Records Filing Methods 4/17/2017 Records Filing Methods Update 2010 Fall COMP7780

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? COMP7780

Alphabetic Filing Method COMP7780

Alphabetic Records Management Most common method A method of storing and arranging records according to letters of the alphabet COMP7780

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. COMP7780

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. COMP7780

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. COMP7780

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. COMP7780

Subject Filing Method COMP7780

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 COMP7780

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 COMP7780

Dictionary Arrangement (cont’) B Branch Offices B Banking B A Applications A Accounting A COMP7780

Primary (A-Z) guide Special guide Folder caption COMP7780

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 COMP7780

Encyclopedic Arrangement Characteristics Primary guide captions are general subject titles Secondary guide captions are subdivisions of general subject titles Folder captions include main subject titles and subdivisions COMP7780

Accounts Receivable Payable RECORDS MANAGEMENT 4/17/2017 Accounting Accounts Receivable Accounts Receivable Accounts Payable Payable Main title guide Folder Subtitle guide The top guide tab should be in second position. Both primary and secondary tabs should be 1/5 cut. Primary label: TAXES Secondary label: TAXES CITY COMP7780 CHAPTER 8

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)

Master Index Applications Architectural Designs Chicago Office Miami Office Banking Services Credit Cards Charitable Donations Customer Services Discount Cards Data Entry Guidelines Formatting Keystrokes Efficiency Study Reports Founder’s Day Plans Dedication Ceremony

Relative Index Subject Title Filed Under Applications Architectural Designs Chicago Office Miami Offices ……

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 COMP7780

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 COMP7780

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 COMP7780

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 COMP7780

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 COMP7780

Discussion How records are filed at your workplace? Do you follow any standard or rule for records filing? COMP7780

Numeric Filing Method COMP7780

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 COMP7780

Consecutive Numbering Method Consecutively numbered records are arranged in ascending number order—from the lowest number to the highest number. One guide for every ten folders COMP7780

The general alphabetic file should be placed at the beginning of the numeric file. COMP7780

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 COMP7780

Accession Log a serial list of numbers assigned to records in a numeric storage system COMP7780

Alphabetic Index a reference to a numeric file that is used when the name or subject is known but not the assigned number. COMP7780

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. COMP7780

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 COMP7780

Disadvantages of Consecutive Numbering Requires reference to alphabetic index Requires more guides Congestion Numbers can be easily transposed, which causes misfiles COMP7780

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 COMP7780

502-64-9485 Terminal Digits COMP7780

Terminal-Digit Accession Log Query Results COMP7780

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 group—middle digits—are used as the primary filing division. COMP7780

35-14-65 Middle Digits COMP7780

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.

Block-Numeric Example 100 MANAGEMENT 110 RECORDS MANAGEMENT 111 FILING EQUIPMENT 112 FILING SYSTEMS 113 RETENTION SCHEDULE 120 SALES MANAGEMENT 121 ADVERTISING 200 PRODUCT COMP7780

Duplex-Numeric Example COMP7780

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 COMP7780

Alphanumeric Example COMP7780

Geographic Filing Method COMP7780

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 COMP7780

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 COMP7780

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 COMP7780

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 COMP7780

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. COMP7780

Dictionary Arrangement of Records Lettered Guide Plan Location Name Guide Plan COMP7780

Encyclopedic Arrangement of Records Lettered Guide Plan Location Name Guide Plan COMP7780

Geographic Records Storage Indexes Master index—a complete listing of all filing segments in the filing system Alphabetic index—lists 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 COMP7780

Master Index for Geographic Files COMP7780

Alphabetic Index for Geographic Files 4/17/2017 Alphabetic Index for Geographic Files COMP7780

Discussion (again and more) What are the problems of traditional records and records management? How does IT help? COMP7780