OST184
Records
Management
Chapter 8
Subject Records Management
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 used within an organization is
broad.
• Arranging records by subject categories,
such as topic, department, service, product,
or project
Advantages of Subject Filing
• Subjects are easier to remember than names.
• Related records are easy to find.
• Related records are 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 correspondent names
are not visible to unauthorized persons who may not
know the subject under which a record is filed.
Disadvantages of Subject Filing
• Main subject titles and subdivisions may overlap as
the list of subject titles grows.
• 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 or be
unfamiliar with the subject titles and may have more
difficulty finding records.
Disadvantages of Subject Filing
(cont’d)
• Planning and maintenance are required to assure
that approved subject titles are used consistently.
• Subject filing is the most expensive storage method
because experienced filers are required.
• 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.
Subject Filing
• The selection of a word or phrase to use as a
subject title (the filing segment) is of prime
importance when using the subject storage method.
• One person is responsible for selecting subject titles.
• That person must be thoroughly familiar with the
material to be stored and have considerable
knowledge of every phrase of the operations and
activities of the business.
• The subject title must be short and clearly
descriptive of the material it represents.
Subject Filing - Guidelines
• Select titles that best reflect stored records and are
meaningful to file users, and are easy to remember.
•
•
•
•
Select subject titles that have only one interpretation.
Use one-word subject titles whenever possible.
Use plural titles whenever possible.
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 – to
select the titles and to add new titles as needed.
Two Types of Arrangements In
Subject Storage
• Records may be stored in two alphabetic subject
arrangements - dictionary and encyclopedic.
• The definitions of these two terms are easy to remember
when you relate them to the arrangement of words in a
dictionary versus the arrangement of information in an
encyclopedia.
• A dictionary contains a list of
words in alphabetic order.
• An encyclopedia contains a list
of words and related topics in alphabetic
order.
Dictionary File Arrangement
• A single alphabetic filing arrangement in which all
types of entries (names, subjects, titles) are
interfiled.
• Generally, the dictionary subject arrangement is
not recommended if the volume of records is
greater than could be stored in two file drawers.
• However, the dictionary arrangement is used
regardless of the number of records if the subject
topics are easily identified without the necessity
of using subdivisions.
Dictionary File Arrangement
• Primary guide labels contain letters A to Z in
alphabetic order.
• Special guides identify folders referenced often.
• General subject folders are used to store records
related to the subject title.
• Captions on general subject folders include the
alphabet letter and the subject title.
• Subject titles are not subdivided.
Dictionary File
Arrangement
• A-to-Z guides are onefifth cut and occupy the
first position in the file.
• Special guides are
one-fifth cut and are in
second position.
• General folders with
subject topics and
“OUT” guides are onethird cut and occupy the
third position in the file.
Encyclopedic File Arrangement
• Filing system in which records are filed under
broad, major subject titles and then under the
specific subtitles to which they related.
• Titles and subtitles are arranged alphabetically.
• General folders should be checked from time to
time to see whether the number of records for a
specific subject category should be transferred
to a more specific subject subdivision or
individual folder, especially for frequently
requested records.
Encyclopedic File Arrangement
• Primary guide captions are general subject
titles.
• Secondary guide captions are subdivisions of
the general subject titles.
• File captions include the main subject titles
and the subdivisions.
• A general subject folder with the same
label caption as the primary guide is
inserted behind the last subdivision
folder for all subjects.
Encyclopedic File Arrangement
• Main subject titles – printed on the label captions of the primary
guides. These are one-fifth cut and in first position.
• Main subject
subdivisions - are
in second position,
and are also onefifth cut tab guides
with labels of the
subdivision of the
main subject.
• Permanent crossreference guide
Because
guides are
not
removed,
repeating
the main
subject
title on the
secondary
guide is
not
necessary.
A comprehensive folder
label helps assure that
a borrowed folder will
be returned to its
correct location.
General folders should
be checked from time
to time to see whether
the number of records
for a specific subject
category should be
transferred to a more
specific subject
subdivision or
individual folder,
especially for frequently
requested records.
Guides and Labels
The primary guide caption contains the main subject title.
The secondary guide caption contains the main subject and
its subdivision. Because guides are not removed from a
storage container during storage and retrieval, a primary
guide caption can be omitted on a secondary guide.
• Be consistent in spacing and styles of captions in label preparation.
• All primary guides should begin near the left edge and near the top
of the label.
• Secondary guides should also be in a straight line.
• Key the information in all capitals with no punctuation.
• Decide whether to use complete subject titles, abbreviated titles, or
subject codes, and follow this format consistently.
Folders and Labels
• Key the label in all capitals with no punctuation.
• Main subject should begin near left margin.
• Key subdivision 0.5 inches to the right of the
main subject title OR under the first letter of the
first line.
• Color code folder labels for each subject guide to
reduce misfiles.
• Bar codes can be added for electronically
tracking records.
OUT Indicators
Follow the same procedures for
subject filing that you applied
in alphabetic name filing.
The only difference is that you
will use subject titles, rather than individual
or organization names, to identify records.
Subject Indexes
• An index is a systematic guide that allows access to
specific items contained within a larger body of
information.
• Because filers may not know all subjects used in a
subject file, they cannot go directly to a file to locate a
record.
• A subject file requires an index and, therefore, is
considered an indirect access filing method.
• Alphabetic filing is considered a direct access filing
method because a specific record or correspondent
name in a file can be found without first referring to an
index to find its location.
Subject Indexes
• Indexes can be electronic or printed.
• There are four types of indexes:
– Master index
– Relative index
– Numeric index
– Name index
Master Index
• A printed alphabetic listing in
file order of all subjects used
as subject titles in the filing
system.
• Often referred to as the
master list, subject index, or
subject list.
• Should be updated as new
subjects are added and old
ones are eliminated or
modified.
For manual filing systems, store an updated copy of the index at the
beginning of the file for ready access to all users as an outline of the
file contents. When new subjects are added, refer to the index to
avoid any subject title duplication.
Relative Index
• A more complex subject file
•
•
may require a relative index.
A dictionary-type listing of all
possible words and
combinations or words by
which records may be
requested.
Often contains both SEE and
SEE ALSO cross-references.
The index includes not only all of the actual subject titles used
but also synonyms for subjects or any related subject. This type
serves as a vast cross-reference device because it contains all the
subjects by which a record might be requested.
Numeric Index
• A current list of all files by
the file number.
• Such an index shows the
numbers assigned to
subject titles and avoids
duplication of numbers
when new subjects are
added to the storage
system.
• We will work with this in
Chapter 9.
Name Index
• A listing of
correspondents’ names
stored in a subject file.
• The name and address
of each correspondent
are included in the
index, as well as the
subject under which
each name is stored.
Storage and Retrieval Procedures
All the steps for storing and retrieving
correspondence records studied in Chapters 6
an 7 are as important in the subject method as
they are in any other storage method.
– Inspecting
– Indexing
– Coding
– Cross-Referencing
– Sorting
– Storing
– Retrieving
Coding
• Code the main subject title
and any subdivisions by
placing diagonals between the
units, underlining the key unit,
and numbering the remaining
units in the selected words
where they appear on the
record.
• If the subject is not
mentioned, write it legibly at
the top of the record, possibly
in a color that it is more
visible.
NOTE: Do NOT rely on memory to determine the subject under which a
record should be stored. Consult the master or relative index to be sure
that you have selected and coded the filing segment correctly.
Coding
(cont’d)
• Abbreviations can simplify coding in a large,
complex subject filing system.
• Create an abbreviation with the first alphabetic character of
the subject title followed by the next few consonants.
– Example: PRCH for Purchasing
– Example: RRS for Records Retention Schedule
• Consistency is essential when developing a subject code
system in which two- to six-character abbreviations are used.
• If abbreviations are used, the master index should show codes
as well as complete subject titles.
• Be sure to write subject letter codes on each record and
include them on individual folder label captions, along with the
subject title.
Cross-Referencing
Do NOT file records behind the permanent SEE guide.
This serves only to direct you.
Cross-Referencing
• If a record refers to several
important subjects, consider
filing photocopies of the
record under the different
subject titles involved.
• This procedure eliminates
the need for preparing
cross-reference sheets for
that record.
(cont’d)
Sorting
• Sorting arranged records in filing
•
•
order according to the records
management system. Use some kind of A-to-Z sorter
to sort records to be sorted alphabetically by subject.
Time spent sorting records before filing saves filing
time because you will be able to file by moving in one
direction through a filing system rather than moving
backward and forward through stored records.
Filers will be able to file and move in one direction
through a filing system rather than moving backward
and forward through drawers or shelves of stored
records.
Storing
• Storing (also called filing) places the hard copy
in an appropriate location or saves the electronic
record.
Be sure the subject folder label caption agrees with the
filing segment coded on the record.
Raise the folder slightly before inserting the record to be
sure the record enters the folder completely.
Remove papers that are in disarray, jog them, and return
hem neatly into the folder. Paper sticking out of folders can
obscure guide and folder label captions.



• When filing correspondence in subject folders, file records in
alphabetic order according to the names of the correspondents.
Then for each correspondent, arrange the records by the date
of the document with the most recent date in front.