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Technical Bulletin: Filing Systems, Part I

Grateful acknowledgement to the Local Records Division of the Texas State Library and Archives which published an earlier version of this article in The Local Record, Spring 1991.

In the previous article in this series we discussed the selection of a filing scheme from the three basic systems: alphabetical, numerical, and alphanumerical, as well as the two types of access systems, direct and indirect. This article will give details on how to employ alphabetical subject and geographic filing.

The most basic filing system is filing by proper names. At one time, proper name alphabetic systems, without any additional levels of organization, were commonplace in both business and government offices. But stand-alone proper name systems do not afford record keepers the flexibility needed to create systems that are rich in quickly retrievable information.

Subject Filing

The first variation in proper name approach, one that is still basic to most modern filing systems, is alphabetic filing by subject, which is the arrangement of records by topics or categories rather than by personal or business names. The two methods of subject filing are known as the dictionary system and the encyclopedia system.

A DICTIONARY SYSTEM is one in which records are arranged in alphabetic sequence similar to the way words are listed in a dictionary, with no grouping of related topics. This system is most often applied to a small volume of records, in which no single topic is large enough to need subdividing.

An ENCYCLOPEDIA SYSTEM is one in which records are arranged under major topic names or geographic locations, then according to related subheadings. When a larger volume of records must be stored by subject, the encyclopedia system is the better choice. In addition to having records filed under major topics, you can create more specific subheadings of related subjects for each of the major headings.

A subject filing classification system requires the use of a relative index. The "relative index" is a list, in alphabetic order, of all the file folder headings that are used in the system. Use of the index significantly reduces the chance of a record being incorrectly indexed or filed. Before a document can be coded and filed, the person filing must refer to the relative index to find out under which topic the document belongs.

Those who are involved in filing must inspect the record carefully to determine the most appropriate topic (called the "primary heading" and the subtopic, if any called the "secondary heading." A subtopic, if any, is called the "tertiary" or "final heading." Additional subtopics are not recommended, but they may occasionally be necessary in highly complex systems.

Because the subject filing system is an indirect access system, a person cannot file or retrieve a record by going directly to the files and looking under a correspondent's name. But once users of files become thoroughly familiar with the topics and subtopics used, filing is not significantly slower than proper name filing.

The ability to retrieve all files related to the same subject from one location makes the system far superior to basic proper name filing. For example, consider three documents relating to a proposed Vietnam War memorial in Anderson Park. One is a letter from the Veterans of Foreign Wars pledging support for the project, the second is a letter and a resolution from the American Legion also pledging support, and the third is a letter and cost estimate from the Oregon Bronze Casting Company. In a standard proper name filing system, the three items would be filed in three locations. The American Legion and Veterans of Foreign Wars letters might even be filed alphabetically in the same folders as other letters from these organizations concerning previous events or projects. In a subject filing system, all three items would be filed in a folder labelled Vietnam War Memorial (tertiary heading), a subtopic of Anderson Park (secondary heading represented by a file guide), which in turn is a subtopic of Parks and Recreation (primary heading represented by a file guide).

To create a relative index for subject files, arrange the topic names or categories in alphabetic sequence. Each topic is indexed as written, with each important word considered a separate indexing unit. A systematic procedure should be followed in coding records for filing; this is true in any filing system. A standard location, most commonly the upper right hand corner, should be specified for marking and coding. The coding should include the primary heading; the secondary and the tertiary headings, if any; and cross-referencing information. Cross-references should be added to the relative index.

The following approach should be used in coding documents for subject filing:

Read the document.
Check for enclosures and attachments.
Check for references to previous correspondence.
Determine the subject of primary importance.
Underline keywords or phrases of primary importance.
Select the broad subject classification.
Determine if it pertains to a general area or a specific file.
Select the primary heading within the classification group.
Select the appropriate secondary and tertiary headings, if needed.
Write the file heading in the right hand corner of the document.
Cross-reference material that pertains to two or more subjects.

Geographic Filing

Geographic filing involves arranging records alphabetically according to the names of geographic locations. As in a subject filing system, records in a geographic system can be classified either in a dictionary or an encyclopedia arrangement. The number of geographic divisions used is based on the volume of records, the size of the geographic boundaries, and the number of subdivisions required.

An agency that operates throughout the state may divide its files first by county, then by city or town, and then by the names of individuals or the number of designations of field offices. An agency with several offices within a single city may require a geographic system that is divided by districts of the city, and then by street names. Municipal public works departments often arrange some records series geographically by street names and block numbers.

Within each geographic file, records can be arranged alphabetically by name or chronologically by date of receipt or action. To index and code geographic files, use the primary geographic name as the basis for filing records in alphabetical sequence.

Numeric Filing

Numeric filing is, like subject filing, an indirect access system that relies on the use of code numbers assigned to businesses, names of individuals, or subjects. It is an indirect access system because an index to the files must be used to retrieve information. Once the code number has been determined from the index, the person filing can file or retrieve records easily.

Alphanumeric Filing

In numeric filing systems, with their external relative indexes, only numbers need appear on folder labels. In many government offices and businesses, captionless folders are the norm, especially if the records filed are sensitive in nature. But users of files unfamiliar with filing procedures often have difficulty working with files (particularly a stack of files) whose labels bear numbers alone. Consequently, alphanumeric systems, using a combination of personal or business names and numbers, or, more commonly, subject headings and numbers, enjoy great popularity among records users. The use of numbers, sequentially filed, reduces the number of misfiles dramatically; captions help the user to quickly determine the subject of the contents of the file.

Editor's Note: numeric and alphanumeric filing systems will be covered in greater detail with examples in The OSU Record, Winter 1992 issue.