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,
name or date (event).

 Strategic Objectives: SOs are considered case files but will be handled
separately due to its importance and (potentially) different disposition.
(presently being scheduled with NARA))

 Specific Office/Function Records: These refer to records such as contracts,

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

Specific
Records
Office/Function Case Files
Management
Records

Strategic
Objectives
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
◦ BUD Budget
◦ FIS Fiscal Accounting and Audit
◦ GRS General Services
◦ PER Personnel
◦ PRC Procurement and Contracting
◦ TRV Travel
 SUBJECT FILES
(ADMINISTRATIVE)

ADMINISTRATIVE

BUDGET

FISCAL

GENERAL SERVICES

PERSONNEL

PROCUREMENT

TRAVEL
(Program Background, Support, and Development)

◦ ECF Economic and Financial Affairs

◦ INF Information and Mass Communication
◦ LEG Legislative and Legal
◦ LGP Loans, Guaranties, Private Enterprise
◦ OCM Organizations, Committees, and Meetings
◦ PRM Program Development, Evaluation, and
Research
 SUBJECT FILES
(Program Background, Support and Development)

Economic and Financial Affairs

Information and Mass Communication

Legislative and Legal

Loans, Guaranties, Private Enterprise

Organizations, Committees, and Meetings

Program Development, Evaluation, and Research

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

Democracy and Governance

Education

Food for Peace

Health and Sanitation

Industrial Development

Public Administration

Science and Technology

Social and Industrial Development

Training (Pertaining to Participants)

Transportation (as a Sector)

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
or date (event).

Examples include:
◦ Project Files
◦ Contract Files
◦ Loan Files
◦ Personnel Files
◦ Participant Files
A case file has a beginning and an end,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

CASE FILES

STRATEGIC OBJECTIVES

SPECIFIC OFFICE/FUNCTION RECORDS