1COMP7780Update 2010 Fall

RECORDS MANAGEMENT

OutlineOutline

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?

2COMP7780

Alphabetic Filing Alphabetic Filing MethodMethod

3COMP7780

RECORDS MANAGEMENT

Most common method A method of storing and arranging records

according to letters of the alphabet

Alphabetic Records Alphabetic Records ManagementManagement

4COMP7780

RECORDS MANAGEMENT

Alphabetic System Alphabetic System AdvantagesAdvantages 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.

5COMP7780

RECORDS MANAGEMENT

Alphabetic System Alphabetic System Advantages (cont’)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.

6COMP7780

RECORDS MANAGEMENT

Alphabetic System Alphabetic System DisadvantagesDisadvantages 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.

7COMP7780

RECORDS MANAGEMENT

Alphabetic System Alphabetic System Disadvantages (cont’)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.

8COMP7780

Subject Filing MethodSubject Filing Method

9COMP7780

RECORDS MANAGEMENT

Subject Records Subject Records ManagementManagement 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

10COMP7780

RECORDS MANAGEMENT

Dictionary ArrangementDictionary 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

11COMP7780

RECORDS MANAGEMENT

B Branch Offices

B BankingB

A Applications

A AccountingA

Dictionary Arrangement Dictionary Arrangement (cont’)(cont’)

12COMP7780

RECORDS MANAGEMENT

Primary (A-Z) guide

Special guide Folder

caption

13COMP7780

RECORDS MANAGEMENT

Encyclopedic ArrangementEncyclopedic 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

14COMP7780

RECORDS MANAGEMENT

Encyclopedic ArrangementEncyclopedic ArrangementCharacteristicsCharacteristics

Primary guide captions are general subject titles

Secondary guide captions are subdivisions of general subject titles

Folder captions include main subject titles and subdivisions

15COMP7780

RECORDS MANAGEMENT

Accounting Accounts Receivable

Accounts Receivable

Accounting Accounts Payable

Accounts Payable

Accounting

Main title guide

Subtitle guide Folder

16COMP7780

RECORDS MANAGEMENT

Indexes for Subject FilingIndexes 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)

RECORDS MANAGEMENT

Master IndexMaster 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

RECORDS MANAGEMENT

Relative IndexRelative Index

Subject Title Filed Under

Applications Applications

Architectural Designs Architectural Designs

Chicago Office Architectural Designs

Miami Offices Architectural Designs

…… ……

RECORDS MANAGEMENT

Advantages of Subject Advantages of Subject FilingFiling 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

20COMP7780

RECORDS MANAGEMENT

Disadvantages of Subject Disadvantages of Subject FilingFiling 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

21COMP7780

RECORDS MANAGEMENT

Disadvantages of Subject Disadvantages of Subject Filing (cont’)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

22COMP7780

RECORDS MANAGEMENT

Subject Filing GuidelinesSubject 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

23COMP7780

RECORDS MANAGEMENT

Subject Filing Guidelines Subject Filing Guidelines (cont’)(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

24COMP7780

RECORDS MANAGEMENT

How records are filed at your workplace?  Do you follow any standard or rule

for records filing?

DiscussionDiscussion

COMP7780 25

Numeric Filing Numeric Filing MethodMethod

26COMP7780

RECORDS MANAGEMENT

Numeric Records Numeric Records ManagementManagement A classification system for arranging records

based on numbers:◦Consecutive numbering◦Nonconsecutive numbering◦Numeric coding used in combination with

subject or geographic filing

27COMP7780

RECORDS MANAGEMENT

Consecutive Numbering Consecutive Numbering MethodMethod Consecutively numbered records are arranged in

ascending number order—from the lowest number to the highest number.

One guide for every ten folders

28COMP7780

RECORDS MANAGEMENT

The general alphabetic file should be placed at the beginning of the numeric file.

29COMP7780

RECORDS MANAGEMENT

Consecutive Numbering Consecutive Numbering SuppliesSupplies 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

30COMP7780

RECORDS MANAGEMENT

Accession LogAccession Log a serial list of numbers assigned to records in a

numeric storage system

31COMP7780

RECORDS MANAGEMENT

Alphabetic IndexAlphabetic Index a reference to a numeric file that is used when the

name or subject is known but not the assigned number.

32COMP7780

RECORDS MANAGEMENT

Databases for Numeric Databases for Numeric StorageStorage 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.

33COMP7780

RECORDS MANAGEMENT

Advantages of Advantages of Consecutive NumberingConsecutive 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

34COMP7780

RECORDS MANAGEMENT

Disadvantages of Disadvantages of Consecutive NumberingConsecutive Numbering Requires reference to alphabetic index Requires more guides Congestion Numbers can be easily transposed, which

causes misfiles

35COMP7780

RECORDS MANAGEMENT

Terminal-Digit StorageTerminal-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

36COMP7780

RECORDS MANAGEMENT

502-64-9485502-64-9485Terminal Digits

37COMP7780

RECORDS MANAGEMENT

Terminal-Digit Terminal-Digit Accession Log Query ResultsAccession Log Query Results

38COMP7780

RECORDS MANAGEMENT

Middle-Digit StorageMiddle-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.

39COMP7780

RECORDS MANAGEMENT

35-14-6535-14-65Middle Digits

40COMP7780

RECORDS MANAGEMENT

Other Numeric Coding Other Numeric Coding SystemsSystems

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.

RECORDS MANAGEMENT

Block-Numeric ExampleBlock-Numeric Example

100 MANAGEMENT110 RECORDS MANAGEMENT

111 FILING EQUIPMENT112 FILING SYSTEMS113 RETENTION SCHEDULE

120 SALES MANAGEMENT121 ADVERTISING

200 PRODUCT

100 MANAGEMENT110 RECORDS MANAGEMENT

111 FILING EQUIPMENT112 FILING SYSTEMS113 RETENTION SCHEDULE

120 SALES MANAGEMENT121 ADVERTISING

200 PRODUCT

42COMP7780

RECORDS MANAGEMENT

Duplex-Numeric ExampleDuplex-Numeric Example

43COMP7780

RECORDS MANAGEMENT

Decimal-Numeric ExampleDecimal-Numeric Example

1 MANAGEMENT1.1 RECORDS MANAGEMENT

1.1.1 FILING EQUIPMENT1.1.2 FILING SYSTEMS1.1.3 RETENTION SCHEDULE

1.2 SALES MANAGEMENT1.2.1 ADVERTISING

2 PRODUCT

1 MANAGEMENT1.1 RECORDS MANAGEMENT

1.1.1 FILING EQUIPMENT1.1.2 FILING SYSTEMS1.1.3 RETENTION SCHEDULE

1.2 SALES MANAGEMENT1.2.1 ADVERTISING

2 PRODUCT

44COMP7780

RECORDS MANAGEMENT

Alphanumeric ExampleAlphanumeric Example

45COMP7780

Geographic Filing Geographic Filing MethodMethod

46COMP7780

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

Geographic Records Geographic Records ManagementManagement

47COMP7780

RECORDS MANAGEMENT

Examples of Activities that Examples of Activities that Require Geographic FilingRequire Geographic Filing

Scientific research Oil and gas exploration Facility management Real estate transactions Emergency response Utility and telecommunication services Product distribution

48COMP7780

RECORDS MANAGEMENT

Advantages of Advantages of Geographic Records StorageGeographic 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

49COMP7780

RECORDS MANAGEMENT

Disadvantages of Disadvantages of Geographic Records Storage 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

50COMP7780

RECORDS MANAGEMENT

Arrangement of Geographic Arrangement of Geographic RecordsRecords 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.

51COMP7780

RECORDS MANAGEMENT

Dictionary Arrangement of Dictionary Arrangement of RecordsRecords

Lettered Guide Plan Location Name Guide Plan

52COMP7780

RECORDS MANAGEMENT

Encyclopedic Arrangement of Encyclopedic Arrangement of RecordsRecords

Lettered Guide Plan Location Name Guide Plan

53COMP7780

RECORDS MANAGEMENT

Geographic Records Storage Geographic Records Storage Indexes 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

54COMP7780

RECORDS MANAGEMENT

Master Index for Geographic Master Index for Geographic FilesFiles

55COMP7780

RECORDS MANAGEMENT

Alphabetic Index for Alphabetic Index for Geographic FilesGeographic Files

56COMP7780

RECORDS MANAGEMENT

What are the problems of traditional records and records management?

How does IT help?

Discussion (again and Discussion (again and more)more)

COMP7780 57