What do you consider the most important advantage and the greatest disadvantage to arranging records by subject?

OST184 Records Management Chapter 8 Subject Records Management

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 used within an organization is broad. Arranging records by subject categories, such as topic, department, service, product, or project

Advantages of Subject Filing Subjects are easier to remember than names. Related records are easy to find. Related records are 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 correspondent names are not visible to unauthorized persons who may not know the subject under which a record is filed.

Disadvantages of Subject Filing Main subject titles and subdivisions may overlap as the list of subject titles grows. 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 or be unfamiliar with the subject titles and may have more difficulty finding records.

Disadvantages of Subject Filing (cont’d) Planning and maintenance are required to assure that approved subject titles are used consistently. Subject filing is the most expensive storage method because experienced filers are required. 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.

Subject Filing The selection of a word or phrase to use as a subject title (the filing segment) is of prime importance when using the subject storage method. One person is responsible for selecting subject titles. That person must be thoroughly familiar with the material to be stored and have considerable knowledge of every phrase of the operations and activities of the business. The subject title must be short and clearly descriptive of the material it represents.

Subject Filing - Guidelines Select titles that best reflect stored records and are meaningful to file users, and are easy to remember. Select subject titles that have only one interpretation. Use one-word subject titles whenever possible. Use plural titles whenever possible. 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 – to select the titles and to add new titles as needed.

Two Types of Arrangements In Subject Storage Records may be stored in two alphabetic subject arrangements - dictionary and encyclopedic. The definitions of these two terms are easy to remember when you relate them to the arrangement of words in a dictionary versus the arrangement of information in an encyclopedia. A dictionary contains a list of words in alphabetic order. An encyclopedia contains a list of words and related topics in alphabetic order.

Dictionary File Arrangement A single alphabetic filing arrangement in which all types of entries (names, subjects, titles) are interfiled. Generally, the dictionary subject arrangement is not recommended if the volume of records is greater than could be stored in two file drawers. However, the dictionary arrangement is used regardless of the number of records if the subject topics are easily identified without the necessity of using subdivisions.

Dictionary File Arrangement 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. Captions on general subject folders include the alphabet letter and the subject title. Subject titles are not subdivided.

Dictionary File Arrangement 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.

Encyclopedic File Arrangement Filing system in which records are filed under broad, major subject titles and then under the specific subtitles to which they related. Titles and subtitles are arranged alphabetically. 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.

Encyclopedic File Arrangement 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 same label caption as the primary guide is inserted behind the last subdivision folder for all subjects.

Encyclopedic File Arrangement 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 cross-reference guide

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.

Guides and Labels 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. 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.

Folders and Labels Key the label in all capitals with no punctuation. Main subject should begin near left margin. Key subdivision 0.5 inches to the right of the main subject title OR under the first letter of the first line. Color code folder labels for each subject guide to reduce misfiles. Bar codes can be added for electronically tracking records.

OUT Indicators Follow the same procedures for subject filing that you applied in alphabetic name filing. The only difference is that you will use subject titles, rather than individual or organization names, to identify records.

Subject Indexes An index is a systematic guide that allows access to specific items contained within a larger body of information. Because filers may not know all subjects used in a subject file, they cannot go directly to a file to locate a record. A subject file requires an index and, therefore, is considered an indirect access filing method. Alphabetic filing is considered a direct access filing method because a specific record or correspondent name in a file can be found without first referring to an index to find its location.

Subject Indexes Indexes can be electronic or printed. There are four types of indexes: Master index Relative index Numeric index Name index

Master Index A printed alphabetic listing in file order of all subjects used as subject titles in the filing system. Often referred to as the master list, subject index, or subject list. Should be updated as new subjects are added and old ones are eliminated or modified. For manual filing systems, store an updated copy of the index at the beginning of the file for ready access to all users as an outline of the file contents. When new subjects are added, refer to the index to avoid any subject title duplication.

Relative 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 Index 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 Procedures All the steps for storing and retrieving correspondence records studied in Chapters 6 an 7 are as important in the subject method as they are in any other storage method. Inspecting Indexing Coding Cross-Referencing Sorting Storing Retrieving

Coding Code the main subject title and any subdivisions by placing diagonals between the units, underlining the key unit, and numbering the remaining units in the selected words where they appear on the record. If the subject is not mentioned, write it legibly at the top of the record, possibly in a color that it is 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 (cont’d) Abbreviations can simplify coding in a large, complex subject filing system. Create an abbreviation with the first alphabetic character of the subject title followed by the next few consonants. Example: PRCH for Purchasing Example: RRS for Records Retention Schedule Consistency is essential when developing a subject code system in which two- to six-character abbreviations are used. If abbreviations are used, the master index should show codes as well as complete subject titles. Be sure to write subject letter codes on each record and include them on individual folder label captions, along with the subject title.

Cross-Referencing Do NOT file records behind the permanent SEE guide. This serves only to direct you.

Cross-Referencing (cont’d) If a record refers to several important subjects, consider filing photocopies of the record under the different subject titles involved. This procedure eliminates the need for preparing cross-reference sheets for that record.

Sorting Sorting arranged records in filing order according to the records management system. Use some kind of A-to-Z sorter to sort records to be sorted alphabetically by subject. Time spent sorting records before filing saves filing time because you will be able to file by moving in one direction through a filing system rather than moving backward and forward through stored records. Filers will be able to file and move in one direction through a filing system rather than moving backward and forward through drawers or shelves of stored records.

Storing Storing (also called filing) places the hard copy in an appropriate location or saves the electronic record. Be sure the subject folder label caption agrees with the filing segment coded on the record. Raise the folder slightly before inserting the record to be sure the record enters the folder completely. Remove papers that are in disarray, jog them, and return hem neatly into the folder. Paper sticking out of folders can obscure guide and folder label captions. When filing correspondence in subject folders, file records in alphabetic order according to the names of the correspondents. Then for each correspondent, arrange the records by the date of the document with the most recent date in front.