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CHAPTER 5: RECORDS MANAGEMENT, SITI AISYAH SYAFIQAH BINTI YUSOF,…
CHAPTER 5: RECORDS MANAGEMENT
Subject Records Management
Subject Filing is a method of classifying, coding and filing records by subject.
Need for Subject Filing
Subject records management – an alphabetic system of storing and retrieving records by their subject or topic.
Subject filing is recommended when the range of topic is broad.
Appropriate for catalogs, clippings, correspondence, inventory list
Dictionary Arrangement
Subject folders are arranged behind A to Z guides in correct alphabetic order by specific subject.
Also referred to as topical arraignment and straight dictionary arrangement.
Should be used when the volume of records is no greater than 2 file drawer
Dictionary File Arrangement Characteristics
Primary guide labels contain letters A to Z in alphabetic order
Special guides identify folders referenced often
General subject folders are used to store records related to the subject title
Encyclopedic Arrangement
A subject filing arrangement in which record are arranged in alphabetic order
Records are divided into broad groups and then subdivided into more specific topic.
Main division are PRIMARY subject heading, SECONDARY and the most specific heading are the third level or TERTIARY subject heading.
Encyclopedic File 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
Subject Filing Procedures
Inspecting – Check for release mark
Indexing – Select filing segment
Coding – Code main subject and subdivisions in the text; writer the subject in the upper right corner; underline cross-reference subjects with a wavy line; place an X in the margin.
Cross-referencing – Prepare cross-reference sheets for alternative subject; file under alternative subject titles
Sorting – Sort by main titles, then subdivisions
Filing – File in subject folders
Retrieving – Use master or relative index to locate records
Subject Code
Write long subject with subdivision in the top right corner of a record
For one-word subject, the subject code may consist of the first letter of the word and next 2 or 3 consonants in word
Subject Filing – Advantages
Subject are easier to remember than names.
Related records are easy to find
Related records are not scattered throughout the files
Subject Filing – Disadvantages
Main subject titles and subdivisions 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
Numeric Record Management
Need for Numeric Filing
Numeric Filing – a method of arranging record by number
Numbers are such a part of our lives that we often memorize a list of number with ease.
When to Use Numeric Filing
Record have a unique number already assigned to them.
Records have been assigned a number that has some meaning or importance.
Records are confidential and unauthorized access must be prevented.
Consecutive Numeric Filing
Consecutive numeric filing – consecutively numbered records are arranged in ascending number order- from the lowest number to the highest number.
Also called serial, sequential and straight numeric
Accession Log
An accession log is a serial list of numbers assigned to records in a numeric storage system.
Sometimes called a numeric file list or accession book.
Used to keep track of number that have been assigned to records.
Alphabetic Index
An alphabetic index is a card or a computer file of all correspondent names or subject titles arranged alphabetically.
May include subdivision of subject as well as the main subject.
Used when the correspondent name or subject is known but the assigned number isn’t.
Numbered File
Contain numbered folders filed in consecutive number order with the lowest number first.
Usually star at an even number such as 10, 100 or 1000 with no regard for the alphabetic order of the names or subjects.
Alphabetic File
It is a general alphabetic file in which guide and folder captions contain only letters of the alphabet.
Consecutive Numbering Components
Consecutive Number Filing Procedures
Inspecting
Check each record for a release mark- to indicate the record can be filed.
Coding
Select the correspondent name or subject that is the filing segment and code the units
Select and code any cross-reference names or subjects as well.
Sorting
Sort the records alphabetically.
Placing the records in alphabetic order speeds up the use of the alphabetic index to determine the code for each record.
Number Coding
Consult the alphabetic index
Write the assigned file code or a G in upper right corner of record.
Assign next available number if one has not been assigned or a G.
Enter file code number into accession log.
Write code number or a G in upper right corner of record
Advantages of Consecutive Numbering
Rapid re-filing
Easy and unlimited expansion
Easy transfer of inactive records
Cross-references are in general file
Built-in security
Disadvantages of Consecutive Numbering
Requires reference to alphabetic index
Requires more guide
More time-consuming
Congestion
Numbers can be easily transposed
Terminal-Digit Storage
Numeric storage method in which the last two or three digits are used as the primary division under which a record is filed.
Middle-Digit Storage
Numbers are divided into groups separated by a space or a hyphen.
The middle group-middle digits- are used as the primary filing division.
Numbers are read from middle to left to right.
Chronologic Storage
Records filed in date sequence-most recent on top or oldest on top.
Principle followed in all storage methods.
Databases for Numeric Storage
Databases 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.
Consecutive Numbering Supplies
Numbered guides and folders for the numeric file.
Alphabetic guides and folders for the general alphabetic file.
Database software for an accession log.
Database or word processing software for an alphabetic index.
Geographic Records Management
Need for Geographic Filing
Geographic Filing – method of storing and retrieving records in alphabetical order by location of an individual, an organization or a project.
The need of geographic succeed in many areas of our social and political lives, as well as business and industry.
Geographic Filing Method
Geographic system are tailored to fit the need of the organization.
The filing segment in geographic filing includes geographic filing units first, followed by the correspondence name.
Arrange from major to minor geographic units. Consider the filing units in the order:
+Country name
+State name/state equivalent, such as province
+City name
+Correspondent’s name
Storage Arrangement
Dictionary storage arrangements
Lettered guide plan
Location name guide plan
Encyclopedic storage arrangements
Lettered guide plan
Location name guide plan
Guide Plans
Lettered guide plan
– an arrangement of geographic records with primary guides labelled with alphabetic letters.
Location name guide plan
– an arrangement of geographic records with primary guides labeled with location names.
Geographic File Index
An index systematically guides the access to specific items contained within a larger body of information.
The alphabetic index and the master index are useful indexes when filing by location.
Alphabetic Index
The index may be in form of:
Types list
Card file
Computer-generated list
Info. In the index must include:
Correspondent’s name
State name
City name
Master Index
A master index is a complete listing of all filing segments in the filing system.
Advantages of computer database are apparent:
+Two useful indexes can be printed from a single input of records.
+Folder labels and mailing labels can be prepared, as well, from the same stored data.
Geographic Filing Procedures
Inspecting
Inspecting each incoming letter to be sure it has been releaser for filing.
Check each paper to see that it has been dated
If no date appears on the record, write or stamp the current date on the record for filing purpose.
Coding
Geographic location are considered the first part of the filing segment so mark the locations clearly.
Circle geographic units in the name and number them to show their rank in indexing order.
Preparing Cross-Reference
As in alphabetic filing, cross-reference are sometime necessary
Sorting
Sort letters and other records by geographic units, starting with the major geographic unit and continuing until all units in the filing segment have been used.
Filing
Locate folder location by making use of labels and guides as follows:
+Read the drawer labels to find the file drawer covering the geographic range for the record.
+Scan the primary guides in the drawer that will point to the key unit of the filing segment.
+Scan the secondary guides.
Expansion of the Geographic File
Readily adaptable and can be reduced and expanded with relative case
The alert filer knows when change in the system are necessary and how to make them.
When to expand
Changes occurs as the continuation of business transaction over the year.
The first indication of a need in a system is an increase in the volume of incoming and outgoing records processed for filing.
An overcrowded folder, always indicates a need for expansion.
How to Expand
Space for expansion is anticipated at transfer time.
Free space is left in every file drawer and on every shelf section. This space can be used for adding folders to the system.
Special guides can be used to identify sections that will hold especially active records.
Advantages and Disadvantages of Geographic Filing
Ability to group business activities by location.
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.
Disadvantages of Geographic Records Storage
Need time to prepare and maintain it.
User must know the geographic location or an index must be created.
Guide and folder arrangements for some large systems are complex.
SITI AISYAH SYAFIQAH BINTI YUSOF
2019460512