1. Records Filing Methods
4/17/2017
Records Filing Methods
Update 2010 Fall
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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?
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3. Alphabetic Filing Method
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4. Alphabetic Records Management
Most common method
A method of storing and arranging records according to letters of the alphabet
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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.
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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.
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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.
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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.
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9. Subject Filing Method
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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
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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
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12. Dictionary Arrangement (cont’)
B Branch Offices
B Banking B
A Applications
A Accounting A
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13. Primary (A-Z) guide
Special guide
Folder caption
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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
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15. 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
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16. Accounts Receivable Payable
RECORDS MANAGEMENT
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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
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CHAPTER 8

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 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

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

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
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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
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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
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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
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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
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25. Discussion How records are filed at your workplace?
Do you follow any standard or rule for records filing?
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26. Numeric Filing Method
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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
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28. 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
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29. The general alphabetic file should be placed at the beginning of the numeric file.
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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
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31. Accession Log
a serial list of numbers assigned to records in a numeric storage system
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32. Alphabetic Index
a reference to a numeric file that is used when the name or subject is known but not the assigned number.
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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.
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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
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35. Disadvantages of Consecutive Numbering
Requires reference to alphabetic index
Requires more guides
Congestion
Numbers can be easily transposed, which causes misfiles
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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
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37.
Terminal Digits
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38. Terminal-Digit Accession Log Query Results
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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 group—middle digits—are used as the primary filing division.
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40.
Middle Digits
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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 FILING EQUIPMENT
112 FILING SYSTEMS
113 RETENTION SCHEDULE
120 SALES MANAGEMENT
121 ADVERTISING
200 PRODUCT
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43. Duplex-Numeric Example
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44. Decimal-Numeric Example
1 MANAGEMENT
1.1 RECORDS MANAGEMENT
FILING EQUIPMENT
FILING SYSTEMS
RETENTION SCHEDULE
1.2 SALES MANAGEMENT
ADVERTISING
2 PRODUCT
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45. Alphanumeric Example
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46. Geographic Filing Method
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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
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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
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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
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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
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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.
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52. Dictionary Arrangement of Records
Lettered Guide Plan
Location Name Guide Plan
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53. Encyclopedic Arrangement of Records
Lettered Guide Plan
Location Name Guide Plan
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54. 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
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55. Master Index for Geographic Files
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56. Alphabetic Index for Geographic Files
4/17/2017
Alphabetic Index for Geographic Files
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57. Discussion (again and more)
What are the problems of traditional records and records management?
How does IT help?
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