Electronic FilingElectronic Filingand Calculatingand Calculating

Arranging RecordsArranging Records

Other filing methods used in an office Other filing methods used in an office consists of filing by subject, numeric, consists of filing by subject, numeric,

and geographic methods.and geographic methods.

Subject Filing MethodSubject Filing Method

An alphabetic An alphabetic arrangement of arrangement of records by subject, records by subject, type, or category.type, or category.

ExamplesExamples

Library has lists of Library has lists of books by subjectsbooks by subjects CookingCooking GardeningGardening

Telephone Yellow Telephone Yellow Pages lists businesses Pages lists businesses by types of service and by types of service and productsproducts AccountantsAccountants BanksBanks CarpetsCarpets

Music stores list music Music stores list music by categories by categories ClassicalClassical RockRock JazzJazz WesternWestern

Common Office PracticesCommon Office Practices

Store together copies of Store together copies of business forms such as:business forms such as: Purchase ordersPurchase orders InvoicesInvoices Bank statementsBank statements EquipmentEquipment ComplaintsComplaints AdvertisingAdvertising SalesSales BudgetBudget

Challenge of Subject FilingChallenge of Subject Filing

Determining what subject title to use and Determining what subject title to use and under what subject title a particular record under what subject title a particular record belongs.belongs.

Filing by subject requires the abilityFiling by subject requires the abilityto group together like records and to group together like records and select suitable subject titles by select suitable subject titles by which to file them.which to file them.

Master IndexMaster Index

Because one person may not see a subject title Because one person may not see a subject title in the same way as another person, an in the same way as another person, an alphabetic index is necessary.alphabetic index is necessary.

The index lists all subject headings used in the The index lists all subject headings used in the filing system.filing system. May be prepared using a computer.May be prepared using a computer. A card file with each subject heading on a single A card file with each subject heading on a single

card may be used.card may be used.

Guide and Folder ArrangementGuide and Folder Arrangement

Dictionary ArrangementDictionary Arrangement Records are arranged in Records are arranged in

alphabetic order by alphabetic order by subject with no attempt subject with no attempt to file related subjects to file related subjects together.together.

Encyclopedic Encyclopedic ArrangementArrangement Records are arranged in Records are arranged in

alphabetic order by alphabetic order by major subject areas plus major subject areas plus one or more subgroups one or more subgroups of related topics.of related topics.

Turn to page 71 for an example.

Subject Filing PracticeSubject Filing Practice

Prepare a Master IndexPrepare a Master Index

Exercise 12, p. 77Exercise 12, p. 77

Work in groups of twoWork in groups of two

Step 1: InspectingStep 1: InspectingStep 2: IndexingStep 2: IndexingStep 3: CodingStep 3: CodingStep 4: Cross-ReferencingStep 4: Cross-ReferencingStep 5: SortingStep 5: SortingStep 6: Filing Step 6: Filing

Step 1: InspectingStep 1: Inspecting

Inspecting means making sure that a Inspecting means making sure that a record has been released for filing. record has been released for filing. This includes making sure that what This includes making sure that what needed to be done with the record needed to be done with the record was completed.was completed.

Inspecting Inspecting (con’t)(con’t)

A release mark is a check mark that lets you A release mark is a check mark that lets you know that the document can be filed.know that the document can be filed. Document should contain a release mark such as Document should contain a release mark such as

the initial of the person who processed it.the initial of the person who processed it. Other release marks can consist of: tickler, Other release marks can consist of: tickler,

pending, follow-up, future use, and words such as pending, follow-up, future use, and words such as “form letter sent” or “reply sent.”“form letter sent” or “reply sent.”

Step 2: IndexingStep 2: Indexing Read each record to Read each record to

determine subject. determine subject. (Find (Find theme for easy retrieval.)theme for easy retrieval.)

Match subject of Match subject of record with subject record with subject title already in title already in alphabetic subject alphabetic subject index.index. (Subject titles are (Subject titles are compiled by records manager.)compiled by records manager.)

If more than one If more than one subject, decide what subject, decide what the cross-reference the cross-reference subject will be.subject will be.

Index name of Index name of correspondent, as it is correspondent, as it is used to file the used to file the document document alphabetically within alphabetically within the subject folder.the subject folder.

Step 3: CodingStep 3: Coding

When subject titles When subject titles contain more than one contain more than one word, use three-letter word, use three-letter subject codes.subject codes. (Computer (Computer Software Development—CSD)Software Development—CSD)

If there is only one If there is only one word in subject title, word in subject title, use first three letters of use first three letters of the word.the word. (ADM for (ADM for Administration)Administration)

Step 3: CodingStep 3: Coding Write subject titles or Write subject titles or

codes in upper right-codes in upper right-hand corner.hand corner.

Underline with a wavy Underline with a wavy line for any cross-line for any cross-reference subject and reference subject and place an X beside it in place an X beside it in the right-side margin.the right-side margin.

Code the Code the correspondent’s name.correspondent’s name.

Step 4: Cross-ReferencingStep 4: Cross-Referencing

Prepare a C-R sheet for the file when Prepare a C-R sheet for the file when more than one subject is included in a more than one subject is included in a record. record.

Write the second subject title at the right-Write the second subject title at the right-hand margin. hand margin.

In space provided after SEE notation, In space provided after SEE notation, indicate original subject under indicate original subject under which record is filed.which record is filed.

Step 5: SortingStep 5: Sorting

Sort records according to their main Sort records according to their main subject heading.subject heading.

Place all records with the same main Place all records with the same main subject in a pile together.subject in a pile together.

Then sort records by subheading, if they Then sort records by subheading, if they have one.have one.

Step 6: FilingStep 6: Filing

In each subject folder, arrange In each subject folder, arrange records in alpha order according to records in alpha order according to names of the correspondents. names of the correspondents.

If there are two or more pieces, If there are two or more pieces, arrange with most recent date in arrange with most recent date in front.front.

Subject Filing PracticeSubject Filing Practice

Correspondence Coding/IndexingCorrespondence Coding/Indexing

Piece 35 on handoutPiece 35 on handout

The letter is to R. J. DeVille Mfg.The letter is to R. J. DeVille Mfg. Read and code letter.Read and code letter.

The letter is a request for public information, so the The letter is a request for public information, so the subject code is what? Write this code in upper right-subject code is what? Write this code in upper right-hand corner. hand corner.

Index/code name of company.Index/code name of company. Prepare C-R sheet. Prepare C-R sheet.

Letter also mentions planning a conservation project to Letter also mentions planning a conservation project to help protect the environment, prepare a C-R under help protect the environment, prepare a C-R under second subject. The code for conservation projects is second subject. The code for conservation projects is what? Put a wavy underline under the text and write what? Put a wavy underline under the text and write the code in right margin with an X.the code in right margin with an X.

File in alpha order. File in alpha order.

Correspondence PracticeCorrespondence PracticeFind letter 33 correspondenceFind letter 33 correspondence

Read and subject code letterRead and subject code letter

Code/index name of companyCode/index name of company

Code cross-reference and complete sheetCode cross-reference and complete sheet

File File (which comes first)(which comes first)

Numeric Filing Numeric Filing ProceduresProcedures

An arrangement of records based on An arrangement of records based on numbers. numbers.

Advantages of Numeric FilingAdvantages of Numeric Filing

Speed and accuracy of filing and finding is the Speed and accuracy of filing and finding is the greatest benefit of a numeric system. greatest benefit of a numeric system. It can increase production time by 40 to 50%. It can increase production time by 40 to 50%.

Security for the main file.Security for the main file. Records cannot be located by looking at the file Records cannot be located by looking at the file

drawer or shelf because only the numbers are drawer or shelf because only the numbers are visible.visible.

Training employees to use the system is less Training employees to use the system is less time consuming.time consuming.

Advantages Advantages (con’t)(con’t)

Confidentiality. Records stored by numbers Confidentiality. Records stored by numbers instead of name can protect identify of people instead of name can protect identify of people involved.involved. Legal offices use case numbers instead of names.Legal offices use case numbers instead of names. Employee personnel records may be assigned an Employee personnel records may be assigned an

employee number and filed accordingly.employee number and filed accordingly. Students are assigned a personal identification Students are assigned a personal identification

number to protect identity.number to protect identity.

Advantages Advantages (con’t)(con’t)

Easy and unlimited file expansion.Easy and unlimited file expansion. System is capable of infinite expansions and can System is capable of infinite expansions and can

cope with a very large number of sub-sections of cope with a very large number of sub-sections of data.data.

Pre-numbered records are easy to sort.Pre-numbered records are easy to sort. Numbers are easier to read than names, Numbers are easier to read than names,

subjects, or titlessubjects, or titles Cross-referencing appears on index card, not Cross-referencing appears on index card, not

in filing systemin filing system (lower equipment costs)(lower equipment costs)

DisadvantagesDisadvantages

More time consuming. Must check alphabetic More time consuming. Must check alphabetic index for record number before storingindex for record number before storing In order for the numbers to convey readily what In order for the numbers to convey readily what

they mean, it is necessary for an index to be they mean, it is necessary for an index to be created. created. (600 Technology)(600 Technology)

Large numbers tend to get reversed and Large numbers tend to get reversed and misfiled.misfiled.

Large NumbersLarge Numbers

Numbers with five or more digits may be Numbers with five or more digits may be divided into groups of two or three digits and divided into groups of two or three digits and separated by:separated by: Spaces – 504 679 935Spaces – 504 679 935 Decimals – 504.679.935Decimals – 504.679.935 Hyphens – 504-679-935Hyphens – 504-679-935 Diagonals – 504/679/935Diagonals – 504/679/935

When written in the above manner, each series When written in the above manner, each series of digits can be considered separately.of digits can be considered separately.

Numeric Filing MethodsNumeric Filing Methods

Three ways to arrange numbers.Three ways to arrange numbers. Consecutive numeric orderConsecutive numeric order Terminal-digit orderTerminal-digit order Middle-digit orderMiddle-digit order

Consecutive NumberingConsecutive Numbering

Records arranged consecutivelyRecords arranged consecutively Each record is numberedEach record is numbered All records following are given a All records following are given a

progressively higher numberprogressively higher number 248 894 472 is read:248 894 472 is read:

248-primary, 894-secondary, 472 tertiary248-primary, 894-secondary, 472 tertiary

Terminal-Digit NumberingTerminal-Digit Numbering

Records arranged non-consecutivelyRecords arranged non-consecutively In groups of two, three, or four digitsIn groups of two, three, or four digits The numbers are read from right-to-left. The last The numbers are read from right-to-left. The last

group of numbers is the key indexing unitgroup of numbers is the key indexing unit 248 894 472248 894 472 is read: is read:

472-primary, 894-secondary, 248-tertiary472-primary, 894-secondary, 248-tertiary

New files are not grouped in same file area as New files are not grouped in same file area as they would be with consecutive numeric order. they would be with consecutive numeric order. Congestion is reduced. Congestion is reduced.

Middle-Digit NumberingMiddle-Digit Numbering

The middle group of numbers is read first The middle group of numbers is read first (primary digits)(primary digits) It is read like this:It is read like this:

248 894 472248 894 472 is read: is read: 894-primary, 248-secondary, 472-tertiary894-primary, 248-secondary, 472-tertiary

Distributes more recordsDistributes more records Allows related records to be grouped together.Allows related records to be grouped together.

Middle digit can represent a particular sales Middle digit can represent a particular sales district, salesperson, or specific product line.district, salesperson, or specific product line.

Four Components ofFour Components ofConsecutive Numeric FilingConsecutive Numeric Filing

1.1. Serially numbered folders with guides.Serially numbered folders with guides. Filed in folders with numbered tabsFiled in folders with numbered tabs Filed in consecutive numeric order with lowest Filed in consecutive numeric order with lowest

numbers firstnumbers first Numeric guides divide drawer or shelf between Numeric guides divide drawer or shelf between

every five or ten folders to facilitate filing and every five or ten folders to facilitate filing and retrieval of records.retrieval of records.

2.2. General Alphabetic Folders and Guides.General Alphabetic Folders and Guides. Alphabetic section behind guide labeled Alphabetic section behind guide labeled GeneralGeneral

is reserved for those records that have not yet is reserved for those records that have not yet been assigned a numberbeen assigned a number

Record is filed in the Record is filed in the GeneralGeneral section according section according to correspondent’s name if it is only the first or to correspondent’s name if it is only the first or second item for a correspondent.second item for a correspondent.

When there is a third record, a number is When there is a third record, a number is assigned, numbered folder is prepared, and assigned, numbered folder is prepared, and numeric folder containing records is filed.numeric folder containing records is filed.

GeneralGeneral section is placed in front of consecutive section is placed in front of consecutive numeric files.numeric files.

3.3. Alphabetic Index.Alphabetic Index. May be in the form of a list or card fileMay be in the form of a list or card file Shows number assigned to each correspondence Shows number assigned to each correspondence

and cross-reference namesand cross-reference names Cross-referencing names eliminated the need to Cross-referencing names eliminated the need to

prepare cross-reference sheets for prepare cross-reference sheets for correspondence filecorrespondence file

On index cards, each card shows name, address, On index cards, each card shows name, address, & file number of the correspondence.& file number of the correspondence.

Accession LogAccession LogContains numbered blank lines for Contains numbered blank lines for

assigning numbers to records. assigning numbers to records. (See page 72 for example.)(See page 72 for example.)

Number Assignment Number Assignment (con’t)(con’t)

If the name is not listed in the index, the record must be a new correspondence.

Add the new name to the alpha index and assign a G code.

If you are working with a card file, prepare a new card.

Write a G on record in upper right corner and file record in general alpha section.

Number Assignment Number Assignment (con’t)(con’t)

When name has been assigned a number, write number in upper right corner of record.

File record in corresponding numeric folder, placing most recently dated record in front.

Number Assignment Number Assignment (con’t)(con’t)

When two or more pieces have accumulated in G file, check accession log to find next available number. Write correspondent’s name in indexing order on

line next to number. Write number on record. Change G in alphabetic index by drawing line thru

it and write the newly assigned number.

Color Coding Numeric Color Coding Numeric FilesFiles

Color-coded labels on numeric Color-coded labels on numeric folders help to improve efficiency of folders help to improve efficiency of

filing and retrieval of records.filing and retrieval of records.

Bar Coding of FilesBar Coding of Files

Bar coding improves the accuracy of filing, Bar coding improves the accuracy of filing, charge-out, and retrieval processes.charge-out, and retrieval processes.

Bar codes are read by either using a portable Bar codes are read by either using a portable bar code reader (wand) or by keyboard-bar code reader (wand) or by keyboard-attached bar code scanners.attached bar code scanners.

You can just scan the UPC (Universal Product You can just scan the UPC (Universal Product Code) identified on the file folder labels.Code) identified on the file folder labels.

Practice Numeric FilingPractice Numeric Filing

Exercise 13 on page 79Exercise 13 on page 79

Complete Group A, B, & C Complete Group A, B, & C in groups of twoin groups of two

Geographic Filing Geographic Filing MethodMethod

An alphabetic arrangement of records An alphabetic arrangement of records based on geographic location. based on geographic location.

Geographic FilingGeographic Filing

Utility companies, mail-order companies, Utility companies, mail-order companies, publishers, airlines, and organizations with publishers, airlines, and organizations with branch stores and offices are likely to arrange branch stores and offices are likely to arrange records by location first.records by location first.

Intelligent business decisions are made based Intelligent business decisions are made based on location of activity.on location of activity. Countries have differing laws and licenses to take Countries have differing laws and licenses to take

into consideration.into consideration.

Geographic Filing Geographic Filing (con’t)(con’t)

Geographic filing systems operate Geographic filing systems operate generally by county or country and then generally by county or country and then alphabetically or numerically by account alphabetically or numerically by account name or number.name or number.

Dictionary ArrangementDictionary Arrangement

An arrangement of geographic names from An arrangement of geographic names from A to Z and is commonly used for a small A to Z and is commonly used for a small volume of records that does not require volume of records that does not require subdivisions, such as a file of all streets, subdivisions, such as a file of all streets, cities, or countries.cities, or countries. See page 75 for dictionary arrangement.See page 75 for dictionary arrangement.

Encyclopedic ArrangementEncyclopedic Arrangement

Used when geographic territories are Used when geographic territories are subdivided.subdivided.

Subdivisions are necessary when filing states Subdivisions are necessary when filing states in various countries or cities in various states.in various countries or cities in various states. See page 76 for encyclopedic arrangement.See page 76 for encyclopedic arrangement.

Main geographic division guides are main country Main geographic division guides are main country guides (arranged in straight line at left-hand side.guides (arranged in straight line at left-hand side.

Secondary guides are state/province name guides Secondary guides are state/province name guides arrange in straight line to the right of primary guides.arrange in straight line to the right of primary guides.

General/individual folders are placed at far right.General/individual folders are placed at far right.

General Country FoldersGeneral Country Folders

General country guides hold records for all General country guides hold records for all states in that country until the general state states in that country until the general state folder is needed.folder is needed.

Arrange records in general country folders by Arrange records in general country folders by state, city, and customer name, in that order.state, city, and customer name, in that order.

Inspect folders regularly to determine whether Inspect folders regularly to determine whether a state folder is needed.a state folder is needed.

General State FoldersGeneral State Folders

Hold records for all cities in that state until the Hold records for all cities in that state until the general city folder is needed.general city folder is needed.

Arrange records in general state folders first Arrange records in general state folders first by city and then by customer name, in that by city and then by customer name, in that order.order.

Inspect folders regularly to determine whether Inspect folders regularly to determine whether an individual company folder is needed.an individual company folder is needed. Five or more recordsFive or more records

File most recent document in the front of the File most recent document in the front of the folder.folder.

Geographic Filing Geographic Filing (con’t)(con’t)

If you do not know an address, you cannot If you do not know an address, you cannot access the geographic file directly; you must access the geographic file directly; you must first consult an alphabetic name index, that first consult an alphabetic name index, that gives the names and addresses of gives the names and addresses of correspondents in the file. Thus it is called an correspondents in the file. Thus it is called an indirect filing method.indirect filing method.

Indexing and CodingIndexing and Coding

Index from the largest geographic territory to Index from the largest geographic territory to the smallest in this order: the smallest in this order:

1.1. CountryCountry

2.2. StateState

3.3. CityCity

4.4. Name of correspondentName of correspondent

If business activity is not out of the U.S., If business activity is not out of the U.S., then the state name is the key unit.then the state name is the key unit.

Indexing and CodingIndexing and Coding

Street names and house numbers are Street names and house numbers are considered only when all other filing units considered only when all other filing units (country, state, city, and correspondent (country, state, city, and correspondent name) are identical.name) are identical.

Code for geographic filing by: 1) circling the Code for geographic filing by: 1) circling the location and 2) numbering all filing units in location and 2) numbering all filing units in the order they are considered for filing the order they are considered for filing purposes.purposes.

Look at Figure 5.10 on page 76 for example.Look at Figure 5.10 on page 76 for example.

Geographic Filing Geographic Filing PracticePractice

Exercise 14 on page 81Exercise 14 on page 81

Complete Group A & B Complete Group A & B

Practical Tips for FilingPractical Tips for Filing

TipsTips

SpaceSpace A file drawer or shelf should be filled to no more A file drawer or shelf should be filled to no more

than 90% of its capacity. Tightly packed files slow than 90% of its capacity. Tightly packed files slow filing and finding to a crawl.filing and finding to a crawl.

Index GuideIndex Guide All active files should have a guide every 10 to 15 All active files should have a guide every 10 to 15

folders. Anything less means you are wasting time folders. Anything less means you are wasting time pushing and pulling folders back and forth, pushing and pulling folders back and forth, looking for the required record.looking for the required record.

Tips Tips (con’t)

Folder TabsFolder Tabs Folder tabs should be visible immediately upon Folder tabs should be visible immediately upon

opening the file. A well-run file must have folders opening the file. A well-run file must have folders of uniform size and tab styles. Mixing folder of uniform size and tab styles. Mixing folder heights and tab positions can reduce the efficiency heights and tab positions can reduce the efficiency of a filing system.of a filing system.

Cross IndexingCross Indexing MMake a reference in one file of related or ake a reference in one file of related or

helpful/additional data held in another file.helpful/additional data held in another file.

Tips Tips (con’t)

Folder Tab IdentificationFolder Tab Identification Identification on the tabs should be typewritten. Identification on the tabs should be typewritten.

Handwritten labels or labels with the names Handwritten labels or labels with the names crossed out and re-typed should never be crossed out and re-typed should never be permitted.permitted.

File OverloadFile Overload Don't overload your files to hold more than its Don't overload your files to hold more than its

capacity. If more files are placed in a folder than it capacity. If more files are placed in a folder than it can hold, the tab will slump down and out of sight.can hold, the tab will slump down and out of sight.

Tips Tips (con’t)

Noting Files In UseNoting Files In Use A file borrowed without a record of who has it, A file borrowed without a record of who has it,

when it was removed from the filing system etc, is when it was removed from the filing system etc, is a file lost! a file lost!

Make sure you have a 'file in use' set of slips to be Make sure you have a 'file in use' set of slips to be filled out showing: user, date out, date due back filled out showing: user, date out, date due back etc.etc.

Maintaining SecurityMaintaining Security Some files will contain highly confidential data; Some files will contain highly confidential data;

make sure you control who may access what and make sure you control who may access what and keep a secure system for sensitive files.keep a secure system for sensitive files.