CHAPTER 1. SUBJECT OUTLINES AND FILE PLANS

1-1 File Groups. A file group is a collection of papers with

similar characteristics which should be kept apart from

other groups of records in file rooms and offices. The file

groups are:

A. Case Files: Papers documenting the history of a case

from beginning to end, filed by name or number. A case

file covers a specific person, organization, place or

thing. A separate folder is set up for each case.

Examples: Individual personnel folder on each

employee, filed by surname, individual folder on each

mortgage, filed by mortgage number. Case files are the

largest group of HUD records.

B. Case Working Papers: Drafts and extra copies of

correspondence and documents about an active case,

usually kept at the action level for quick reference.

Keep working papers in a separate folder from the

official case folder containing the record copies.

C. Subject Files: General correspondence and other records

not related to a particular case, but filed by its

subject. Subject files document HUD\'s policies,

organization, functions, and activities. See par. 1-2

on HUD\'s filing system for subject files.

D. Convenience or Reference Files: Publications and

duplications of correspondence or other documents used

for reference.

1\. Alphabetical name index file contains copies of

outgoing correspondence used as a finding aid to

locate the official record in the subject file.

The index file may be divided into three

categories:

a\. Interoffice: Correspondence addressed to

Headquarters, State offices and Field

Offices.

b\. Interagency: Correspondence addressed to

other Government agencies.

c\. Other (A to Z): Correspondence addressed to

individuals, organizations, States and

cities.

2\. Chronological or reading file contains extra

copies of outgoing correspondence prepared and

kept in an individual office. The copies are

filed in order by date.

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3\. Technical reference file contains publications and

other nonrecord material kept for reference.

4\. Followup file is set up as a reminder that, on a

certain date, an action should be taken or

something is due. The followup file is also known

as the upending,\" or \"tickler\" or \"suspense\" file.

E. Special Media Files include:

1\. Date/word processing files. Examples: Cassettes;

cartridges; tab and magnetic cards; diskettes;

computer printouts; and computer tapes, disks, and

reels.

2\. Microforms files. Examples: Rolls of film on

spools or in cassettes or cartridges, microfiche,

aperture cards, and jackets.

3\. Card files, ranging from standard 3\" x 5\" cards up

to 8\" x 8\" ledger or inventory cards.

4\. Drawings, blueprints, and other large documents.

Examples: Maps and plans, charts, and tracings.

Tracings are long-term records on which changes

are entered and from which blueprints are

reproduced.

1-2 HUD General Subject File Classification Guide

A. Subject-Numeric System. HUD has adopted a subject-numeric system for

arranging subject files.

B. Guide. HUD\'s general subject file classification guide (Appendix 2)

provides recommended:

1\. Primary Subject Categories. The most important

subjects become the primary subject categories, or

first division, and are arranged alphabetically.

Primary subject headings cover records common to

most offices.

2\. Subdivisions. Each primary subject category is

subdivided into secondary (second) and, in some

cases, tertiary (third) or quaternary (fourth)

breakdowns, arranged numerically. See Figure 1-1.

1-2

Figure 1-1

SAMPLE SUBDIVISIONS OF PRIMARY SUBJECT CATEGORY

ENV ENVIRONMENT primary (1st)

ENV 8 POLLUTION secondary (2nd)

ENV 8-1 Air tertiary (3rd)

ENV 8-1-1 Aircraft quaternary (4th)

1-3 Office Subject Outline. Each official file station should

have an office subject outline describing the subject file

categories kept there. The outline gives the file custodian

and user an effective finding aid to the subject files.

A. Using Guide to Prepare Outline. From the general subject

file classification guide in Appendix 2, select those

primary categories and subdivisions needed for the

subject files kept at the file station. Use only the

file categories needed. Add or combine subdivisions as

needed. See Exhibit 1-1 for a sample Branch office

subject outline.

1\. Adding Subdivisions. Subdivide a category when

expecting to file 20 or more documents on that

subject. See Figure 1-2 for an example of how to

add new subdivisions to cover other topics the

office needs.

Figure 1-2

ADDING SUBDIVISIONS ON OFFICE SUBJECT OUTLINE

HUD General Subject File Revised Categories

for

Classification Guide (Appendix 2) Office Subject

Outline

FIN FINANCIAL MANAGEMENT FlN FINANCIAL MANAGEMENT

FIN 17 AGREEMENTS FIN 17 AGREEMENTS

FIN 17-1 Grant

FIN 17-2 Loan

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2\. Combining Subdivisions. Unnecessary folders take

up extra space in the file drawer and make

retrieval more difficult. Avoid including a

subject category in the outline for only a few

documents. Instead, do either of the following:

a\. Combine file categories as shown in Figure 1-3 below, or

b\. Eliminate the category and use the

subdivision one level above it. Using the

example in Figure 1-2 above, an office with

few subject files on agreements would use the

\"FIN FINANCIAL MANAGEMENT\" category in

preparing their outline, instead of the \"FIN

17 AGREEMENTS\" category.

Figure 1-3

COMBINING SUBDIVISIONS ON OFFICE SUBJECT OUTLINE

HUD General Subject File Revised Categories for

Classification Guide (Appendix 2) Office Subject Outline

ADS ADMINISTRATIVE SERVICES ADS

ADMINISTRATIVE SERVICES

ADS 3 BUILDINGS AND GROUNDS ADS 3

BUILDING SERVICES &

TELECOMMUNICATIONS

ADS 8 TELECOMMUNICATIONS

B. Filing the Outline. The first file folder in the first

drawer of the first cabinet at each file station should

always have an office subject outline. Each employee

needing access to the files or classifying

correspondence for filing should have a copy of the

outline.

C. Updating the Outline. Each file custodian should

update the office subject outline when needed to

reflect the files actually kept at the file station.

Subject categories may need to be added or deleted

when:

1\. Functions and responsibilities change.

2\. Public interest in a program rises or falls.

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D. Assistance. The RMLO\'s will provide advice and

assistance in preparing and updating the outlines. The

RMLO\'s may contact the Records and Directives Branch if

they have questions.

1-4 Files Maintenance and Disposition Plan. Develop a files

maintenance and disposition plan for each official file

station. The plan should identify all official files (by

record series) kept at that station and the related

disposition instructions for those files. Prepare and

process the plan as follows:

A. Prepare the plan on [Form
HUD-21001](http://www.hud.gov/utilities/intercept.cfm?/offices/adm/hudclips/forms/files/21001.pdf)
(see Figure 1-2).

B. Forward the plan to the RMLO (through the Records

Management Coordinator, for plans originating in the

Field office) for review and signature. The RMLO

reviews the plan to be sure the proper disposition

instructions are listed for each record series. The

RMLO will advise the preparing office if the plan needs

to be revised.

C. File the approved plan with the office subject outline

in the first folder of the first drawer of the first

file cabinet at the file station.

D. Update files maintenance and disposition plans when:

1\. Disposition instructions are revised (and approved

by NARA), or

2\. The functions of the office are changed to the

extent that records series are affected.

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SAMPLE OFFICE SUBJECT OUTLINE

FOR BRANCH

Exhibit 1-1

DOCUMENT DIVISION

RECORDS AND DIRECTIVES BRANCH

Branch office Subject Outline

CODE TITLE COMMENTS

ADS ADMINISTRATIVE POLICY Material on space, office

equipment and supplies,

printing and reproduction,

telephone service.

BUD BUDGET Material on budget submission

and execution.

OPM ORGANIZATION, PLANNING Material on organization, staffing,

AND MANAGEMENT program/work plans, project

management.

OPM 11 MBO COORDINATION Progress reports on

Management By Objectives

(MBO\'s) assigned to the

Division.

PER PERSONNEL Material on personnel that

cannot be put under PER 3

through PER 20.

PER 3 ATTENDANCE AND LEAVE Includes T & A\'s.

PER 4 EMPLOYEE RELATIONS AND Material on campaigns and drives

SERVICES and general employee relations.

PER 5 EMPLOYMENT Supervisor\'s personnel

files on individual

employees are filed

alphabetically by last

name under this category.

PER 11 PERFORMANCE EVALUATION

PER 19 TRAINING AND CAREER

DEVELOPMENT

PER 20 AWARDS AND COMMENDATIONS

PRC PROCUREMENT AND Requisitions originated

CONTRACTING or funded by the Branch.

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CODE TITLE COMMENTS

REM RECORDS MANAGEMENT Material on records management

that cannot be put under REM 1

through REM 18.

REM 1 LAWS AND REGULATIONS

REM 2 REPORTS AND STATISTICS

REM 4 DIRECTIVES MANAGEMENT

REM 4-1 Liaison with DMO\'s

REM 4-2 Status Reports on OAMs

Directives

REM 4-3 Branch Review of Other Directives clearance packages

Offices\' Directives sent to Branch for review due to

impact on Branch functions and

copies of the responses. Does

not include directives case

history files.

REM 5 DOCUMENT AND INFORMATION Includes material on transition

SECURITY and vital records.

REM 9 MICROFORM MANAGEMENT

REM 9-1 Legal Opinion on

Microfilmed Records

REM 9-2 Disposition of Paper

Records After Filming

REM 10 RECORDS DISPOSITION

REM 10-1 HUD Headquarters Material on the Headquarters

Holding Area holding area in Rm. B-229 and

(Rm. B-229) transfers of records to the

area.

REM 10-2 Statistical Reports of

Records Holdings

REM 10-3 Information Resources

Management Newsletters

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Exhibit 1-1

CODE TITLE COMMENTS

REM 10-4 GAO Relations/Operations Does not include letters

giving GAO approval of

specific schedules. Those

letters are filed in the

schedule case files.

REM 10-5 Federal Records Center

Relations/Operations

REM 10-5-1 Center Disposals Material on the

destruction of

specific accessions

in the Center.

REM 10-5-2 Records Retirement Does not include material

on specific accessions

now kept in Room B-229.

REM 10-6 Disposal Lists Material on the development,

approval and use of disposal

lists.

REM 10-7 Freezes Material on requests for

approving or removing freezes

on the destruction of HUD

records.

REM 10-8 On-Site Disposals Material on destroying

records in HUD offices or

other HUD space.

REM 10-8-1 Cleanout Campaigns

REM 10-9 Offers For Permanent Material on offering records

Retention to National Archives for

permanent retention.

REM 10-9-1 Completed Transfers Material on completed

to NARA transfers of

records to NARA\'s legal

custody. Subdivided by Record

Group (RG) number.

REM 10-9-2 Pending offers Material on offers of

records pending NARA

approval.

REM 10-10 Transfers of Records Material on transferring records to

to Other Federal other Federal agencies. Does not

Agencies include material on records retired to

a Federal Records Center (see REM

10-1) or transferred to National

Archives for permanent

retention (see REM 10-9).

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CODE TITLE COMMENTS

REM 10-11 Records Donations Material on donating records eligible

for destruction to non-Federal

Government entities.

REM 11 RECORDS EQUIPMENT AND

SUPPLIES

REM 12 RECORDS MAINTENANCE

(FILES MANAGEMENT)

REM 16 RMLO/MLO DESIGNATIONS Designations of Records

Management Liaison

Officers (RMLOs) and

Micrographics Liaison

Officers (MLOs).

Material on liaison with

RMLOs and MLOs is filed

by subject.

REM 17 FIELD TRIPS Material on trips to

provide advice and

assistance to Field

Offices.

REM 18 IDEAS Employee Ideas on records

management, both pending

and completed.

TRV TRAVEL, AND TRANSPORTATION

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CLICK HERE OR TYPE Alt-p to LINK TO PDF FILE OF EXHIBIT 1-2, SAMPLE FORM
HUD-21001

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