Records Filing Methods COMP 7780 Update 2010 Fall

  • Slides: 57
Download presentation
Records Filing Methods COMP 7780 Update 2010 Fall 1

Records Filing Methods COMP 7780 Update 2010 Fall 1

Outline Alphabetic Subject Numeric Geographic (See Chapter 6, 8, 9, 10 of the reference

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? COMP 7780 RECORDS MANAGEMENT 2

Alphabetic Filing Method COMP 7780 3

Alphabetic Filing Method COMP 7780 3

Alphabetic Records Management Most common method A method of storing and arranging records according

Alphabetic Records Management Most common method A method of storing and arranging records according to letters of the alphabet COMP 7780 RECORDS MANAGEMENT 4

Alphabetic System Advantages The alphabetic dictionary (A to Z) order of arrangement is simple

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. COMP 7780 RECORDS MANAGEMENT 5

Alphabetic System Advantages (cont’) Related records from one name, either a company or an

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. COMP 7780 RECORDS MANAGEMENT 6

Alphabetic System Disadvantages Misfiling is prevalent if rules for alphabetic storage are not established

Alphabetic System Disadvantages 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. COMP 7780 RECORDS MANAGEMENT 7

Alphabetic System Disadvantages (cont’) Names on folders are seen instantly by anyone who happens

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. COMP 7780 RECORDS MANAGEMENT 8

Subject Filing Method COMP 7780 9

Subject Filing Method COMP 7780 9

Subject Records Management An alphabetic system of storing and retrieving records by their subject

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 COMP 7780 RECORDS MANAGEMENT 10

Dictionary Arrangement Subject folders are arranged behind A-to-Z guides in correct alphabetic order by

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 COMP 7780 RECORDS MANAGEMENT 11

Dictionary Arrangement (cont’) B Branch Offices B A COMP 7780 B Banking A Applications

Dictionary Arrangement (cont’) B Branch Offices B A COMP 7780 B Banking A Applications A Accounting RECORDS MANAGEMENT 12

Primary (A -Z) guide Special guide COMP 7780 Folder caption RECORDS MANAGEMENT 13

Primary (A -Z) guide Special guide COMP 7780 Folder caption RECORDS MANAGEMENT 13

Encyclopedic Arrangement A subject filing arrangement in which records are filed under broad, major

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 COMP 7780 RECORDS MANAGEMENT 14

Encyclopedic Arrangement Characteristics Primary guide captions are general subject titles Secondary guide captions are

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 COMP 7780 RECORDS MANAGEMENT 15

Main title guide Accounting Accounts Receivable Accounts Payable Subtitle guide COMP 7780 Accounting Accounts

Main title guide Accounting Accounts Receivable Accounts Payable Subtitle guide COMP 7780 Accounting Accounts Receivable Accounting Accounts Payable Folder RECORDS MANAGEMENT 16

Indexes for Subject Filing Master Relative Numeric Name Alphabetic list of all subject titles

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) RECORDS MANAGEMENT

Master Index Applications Architectural Designs Chicago Office Miami Office Banking Services Credit Cards Charitable

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 RECORDS MANAGEMENT

Relative Index Subject Title Applications Architectural Designs Chicago Office Miami Offices …… Filed Under

Relative Index Subject Title Applications Architectural Designs Chicago Office Miami Offices …… Filed Under Applications Architectural Designs …… RECORDS MANAGEMENT

Advantages of Subject Filing Subjects are easier to remember than names Related records are

Advantages of Subject Filing 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 COMP 7780 RECORDS MANAGEMENT 20

Disadvantages of Subject Filing Subject titles may overlap Concise, clearly defined, and uniformly stated

Disadvantages of Subject Filing 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 COMP 7780 RECORDS MANAGEMENT 21

Disadvantages of Subject Filing (cont’) An experienced records analyst may be required to create

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 COMP 7780 RECORDS MANAGEMENT 22

Subject Filing Guidelines Select subject titles that best reflect stored records, are meaningful to

Subject 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 COMP 7780 RECORDS MANAGEMENT 23

Subject Filing Guidelines (cont’) Provide for the occasional use of alternate, synonymous, or related

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 COMP 7780 RECORDS MANAGEMENT 24

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

Discussion How records are filed at your workplace? Do you follow any standard or rule for records filing? COMP 7780 RECORDS MANAGEMENT 25

Numeric Filing Method COMP 7780 26

Numeric Filing Method COMP 7780 26

Numeric Records Management A classification system for arranging records based on numbers: ◦ Consecutive

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 COMP 7780 RECORDS MANAGEMENT 27

Consecutive Numbering Method Consecutively numbered records are arranged in ascending number order—from the lowest

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 COMP 7780 RECORDS MANAGEMENT 28

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

The general alphabetic file should be placed at the beginning of the numeric file. COMP 7780 RECORDS MANAGEMENT 29

Consecutive Numbering Supplies Numbered guides and folders for the numeric file Alphabetic guides and

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 COMP 7780 RECORDS MANAGEMENT 30

Accession Log a serial list of numbers assigned to records in a numeric storage

Accession Log a serial list of numbers assigned to records in a numeric storage system COMP 7780 RECORDS MANAGEMENT 31

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

Alphabetic Index a reference to a numeric file that is used when the name or subject is known but not the assigned number. COMP 7780 RECORDS MANAGEMENT 32

Databases for Numeric Storage Database software can simplify creation of the accession log and

Databases for Numeric Storage 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. COMP 7780 RECORDS MANAGEMENT 33

Advantages of Consecutive Numbering Rapid re-filing Easy and unlimited expansion Built-in security Same numeric

Advantages of Consecutive 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 COMP 7780 RECORDS MANAGEMENT 34

Disadvantages of Consecutive Numbering Requires reference to alphabetic index Requires more guides Congestion Numbers

Disadvantages of Consecutive Numbering Requires reference to alphabetic index Requires more guides Congestion Numbers can be easily transposed, which causes misfiles COMP 7780 RECORDS MANAGEMENT 35

Terminal-Digit Storage Numeric coding in combination with subject filing Numbers are divided into groups

Terminal-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 COMP 7780 RECORDS MANAGEMENT 36

502 -64 -9485 Terminal Digits COMP 7780 RECORDS MANAGEMENT 37

502 -64 -9485 Terminal Digits COMP 7780 RECORDS MANAGEMENT 37

Terminal-Digit Accession Log Query Results COMP 7780 RECORDS MANAGEMENT 38

Terminal-Digit Accession Log Query Results COMP 7780 RECORDS MANAGEMENT 38

Middle-Digit Storage Numeric coding in combination with subject filing Numbers are divided into groups

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. COMP 7780 RECORDS MANAGEMENT 39

35 -14 -65 Middle Digits COMP 7780 RECORDS MANAGEMENT 40

35 -14 -65 Middle Digits COMP 7780 RECORDS MANAGEMENT 40

Other Numeric Coding Systems Block-Numeric Groups of numbers represent primary and secondary subjects. Duplex-Numeric

Other Numeric Coding Systems 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. Combination of letters, numbers, and punctuation marks. Alphanumeric RECORDS MANAGEMENT

Block-Numeric Example 100 MANAGEMENT 110 RECORDS MANAGEMENT 111 FILING EQUIPMENT 112 FILING SYSTEMS 113

Block-Numeric Example 100 MANAGEMENT 110 RECORDS MANAGEMENT 111 FILING EQUIPMENT 112 FILING SYSTEMS 113 RETENTION SCHEDULE 120 SALES MANAGEMENT 121 ADVERTISING 200 PRODUCT COMP 7780 RECORDS MANAGEMENT 42

Duplex-Numeric Example COMP 7780 RECORDS MANAGEMENT 43

Duplex-Numeric Example COMP 7780 RECORDS MANAGEMENT 43

Decimal-Numeric Example 1 MANAGEMENT 1. 1 RECORDS MANAGEMENT 1. 1. 1 FILING EQUIPMENT 1.

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 COMP 7780 RECORDS MANAGEMENT 44

Alphanumeric Example COMP 7780 RECORDS MANAGEMENT 45

Alphanumeric Example COMP 7780 RECORDS MANAGEMENT 45

Geographic Filing Method COMP 7780 46

Geographic Filing Method COMP 7780 46

Geographic Records Management A methods of storing and retrieving records by geographic location usually

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 COMP 7780 RECORDS MANAGEMENT 47

Examples of Activities that Require Geographic Filing Scientific research Oil and gas exploration Facility

Examples of Activities that Require Geographic Filing Scientific research Oil and gas exploration Facility management Real estate transactions Emergency response Utility and telecommunication services Product distribution COMP 7780 RECORDS MANAGEMENT 48

Advantages of Geographic Records Storage Operations relating to a specific location are filed together

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 COMP 7780 RECORDS MANAGEMENT 49

Disadvantages of Geographic Records Storage User must know the geographic location, or an index

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 COMP 7780 RECORDS MANAGEMENT 50

Arrangement of Geographic Records Dictionary storage arrangements ◦ an arrangement of records in alphabetic

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. COMP 7780 RECORDS MANAGEMENT 51

Dictionary Arrangement of Records Lettered Guide Plan COMP 7780 Location Name Guide Plan RECORDS

Dictionary Arrangement of Records Lettered Guide Plan COMP 7780 Location Name Guide Plan RECORDS MANAGEMENT 52

Encyclopedic Arrangement of Records Lettered Guide Plan COMP 7780 Location Name Guide Plan RECORDS

Encyclopedic Arrangement of Records Lettered Guide Plan COMP 7780 Location Name Guide Plan RECORDS MANAGEMENT 53

Geographic Records Storage Indexes Master index—a complete listing of all filing segments in the

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 COMP 7780 RECORDS MANAGEMENT 54

Master Index for Geographic Files COMP 7780 RECORDS MANAGEMENT 55

Master Index for Geographic Files COMP 7780 RECORDS MANAGEMENT 55

Alphabetic Index for Geographic Files COMP 7780 RECORDS MANAGEMENT 56

Alphabetic Index for Geographic Files COMP 7780 RECORDS MANAGEMENT 56

Discussion (again and more) What are the problems of traditional records and records management?

Discussion (again and more) What are the problems of traditional records and records management? How does IT help? COMP 7780 RECORDS MANAGEMENT 57