Session III (Part B) Records Filing Methods

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COMP7780
Update 2010 Fall
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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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Alphabetic Filing Method
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Alphabetic Records Management


Most common method
A method of storing and arranging records
according to letters of the alphabet
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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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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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Alphabetic System Disadvantages

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
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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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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Subject Filing Method
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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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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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Dictionary Arrangement (cont’)
B Branch Offices
B
A
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B Banking
A Applications
A Accounting
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Primary
(A-Z)
guide
Special
guide
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Folder
caption
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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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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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Main title guide
Accounting
Accounts
Receivable
Accounts
Payable
Subtitle guide
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Accounting
Accounts Receivable
Accounting
Accounts Payable
Folder
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Indexes for Subject Filing
Master
Relative
Numeric
Name
Alphabetic list of all subject titles in
the system
Alphabetic list of all subject titles,
synonyms, or related subject titles
List of all files by file numbers
List of all files by file names (e.g.
correspondents’ names)
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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
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Relative Index
Subject Title
Applications
Architectural Designs
Chicago Office
Miami Offices
……
Filed Under
Applications
Architectural Designs
Architectural Designs
Architectural Designs
……
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Advantages of Subject Filing

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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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Disadvantages of Subject Filing
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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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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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Subject Filing Guidelines

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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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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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Discussion


How records are filed at your workplace?
Do you follow any standard or rule
for records filing?
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Numeric Filing Method
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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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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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The general
alphabetic file
should be placed
at the beginning of
the numeric file.
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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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Accession Log

a serial list of numbers assigned to records in a
numeric storage system
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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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Databases for Numeric Storage

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
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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Advantages of
Consecutive Numbering

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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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Disadvantages of
Consecutive Numbering

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
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Requires reference to alphabetic index
Requires more guides
Congestion
Numbers can be easily transposed, which
causes misfiles
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Terminal-Digit Storage




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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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502-64-9485
Terminal Digits
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Terminal-Digit
Accession Log Query Results
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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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35-14-65
Middle Digits
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Other Numeric Coding
Systems
Block-Numeric
Duplex-Numeric
Decimal-Numeric
Alphanumeric
Groups of numbers represent
primary and secondary subjects.
Numbers with two or more parts
separated by a dash, space, or
comma.
Records are classified by subject
in units of ten.
Combination of letters, numbers,
and punctuation marks.
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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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Duplex-Numeric Example
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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
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Alphanumeric Example
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Geographic Filing
Method
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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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Examples of Activities that Require
Geographic Filing
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Scientific research
Oil and gas exploration
Facility management
Real estate transactions
Emergency response
Utility and telecommunication services
Product distribution
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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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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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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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Dictionary Arrangement of Records
Lettered Guide Plan
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Location Name Guide Plan
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Encyclopedic Arrangement of
Records
Lettered Guide Plan
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Location Name Guide Plan
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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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Master Index for Geographic Files
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Alphabetic Index for
Geographic Files
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Discussion (again and more)


What are the problems of traditional records
and records management?
How does IT help?
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