flap of the folder. This will eliminate the need for
opening each folder to check for the date.
7. During the survey, I revised the subject file to conform
to the Agency Subject Manual. The 1957 material %es segregated and
brought forward. At the end of 1957 a new file thould be established
for 1958 and. all material prior to 1957 should be retired to the
Records Center.
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8. 2 mill be glad to 'work vith 'our Staff at that time
in bringing the files up-to .date end retiring old records to
the liOCOrdie Center.
9. 1 sauettadaing the Geamennal and the VA, policy
manual. You may viab to review portions of these menuels or
incorporate portions into our program, if applicable.
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