Records Filing Methods

1
Records Filing Methods
Update 2010 Fall
2
Outline

• Alphabetic
• Subject
• Numeric
• Geographic
• (See Chapter 6, 8, 9, 10 of the reference book
  for details)
• When you study this session, please think
  ahead if IT helps and how?

3
Alphabetic Filing Method
4
Alphabetic Records Management

• Most common method
• A method of storing and arranging records
  according to letters of the alphabet

5
Alphabetic System Advantages

• The alphabetic dictionary (A to Z) order of
  arrangement is simple to understand.
• Storage is easy if standard procedures are
  followed.
• System does not require an index.
• The records with names that begin with numbers
  are filed before the other records with all
  alphabetic names.

6
Alphabetic System Advantages (cont)

• Related records from one name, either a company
  or an individual, are grouped together.
• Misfiles are easily checked by examining
  alphabetic sequence.
• The direct access feature can save time and,
  thus, reduce costs of operation.

7
Alphabetic System Disadvantages

• Misfiling is prevalent if rules for alphabetic
  storage are not established and followed.
• Similar names may cause confusion, especially
  when spellings are not precise.
• Transposition of some letters of the alphabet is
  easy, causing filing sequence to be out of order.
• Filing under the wrong name can result in lost
  records.

8
Alphabetic System Disadvantages (cont)

• Names on folders are seen instantly by anyone who
  happens to glance at an open storage container.
  Consequently, confidential or classified records
  are not secure.
• Related records with different correspondent
  names are filed in more than one place.

9
Subject Filing Method
10
Subject Records Management

• An alphabetic system of storing and retrieving
  records by their subject or topic
• Subject filing is recommended when the range of
  topics is broad
• Arrangement of subjects/topics
• Dictionary Arrangement
• Encyclopedic Arrangement

11
Dictionary Arrangement

• Subject folders are arranged behind A-to-Z guides
  in correct alphabetic order by subject title
• Primary guide labels contain letters A to Z in
  alphabetic order
• Folder captions include the letter (A-Z) and
  subject title
• Special guides identify folders referenced often

12
Dictionary Arrangement (cont)
13
Primary (A-Z) guide
Special guide
Folder caption
14
Encyclopedic Arrangement

• A subject filing arrangement in which records are
  filed under broad, major subject titles and then
  under the specific subtitle to which they relate
• Titles and subtitles are arranged alphabetically

15
Encyclopedic ArrangementCharacteristics

• Primary guide captions are general subject titles
• Secondary guide captions are subdivisions of
  general subject titles
• Folder captions include main subject titles and
  subdivisions

16
(No Transcript)
17
Indexes for Subject Filing
Master Alphabetic list of all subject titles in the system
Relative Alphabetic list of all subject titles, synonyms, or related subject titles
Numeric List of all files by file numbers
Name List of all files by file names (e.g. correspondents names)
18
Master Index
19
Relative Index
Subject Title Filed Under
Applications Applications
Architectural Designs Architectural Designs
Chicago Office Architectural Designs
Miami Offices Architectural Designs

20
Advantages of Subject Filing

• Subjects are easier to remember than names
• Related records are easy to find, not scattered
  throughout the files
• Files can easily be expanded by adding
  subdivisions to main subject titles
• Subject filing is appropriate for storing large
  volumes of records
• Security is provided because names are not
  visible on files

21
Disadvantages of Subject Filing

• Subject titles may overlap
• Concise, clearly defined, and uniformly stated
  subject titles may be difficult to select
• Inconsistent subject coding on records may make
  storage and retrieval difficult
• Users may not remember exact titles
• Planning and maintenance are required to assure
  consistent use of approved subject titles
• Subject filing is expensive because experienced
  filers are required

22
Disadvantages of Subject Filing (cont)

• An experienced records analyst may be required to
  create the subject titles to assure that logical
  subjects are selected
• Indexing, coding, and cross-referencing take more
  time because each record must be read carefully
  and thoroughly

23
Subject Filing Guidelines

• Select subject titles that best reflect stored
  records, are meaningful to file users, and are
  easy to remember
• Select subjects that have only one interpretation
• Use one-word subject titles if possible
• Use plural titles whenever possible

24
Subject Filing Guidelines (cont)

• Provide for the occasional use of alternate,
  synonymous, or related subject titles
• Consider combining filing methods when
  subdividing and subsorting records in large
  subject filing systems
• Designate one person to manage the subject titles

25
Discussion

• How records are filed at your workplace? 
• Do you follow any standard or rule for records
  filing?

26
Numeric Filing Method
27
Numeric Records Management

• A classification system for arranging records
  based on numbers
• Consecutive numbering
• Nonconsecutive numbering
• Numeric coding used in combination with subject
  or geographic filing

28
Consecutive Numbering Method

• Consecutively numbered records are arranged in
  ascending number orderfrom the lowest number to
  the highest number.

One guide for every ten folders
29
The general alphabetic file should be placed at
the beginning of the numeric file.
30
Consecutive Numbering Supplies

• Numbered guides and folders for the numeric file
• Alphabetic guides and folders for the general
  alphabetic file
• Database software (or a lined book) for an
  accession log
• Database or word processing software for an
  alphabetic index

31
Accession Log

• a serial list of numbers assigned to records in a
  numeric storage system

32
Alphabetic Index

• a reference to a numeric file that is used when
  the name or subject is known but not the assigned
  number.

33
Databases for Numeric Storage

• Database software can simplify creation of the
  accession log and the alphabetic index.
• All information can be kept in one database
  table.
• The sort function can sort file code numbers for
  the accession log.

34
Advantages of Consecutive Numbering

• Rapid re-filing
• Easy and unlimited expansion
• Built-in security
• Same numeric code for all records for one
  customer
• Labeling takes less time
• Easy detection of misfiled records

35
Disadvantages of Consecutive Numbering

• Requires reference to alphabetic index
• Requires more guides
• Congestion
• Numbers can be easily transposed, which causes
  misfiles

36
Terminal-Digit Storage

• Numeric coding in combination with subject filing
• Numbers are divided into groups separated by a
  space or a hyphen
• Numbers are read from right to left
• The end digits are the terminal digits
• The terminal digits are used as the primary
  division under which a record is filed

37
502-64-9485
38
Terminal-Digit Accession Log Query Results
39
Middle-Digit Storage

• Numeric coding in combination with subject filing
• Numbers are divided into groups separated by a
  space or a hyphen.
• Numbers are read from middle to left to right.
• The middle groupmiddle digitsare used as the
  primary filing division.

40
35-14-65
41
Other Numeric Coding Systems
Block-Numeric Groups of numbers represent primary and secondary subjects.
Duplex-Numeric Numbers with two or more parts separated by a dash, space, or comma.
Decimal-Numeric Records are classified by subject in units of ten.
Alphanumeric Combination of letters, numbers, and punctuation marks.
42
Block-Numeric Example
100 MANAGEMENT 110 RECORDS MANAGEMENT 111 FI
LING EQUIPMENT 112 FILING SYSTEMS 113 RETEN
TION SCHEDULE 120 SALES MANAGEMENT 121 ADVERTIS
ING 200 PRODUCT
43
Duplex-Numeric Example
44
Decimal-Numeric Example
1 MANAGEMENT 1.1 RECORDS MANAGEMENT 1.1.1
FILING EQUIPMENT 1.1.2 FILING
SYSTEMS 1.1.3 RETENTION SCHEDULE 1.2 SALES
MANAGEMENT 1.2.1 ADVERTISING 2 PRODUCT
45
Alphanumeric Example
46
Geographic Filing Method
47
Geographic Records Management

• A methods of storing and retrieving records by
  geographic location usually arranged in an
  alphabetic or numeric order.
• Closely related to subject records management

48
Examples of Activities that Require Geographic
Filing

• Scientific research
• Oil and gas exploration
• Facility management
• Real estate transactions
• Emergency response
• Utility and telecommunication services
• Product distribution

49
Advantages of Geographic Records Storage

• Operations relating to a specific location are
  filed together
• Each geographic area in storage is a unit or a
  group, and the shift of groups of records is
  easily accomplished by moving an entire group
  from one file location to another

50
Disadvantages of Geographic Records Storage

• User must know the geographic location, or an
  index must be created and maintained
• Guide and folder arrangements for some large
  systems are complex

51
Arrangement of Geographic Records

• Dictionary storage arrangements
• an arrangement of records in alphabetic order.
• Encyclopedic storage arrangements
• alphabetic arrangement of major geographic
  divisions plus one or more geographic
  subdivisions also arranged in alphabetic order.

52
Dictionary Arrangement of Records
Lettered Guide Plan
Location Name Guide Plan
53
Encyclopedic Arrangement of Records
54
Geographic Records Storage Indexes

• Master indexa complete listing of all filing
  segments in the filing system
• Alphabetic indexlists all correspondents or
  subjects in geographic storage
• Numeric file list (accession log)a serial list
  of the numbers assigned to records in a numeric
  storage system

55
Master Index for Geographic Files
56
Alphabetic Index for Geographic Files
57
Discussion (again and more)

• What are the problems of traditional records and
  records management?
• How does IT help?