Alphabetic Filing Procedures
OT 122
Chapter Three
Objectives
• Perform the 6 steps involved in processing
correspondence and other documents
• Index records for key words
• Process requests to charge out records
• Color-code names in an alphabetic file
Alphabetic Correspondence
Filing Procedures
• Step 1 – Inspecting
– Making sure the record has been released for
filing
• Is everyone done with the record?
• Release mark?
– Symbol placed on a record indicating that the record is ready
to be filed
– Often initials
– Tickler, Pending, Follow-up, etc., means that the record can be
filed, but needs to be pulled again on a certain date
– Form Letter Sent or Reply Sent indicate that action was taken
• Date stamp of date it was filed
Alphabetic Correspondence
Filing Procedures
• Step 2 – Indexing
– VOCABULARY WORD
– Decide which name to use to file record and the order
of the units
– Depends on whether the record is incoming or
outgoing
– Get to read everything!
– For records that have come IN to the company
(incoming)
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Use most important name
Usually letterhead, or signature line
If both, use company name
Make sure the letterhead is related to the correspondence
(business vs. personal)
Alphabetic Correspondence
Filing Procedures
– For records that are LEAVING the company
(outgoing)
• Hard copies are filed when not saved electronically or
in addition to
• Records must be identified as copies (since originals
were…sent!)
• Indexed by company or person sent TO
– Same rule as incoming – if both a company and person name,
use company
• No need for release marks
Alphabetic Correspondence
Filing Procedures
• Step 3 – Cross-Referencing
– If the BODY of the letter contains an important
name, cross-reference it
• Step 4 – Coding
– VOCABULARY WORD!!!
– Marking the units in the name or subject under
which a record will be filed
– Huh?
– Just different marks…
• Underline and number as we did on the cards
Alphabetic Correspondence
Filing Procedures
• Place a wavy line under the key unit and number other
units in the cross-referenced name, if any
• Place an ‘X’ in the right margin of the record as a
reminder to cross-reference, if there are any
• Complete a cross-reference sheet
• If the cross-referenced name does not appear
anywhere on the document, rewrite it near the
letterhead, code it, and place an ‘X’ in the right margin
• Step 5 – Sorting
– Sort items into alphabetic piles
Alphabetic Correspondence
Filing Procedures
• Step 6 – Filing
– File according to 10 alphabetic rules from last
chapter
– Papers should be in ‘reading’ position
– Staple instead of paper clip
– File in Individual or General folders
• Individual folders are used for 3 or more pieces of
correspondence that pertain to the same person or
business
– (Create a folder for that person or business!)
Alphabetic Correspondence
Filing Procedures
• General folders are filed behind the individual folders,
and contain documents for each letter that don’t have
more than 2 pieces relating to a specific name or
company
– (All of the random As, Bs, etc.)
– With both Individual and General, file the most
recent document on top, or toward the front of
the file
Scanning Paper Records
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Wave of the future
Converts paper records to digital format
Initial conversion is often done by outside firm
Questions must be answered to decide if this
is the right move!
Using PDF Technology
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Portable Document Format
Adobe Acrobat is popular reader, and is FREE
Compatible with Macs and PCs
Cheap way to get things on the Web
Reduces the size of large documents
Highly resistant to viruses
Can be made secure from content being
changed or edited
Filing Forms Alphabetically
• Most documents will be filed alphabetically, not just
correspondence
– Application forms
• filed by applicant’s name
– Faxes
– Invoices
• Often filed by sender ONCE PAID
– Minutes
• Filed under the name of the board chairperson
– Resumes
• Filed under candidate’s name
– Spreadsheets
• Filed under accounting firm
– Microfiche
• Filed according to caption at top in special file
Assignments
• Check Your Understanding
– 10 minutes
– BY YOURSELF
– Turn in
• Practical Application 3B
Indexing Records for Key Words
• Key Word Indexing
– An alternative way to locate records
– Sometimes a feature of records management
software
– Otherwise, key word has to be selected by user
– Is 1-5 words that captures subject or content
– Can be a name or proper noun
Assignment
• Practical Application 3C
• Parts 1 and 2
Handling Requests to Charge Out
Records and Follow Up
• When people want to borrow files…
– What record is leaving?
– Who is taking it?
– When is it being taken?
– When will it be back
– Sometimes…WHY does this person need it?
Assignment
• Practical Application 3D
Color-Coding Alphabetic Files
• Easy to spot misfiles
• Check Your Understanding, page 53
– New sheet of paper
– Write in correct order, then two colors
– 10 minutes
– ON YOUR OWN!!!
– To be turned in