OST184 OST184 RecordsRecordsManagementManagement

Chapter 8Chapter 8Subject Records ManagementSubject Records Management

Subject Records Subject Records ManagementManagement

• An alphabetic system of storing and An alphabetic system of storing and retrieving records by their subject or retrieving records by their subject or topic.topic.

• Subject filing is recommended when the Subject filing is recommended when the range of topics used within an range of topics used within an organization is broad.organization is broad.

• Arranging records by subject categories, Arranging records by subject categories, such as topic, department, service, such as topic, department, service, product, or projectproduct, or project

Advantages of Subject Advantages of Subject FilingFiling

• Subjects are easier to remember than names.Subjects are easier to remember than names.

• Related records are easy to find.Related records are easy to find.

• Related records are not scatteredRelated records are not scatteredthroughout the files.throughout the files.

• Files can easily be expanded by adding Files can easily be expanded by adding subdivisions to main subject titles.subdivisions to main subject titles.

• Subject filing is appropriate for storing large Subject filing is appropriate for storing large volumes of records.volumes of records.

• Security is provided because correspondent Security is provided because correspondent names are not visible to unauthorized persons names are not visible to unauthorized persons who may not know the subject under which a who may not know the subject under which a record is filed.record is filed.

Disadvantages of Subject Disadvantages of Subject FilingFiling

• Main subject titles and subdivisions may Main subject titles and subdivisions may overlap as the list of subject titles grows.overlap as the list of subject titles grows.

• Concise, clearly defined, and uniformly stated Concise, clearly defined, and uniformly stated subject titles may be difficult to select.subject titles may be difficult to select.

• Inconsistent subject coding on records may Inconsistent subject coding on records may make storage and retrieval difficult.make storage and retrieval difficult.

• Users may not remember exact titles or be Users may not remember exact titles or be unfamiliar with the subject titles and may unfamiliar with the subject titles and may have more difficulty finding records.have more difficulty finding records.

Disadvantages of Subject Disadvantages of Subject Filing Filing (cont’d)(cont’d)

• Planning and maintenance are required to Planning and maintenance are required to assure that approved subject titles are used assure that approved subject titles are used consistently.consistently.

• Subject filing is the most expensive storage Subject filing is the most expensive storage method because experienced filers are required.method because experienced filers are required.

• An experienced records analyst may be required An experienced records analyst may be required to create the subject titles to assure that logical to create the subject titles to assure that logical subjects are selected.subjects are selected.

• Indexing, coding, and cross-referencing take Indexing, coding, and cross-referencing take more time because each record must be read more time because each record must be read carefully and thoroughly.carefully and thoroughly.

Subject FilingSubject Filing

• The selection of a word or phrase to use as a The selection of a word or phrase to use as a subject title (the filing segment) is of prime subject title (the filing segment) is of prime importance when using the subject storage importance when using the subject storage method.method.

• One person is responsible for selecting subject One person is responsible for selecting subject titles.titles.

• That person must be thoroughly familiar with the That person must be thoroughly familiar with the material to be stored and have considerable material to be stored and have considerable knowledge of every phrase of the operations and knowledge of every phrase of the operations and activities of the business.activities of the business.

• The subject title must be short and clearly The subject title must be short and clearly descriptive of the material it represents.descriptive of the material it represents.

Subject Filing - GuidelinesSubject Filing - Guidelines

• Select titles that best reflect stored records and are Select titles that best reflect stored records and are meaningful to file users, and are easy to remember.meaningful to file users, and are easy to remember.

• Select subject titles that have only one interpretation.Select subject titles that have only one interpretation.

• Use one-word subject titles whenever possible.Use one-word subject titles whenever possible.

• Use plural titles whenever possible.Use plural titles whenever possible.

• Provide for the occasional use of alternate, Provide for the occasional use of alternate, synonymous, or related subject titles.synonymous, or related subject titles.

• Consider combining filing methods when subdividing Consider combining filing methods when subdividing and subsorting records in large subject filing systems.and subsorting records in large subject filing systems.

• Designate one person to manage the subject titles – to Designate one person to manage the subject titles – to select the titles and to add new titles as needed.select the titles and to add new titles as needed.

Two Types of Arrangements Two Types of Arrangements In Subject StorageIn Subject Storage

• Records may be stored in two alphabetic subject Records may be stored in two alphabetic subject arrangements - arrangements - dictionarydictionary and and encyclopedicencyclopedic..

• The definitions of these two terms are easy to The definitions of these two terms are easy to remember when you relate them to the remember when you relate them to the arrangement of words in a dictionary versus the arrangement of words in a dictionary versus the arrangement of information in an encyclopedia.arrangement of information in an encyclopedia.

• A A dictionarydictionary contains a list of contains a list of words in alphabetic order.words in alphabetic order.

• An An encyclopediaencyclopedia contains a list contains a listof words and related topics in alphabeticof words and related topics in alphabeticorder.order.

Dictionary File ArrangementDictionary File Arrangement

• A single alphabetic filing arrangement in which all A single alphabetic filing arrangement in which all types of entries (names, subjects, titles) are types of entries (names, subjects, titles) are interfiled.interfiled.

• Generally, the dictionary subject arrangement is not Generally, the dictionary subject arrangement is not recommended if the volume of records is greater recommended if the volume of records is greater than could be stored in two file drawers.than could be stored in two file drawers.

• However, the dictionary arrangement is used However, the dictionary arrangement is used regardless of the number of records if the subject regardless of the number of records if the subject topics are easily identified without the necessity of topics are easily identified without the necessity of using subdivisions.using subdivisions.

Dictionary File Dictionary File ArrangementArrangement

• Primary guide labels contain letters A to Z Primary guide labels contain letters A to Z in alphabetic order.in alphabetic order.

• SpecialSpecial guides identify folders referenced guides identify folders referenced often.often.

• GeneralGeneral subject folders are used to store subject folders are used to store records related to the subject title.records related to the subject title.

• CaptionsCaptions on general subject folders include on general subject folders include the alphabet letter and the subject title.the alphabet letter and the subject title.

• Subject titles are not subdivided.Subject titles are not subdivided.

• A-to-Z guides are one-fifth cut and occupy the first position in the file.

• Special guides are one-fifth cut and are in second position.

• General folders with subject topics and “OUT” guides are one-third cut and occupy the third position in the file.

Dictionary File Dictionary File ArrangementArrangement

Encyclopedic File Encyclopedic File ArrangementArrangement

• Filing system in which records are filed under Filing system in which records are filed under broad, major subject titles and then under the broad, major subject titles and then under the specific subtitles to which they related.specific subtitles to which they related.

• Titles and subtitles are arranged alphabetically.Titles and subtitles are arranged alphabetically.

• General folders should be checked from time to General folders should be checked from time to time to see whether the number of records for a time to see whether the number of records for a specific subject category should be transferred specific subject category should be transferred to a more specific subject subdivision or to a more specific subject subdivision or individual folder, especially for frequently individual folder, especially for frequently requested records.requested records.

Encyclopedic File Encyclopedic File ArrangementArrangement

• Primary guide captions are general subject titles.

• Secondary guide captions are subdivisions of the general subject titles.

• File captions include the main subject titles and the subdivisions.

• A general subject folder with the samelabel caption as the primary guide isinserted behind the last subdivisionfolder for all subjects.

Encyclopedic File Encyclopedic File ArrangementArrangement

•Main subject titles – printed on the label captions of the primary guides. These are one-fifth cut and in first position.

• Main subject subdivisions - are in second position, and are also one-fifth cut tab guides with labels of the subdivision of the main subject.

•Permanent Permanent cross-reference cross-reference guideguide

Because guides are not removed, repeating the main subject title on the secondary guide is not necessary.

A comprehensive folder label helps

assure that a borrowed folder will

be returned to its correct location.

General folders should be checked

from time to time to see whether the

number of records for a specific subject category should be

transferred to a more specific subject

subdivision or individual folder,

especially for frequently requested

records.

GuidesGuides and Labels and Labels

• Be consistent in spacing and styles of captions in label preparation.

• All primary guides should begin near the left edge and near the top of the label.

• Secondary guides should also be in a straight line.

• Key the information in all capitals with no punctuation.

• Decide whether to use complete subject titles, abbreviated titles, or subject codes, and follow this format consistently.

The primary guide caption contains the main subject title.

The secondary guide caption contains the main subject and its subdivision. Because guides are not removed from a storage container during storage and retrieval, a primary guide caption can be omitted on a secondary guide.

FoldersFolders and Labels and Labels

• Key the label in all capitals with no punctuation.Key the label in all capitals with no punctuation.

• Main subject should begin near left margin. Main subject should begin near left margin.

• Key subdivision 0.5 inches to the right of the main Key subdivision 0.5 inches to the right of the main subject title OR under the first letter of the first subject title OR under the first letter of the first line.line.

• Color code folder labels for each subject guide to Color code folder labels for each subject guide to reduce misfiles.reduce misfiles.

• Bar codes can be added for electronically tracking Bar codes can be added for electronically tracking records.records.

OUT IndicatorsOUT Indicators

Follow the same procedures forFollow the same procedures forsubject filing that you appliedsubject filing that you appliedin alphabetic name filing.in alphabetic name filing.

The only difference is that youThe only difference is that youwill use subject titles, rather than will use subject titles, rather than individual or organization names, to individual or organization names, to identify records.identify records.

Subject IndexesSubject Indexes

• An index is a systematic guide that allows access An index is a systematic guide that allows access to specific items contained within a larger body of to specific items contained within a larger body of information.information.

• Because filers may not know all subjects used in a Because filers may not know all subjects used in a subject file, they cannot go directly to a file to subject file, they cannot go directly to a file to locate a record.locate a record.

• A subject file requires an index and, therefore, is A subject file requires an index and, therefore, is considered an considered an indirectindirect access filing method. access filing method.

• Alphabetic filing is considered a Alphabetic filing is considered a directdirect access access filing method because a specific record or filing method because a specific record or correspondent name in a file can be found correspondent name in a file can be found without first referring to an index to find its without first referring to an index to find its location. location.

Subject IndexesSubject Indexes

• Indexes can be electronic or Indexes can be electronic or printed.printed.

• There are four types of indexes:There are four types of indexes:– MasterMaster index index– RelativeRelative index index– NumericNumeric index index– NameName index index

Master IndexMaster Index

•A printed alphabetic listing A printed alphabetic listing in file order of all subjects in file order of all subjects used as subject titles in used as subject titles in the filing system.the filing system.

•Often referred to as the Often referred to as the master list, subject index, master list, subject index, or subject list.or subject list.

•Should be updated as new Should be updated as new subjects are added and old subjects are added and old ones are eliminated or ones are eliminated or modified.modified.

For manual filing systems, store an updated copy of the For manual filing systems, store an updated copy of the index at the beginning of the file for ready access to all index at the beginning of the file for ready access to all

users as an outline of the file contents. When new subjects users as an outline of the file contents. When new subjects are added, refer to the index to avoid any subject title are added, refer to the index to avoid any subject title

duplication.duplication.

Relative IndexRelative Index

• A more complex subject file may require a relative index.

• A dictionary-type listing of all possible words and combinations or words by which records may be requested.

• Often contains both SEE and SEE ALSO cross-references.

The index includes not only all of the actual subject titles used but also synonyms for subjects or any related subject. This type serves as a vast cross-reference device because it contains all the subjects by which a record might be requested.

Numeric Index Name Numeric Index Name IndexIndex

•A current list of all files by the file number.

•Such an index shows the numbers assigned to subject titles and avoids duplication of numbers when new subjects are added to the storage system.

•We will work with this in Chapter 9.

•A listing of correspondents’ names stored in a subject file.

•The name and address of each correspondent are included in the index, as well as the subject under which each name is stored.

Storage and Retrieval Storage and Retrieval ProceduresProcedures

All the steps for storing and retrieving All the steps for storing and retrieving correspondence records studied in Chapters 6 correspondence records studied in Chapters 6 an 7 are as important in the subject method as an 7 are as important in the subject method as they are in any other storage method.they are in any other storage method.

– InspectingInspecting– IndexingIndexing– CodingCoding– Cross-ReferencingCross-Referencing– SortingSorting– StoringStoring– RetrievingRetrieving

CodingCoding

• Code the main subject title Code the main subject title and any subdivisions by and any subdivisions by placing diagonals between placing diagonals between the units, underlining the the units, underlining the key unit, and numbering key unit, and numbering the remaining units in the the remaining units in the selected words where they selected words where they appear on the record.appear on the record.

• If the subject is not If the subject is not mentioned, write it legibly mentioned, write it legibly at the top of the record, at the top of the record, possibly in a color that it is possibly in a color that it is more visible.more visible.

NOTE: Do NOT rely on memory to determine the subject under which a record should be stored. Consult the master or relative index to be sure that you have selected and coded the filing segment correctly.

Coding Coding (cont’d)(cont’d)

• Abbreviations can simplify coding in a large, Abbreviations can simplify coding in a large, complex subject filing system.complex subject filing system.

• Create an abbreviation with the first alphabetic character of the Create an abbreviation with the first alphabetic character of the subject title followed by the next few consonants. subject title followed by the next few consonants.

– Example: PRCH for Example: PRCH for PPuurchrchasingasing

– Example: RRS for Example: RRS for RRecords ecords RRetention etention SSchedulechedule

• Consistency is essential when developing a subject code system Consistency is essential when developing a subject code system in which two- to six-character abbreviations are used.in which two- to six-character abbreviations are used.

• If abbreviations are used, the master index should show codes If abbreviations are used, the master index should show codes as well as complete subject titles.as well as complete subject titles.

• Be sure to write subject letter codes on each record and include Be sure to write subject letter codes on each record and include them on individual folder label captions, along with the subject them on individual folder label captions, along with the subject title.title.

Cross-ReferencingCross-Referencing

Do NOT file records behind the permanent SEE guide.

This serves only to direct you.

• If a record refers to several If a record refers to several important subjects, consider important subjects, consider filing photocopies of the record filing photocopies of the record under the different subject titles under the different subject titles involved.involved.

• This procedure eliminates the This procedure eliminates the need for preparing cross-need for preparing cross-reference sheets for that record.reference sheets for that record.

Cross-Referencing Cross-Referencing (cont’d)(cont’d)

SortingSorting

• Sorting arranged records in filingSorting arranged records in filingorder according to the recordsorder according to the recordsmanagement system. Use some kind of A-to-Z sorter management system. Use some kind of A-to-Z sorter to sort records to be sorted alphabetically by subject.to sort records to be sorted alphabetically by subject.

• Time spent sorting records Time spent sorting records beforebefore filing saves filing filing saves filing time because you will be able to file by moving in time because you will be able to file by moving in one direction through a filing system rather than one direction through a filing system rather than moving backward and forward through stored moving backward and forward through stored records.records.

• Filers will be able to file and move in one direction Filers will be able to file and move in one direction through a filing system rather than moving backward through a filing system rather than moving backward and forward through drawers or shelves of stored and forward through drawers or shelves of stored records.records.

StoringStoring

• Storing (also called filing) places the hard copyStoring (also called filing) places the hard copyin an appropriate location or saves the electronicin an appropriate location or saves the electronicrecord.record.

Be sure the subject folder label caption agrees with the filing Be sure the subject folder label caption agrees with the filing segment coded on the record.segment coded on the record.

Raise the folder slightly before inserting the record to be Raise the folder slightly before inserting the record to be sure the record enters the folder completely.sure the record enters the folder completely.

Remove papers that are in disarray, jog them, and return Remove papers that are in disarray, jog them, and return hem neatly into the folder. Paper sticking out of folders can hem neatly into the folder. Paper sticking out of folders can obscure guide and folder label captions. obscure guide and folder label captions.

• When filing correspondence in subject folders, file records in When filing correspondence in subject folders, file records in alphabetic order according to the names of the correspondents. alphabetic order according to the names of the correspondents. Then for each correspondent, arrange the records by the date Then for each correspondent, arrange the records by the date of the document with the of the document with the most recentmost recent date in front. date in front.