FACULTY OF

BUSINESS
& MANAGEMENT
Compiled by:
Rohana Johan

RECORDS MANAGEMENT
FOR OFFICE
PROFESSIONALS
(Semester March – July 2020)
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 1

TABLE OF CONTENT

NO CHAPTER TOPIC PAGE

1 Chapter 1 Definition Of 4 – 10
Terms
2 Chapter 2 The Field Of 11 – 18
Records
Management
3 Chapter 3 Managing 19 – 41
Current
Records
4 Chapter 4 Alphabetic 42 – 88
Storage &
Retrieval
5 Chapter 5 Subject, 89 - 102
Numeric &
Geographic
Storage &
Retrieval
6 Chapter 6 Records 103 -110
Retention
Retrieval &
Transfer
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 2

2UAL

OBM 247
MANUAL

13 ED.

COMPILED BY:
ROHANA JOHAN
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 3

COMPILATION
OF
NOTES
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 4

CHAPTER 1

DEFINITIONS OF TERMS

Data

 Representation of information in a formalized manner, suitable

for communication, interpretation and processing, generally by a
computer system.
 Raw data refers to unprocessed data.

Document
 A medium through which information is imprinted for conveyance
to one or more than one person.
 In a paper-based records management system, a document is
usually defined as the smallest unit for filing.
 It can also refer to other non paper-based items, such as
computer files.

Document

Information
 Information is something that can lead to knowledge regardless
of the medium of its conveyance to one or more persons.
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Record
 Recorded information in a form of document regardless of form
or medium made or received by an organization and that is
useful in the operation of the organization.
 It provides evidence of a business transaction.
 Thus, a record is a document with evidentiary value.
 Records provide the memory or history of what has taken place
in the past – even yesterday.

Record

Records can be among others:

Forms Certificates Tape

Circulars Files Film
Reports Microfilm Signs
Posters Disk

Filing
 It is the action of arranging records in a predetermined
sequence.

Retrieval
 It is the process of finding records and/or information.

Public records
 Records created or received and maintained in any public sector
agency.
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Private records
 Records created, received and maintained by non-governmental
organizations, families or individuals relating to their private and
public affairs.

Records center
 The records center is a building designed or adapted for the low-
cost storage, maintenance and communication of inactive
records pending their ultimate disposal.

Arkib Negara Malaysia

Types of Records Center

 National Records Center

 Departmental Records Center
 Commercial Records Center

Records center control files procedures

1) Inactive records index – An index of all record in the inactive
storage center.
2) Charge-out and follow-up file – Is a tickler file that contain
form filed by dates that records are due back in the inactive
records center.
3) Destruction date file – A tickler file containing copies of
transmittal forms completed when records are received in a
records center.
4) Destruction file – A file containing copies of transmittal forms
removed from the destruction date file after records are
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 7

destroyed. Forms are filed by department names and

destruction dates.

Archives
 Records, usually but not necessarily a long-term records, of
enduring value selected for permanent preservation.
 Archives will normally be preserved in an archival repository.

Archival repository
 A building or part of a building in which archives are preserved
and made available for consultation also known as an archives.

Evidence
 An indication, sign, testimony, in support of a conclusion.
 In order to become “evidence”, records must have the following
characteristics:
 permanence
 value as official sources of information
 authentic
 unique

Permanence
 Recorded information should be permanent so that it can be
used as evidence.
 If record keeps on changing all the times, it cannot be used with
certainty to show that something had actually taken place or that
someone has been responsible for it.

Value as official source of information

 Records should have authority so that they should be considered
to be the true, official account or report that will have universal
validity as the one true record.
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Unique
 Records are unique in that they are documents of a single or
individual event or transaction that will not be repeated in the
same time, at the same place or for the same actions.

Authentic
 Records are supposed to be authentic in that they document
accurately what actually transpired and indicate what was
actually the state of affairs at a particular point of time.
 They cannot be changed or altered as an after thought.
 Any changes should only result in adding on to the existing
documentation and not removing or deleting existing information.

What are the characteristics of official records?

 They have a collective identity. A single paper, taken out of
its context, is not a complete record. There is organismic link
between the papers within a file and between one file and
another. Seen together, they tell a complete story.
 They are primary sources materials. A value that comes
from the fact they have been created in the course of official
transaction.

Records can be used:

 in pressing for claims due to a person;

 to show that someone is responsible for a particular action;
 to tell us the story of what has happened in the past;
 to boost the corporate image of a particular firm by showing
the success in its long past;
 to tell us of our past mistakes and provides continuity in
charting our future.
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Why records need to be managed?

Records need to be managed in order to:

 reduce the volume of records.
 improve storage and retrieval systems.
 increase efficiency of records processing.
 identify and protect vital records.
 meet legal requirements.
 protect the organization, customers, personnel and
stockholders.
 improve productivity.
 cut cost.
 improve profits.

What are the goals of records management?

The goals of records management are:
 to create the right information and records.
 to make records available for the right individuals.
 to ensure records are created and maintained in
appropriate formats.
 to ensure records are available at the right times and at the
right places.
 to ensure records are managed efficiently and at low cost.
 to ensure the right records are used in making decisions.
 to ensure records with value are transferred to the archives
and those without value are eliminated.
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What are the problems in records management?

1) Management
2) Human problems
3) Inefficient filing procedures
4) Poor use of equipment
5) Inefficient use of space
6) Excessive records costs

 Records management is essential for the administration of

an agency with the objectives of making records and
information processing:

 more effective.
 more efficient.
 more economical.

 The above objectives can be achieved through systematic

control over:
 creation
 distribution
 use
 maintenance and
 disposition of records.

Records Management Program

The basic elements of records management program are:

 Mail operations
 Classification operations
 Files operations
 Use, storage, retrieval and circulation operations
 Disposition operations
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CHAPTER 2

THE FIELD OF RECORDS MANAGEMENT

Records management
 It is that area of general administrative management concerned
with achieving economy and efficiency in the creation,
maintenance, use and disposal of the records of an organization
throughout their entire life cycle and in making the information
that they contain available in support of the business of that
organization.
 Records management is a vital component of an agency‟s wider
management and information systems.

Records control
 It is the set of procedures used to make filing and retrieval
reliable and systematic process.
 To control records, you must know why records are kept and
which phases records pass through from creation to disposition.
 In some organizations, the records responsibility is called
document management, records and information management,
or records management.
 The person responsible for the records management
program is usually the records manager.
 Records management professionals have the ultimate
responsibility for establishing records policies and procedures.

Reasons for establishing a Records Management Program:

1) To learn what records the organization creates and receives.
2) To ensure that records are kept as long as they are needed.
3) To retain records having business value or historical interest.
4) To store less frequently used records in less expensive space.
5) To destroy records that has served their usefulness.
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Records Life cycle concept

 A concept that draws an analogy between the life of a biological
organism, which is born, lives and dies and that of a record,
which is created, is used for so long as it has continuing value
and is then disposed of by destruction or by transfer to an
archival institution.
 Records go through various phases as in the case of an
individual who starts his life at birth and ends it at death.
 In the active phase, records are much sought after, especially
since the transaction is still being actively attended to. The
active records are normally maintained in office registry.

The Records Cycle (Life Cycle of Records)

DISPOSITION CREATION

MAINTENANCE DISTRIBUTION

USE

1) Creation
 Records are created inside a business through dictation,
handwritten drafts, voice mail, e-mail or by using computers and
word processors.
 Records created outside the business are received through the
mail, personal delivery, fax machines, voice mail, e-mail and
other communication delivery systems.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 13

2) Distribution
 To be useful, records must be distributed to persons requiring
the data.
 Records may be sent to users within the company or outside the
company.

3) Use
 Records are used for making and documenting decisions, for
answering questions, for reference, or for tax or legal reasons.
 Records are used most often shortly after they are created.
 Usually, the older the records, the less they are used.

4) Maintenance
 Filing and retrieving records occur during the maintenance
phase.
 Finding records after they have been filed is the goal of a filing
system.

5) Disposition
 Records that are no longer frequently used are kept in long-term
storage, discarded or destroyed.

Creation Distribution Use for Maintenance Disposition

or receipt to internal decisions, store/file, transfer,
of record users, for retrieve, retain or
from to external reference, protect destroy
outside the users for legal
business reasons

Organization of the Records Function

 2 Ways to retrieve records:

1) Manual retrieval (paper records) - generally are stored and

retrieved manually (by hand).

2) Electronic retrieval (electronic records) - are created through

the use of computers and word processors.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 14

 These records are stored magnetically inside the hardware

(equipment) or on disks or tapes outside the hardware.

Records accessibility
 Records that are referred to most frequently are maintained
differently from those records that require infrequent or no
reference.
 Active, inactive and long-term are terms used to describe records
activity.
 Active record
 It is used regularly: three or more times a month for the
conduct of the current business of an organization or
individual.
 It is also known as current records.
 Because of their frequent usage, active records are
stored in easily accessible locations such as near their
place of origin or in a registry.

Place for Active Records

 Inactive record
 It is used less than 15 times a year in the conduct of
current business.
 It is also known as semi-current records.
 Because inactive records are accessed less often than
active records, they are often stored in another location
where floor space is less costly, in the records center or
other offsite intermediate storage.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 15

 A long-term record
 Records no longer needed for the conduct of current
business.
 A long-term record is inactive but continues to have
value to the organization.
 It is also known as non-current records.
 The records may be kept for legal or historical purposes
and are stored indefinitely or for a specified period of
time.
 Long-term storage often is referred to as archival
storage or archives.

A Long-Term Records

Why Organizations Keep Records?

 Organizations depend on records for their daily operations,
because they provide a memory of the organization‟s activities.
 Generally, records are kept and used because they have
administrative value, fiscal value, legal value, or historical value.

1) Administrative Value
 Records have administrative value when they are used in
the performance of daily operations in a department or
office.
 Policy and procedures manuals are used daily in some
offices.
 A records manual provides records management
guidelines and serves as a daily reference in a records
management department or area.
 Correspondence and other records used for day-to-day
decision making have administrative value.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 16

2) Fiscal Value
 Financial records have fiscal value.
 These records include tax returns, purchase and sales
orders, invoices, and monthly and annual financial
statements.
 According to law, many of these records must be kept by
the company for a certain period of time.

3) Legal Value
 Records having legal value provide proof of business
transactions.
 Contracts, financial agreements, deeds, and titles have
legal value.

4) Historical Value
 Records have historical value when they provide evidence
of the organization‟s accomplishments.
 Articles of incorporation, minutes of meetings that provide a
history of operational decisions, and information about
company officers have historical value.
 Historical records should be stored permanently in the
most protected storage area.

The Value of Records

 Records are one of the most important assets of an organization
because they provide the memory of what happened in the past
– the history.
 Each record in an organization is evaluated and classified as:

1) Vital records
 are the recorded information that is essential for the
continuation or reconstruction of an organization after a
disaster.
 These records establish the legal and financial position of the
organization and are irreplaceable.
 Articles of incorporation, patents, formulas, accounts
receivable records, inventory lists, contracts and other legal
papers are examples of vital records.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 17

 Vital records generally are stored in the active records area in

fireproof safes or vaults.

2) Important records
 relate to the daily operations and are necessary for
continuation of an organization.
 Eg: accounts payable records, tax records, sales records,
payroll records and some correspondence records.
 These records may be replaced but at considerable cost and
inconvenience.
 Important records are stored in safes and vaults in active or
inactive storage areas.

3) Useful records
 are of limited, but helpful, reference value.
 It may be replaced at some inconvenience, but their loss
would not seriously impair daily operations.
 Bank statements and general correspondence such as letters
and memos may be destroyed after their value has declined.
 These records are stored in file cabinets or on shelves in
inactive storage areas until the time for their destruction.

4) Nonessential records
 may never have had any value or have no present value to
the organization.
 They should be destroyed after use.
 Routine memos, announcements and bulletins to employees
and telephone messages that have been answered are
nonessential records.

 Records transfer – is the process of moving inactive records

from the office to inactive or archive storage areas. 2 way of
records transfer:

1) Perpetual transfer method

 is a continuous process of moving records from active to
inactive storage areas.
 In offices where work is completed in units, such as in an
architectural firm, a medical office or a legal office, all
records relating to a completed job or case can be
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 18

transferred at the same time after the job or case is

completed.

2) Periodic transfer method

 is a procedure for moving records at stated intervals from
active to inactive storage areas.
 Many organizations transfer records at the end of their
fiscal year.

Records Careers
 Some of the more commonly used job titles for the records and
information management and forms management areas are:
records and information manager, records and information
systems analyst, records and information clerk, forms designer
and forms analyst.
 Records & Information Manager is the top position in the
records program.

 ARMA – The Association of Records Managers and

Administrators, Inc. is the professional organization for records
and information professionals, publishes guidelines for careers in
records and information management.

2 Functions of ARMA

 Improving educational programs in schools and industry.

 Providing on-the-job knowledge about records and
information management.
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CHAPTER 3

MANAGING CURRENT/ACTIVE RECORDS

Introduction
 The active records management includes the mail and file
management.
 The activities of mail management and file management are
carried out in the registry of an agency.

Registry
 A registry is a unit within an organization.
 It is basically responsible for managing the records of that
particular organization.
 Its exact function may keep on changing with the times. But
basically, a registry ensures that there is a good flow of recorded
information in the organization.

Registry

Functions of Registry

A traditional registry has the following functions:

 Ideally, a registry is expected to house the entire series of

records kept in a particular department, and to have
intellectual control over these records.
 A registry has the function of officially dispatching and
receiving all letters. It registers all letters received from
both internal as well as external sources. Incoming letters
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 20

are stamped “received” on a particular date. The date of

receipt and the name of the sender is entered into a
register.
 A registry monitors the movement of records or files. This
ensures that all file movement is properly recorded and
those borrowing or keeping a particular file returns it to the
registry at the right time.
 A registry ensures that the action to be taken on a file is
brought to the attention of the staff concerned.
 A registry keeps track of all the 5 phases of the record life
cycle. Based on this knowledge, the registry is able to
carry out the following activities:

 Physically segregate the files according to the 5

phases of records life cycle, and
 Prepare an updated list of files to be destroyed.

Centralized vs. Decentralized Registry

A registry may be either centralized or decentralized.

Centralized Registry
Centralized registry means the control comes from one location
(e.g. Main registry) to control the following components:
 the records system
 the records staff
 the allocated space for the registries
 the records equipment and supplies

The advantages of a centralized registry:

 There is intellectual control over the records created
because of a uniform policy direction, centralized mail
operations, centralized messenger services, uniform file
descriptions, uniform file operations, uniform scheduling
and disposal standards and practices.
 There is control over records creation in accordance with a
file design. This would ensure that records will not be
duplicated.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 21

 Standard procedures on record management will be in

place.
 In a central registry, the keeping of records can evolve into
a specialized activity. The records manager who is in
charge will benefit from the experience of working in a
centralized registry. It may be easier to justify staff training
for those in charge of a central registry.
 There is savings in terms of manpower and equipment.
 There is a clearly understood responsibility on the part of a
central registry for good records management.
 Confidentiality of information is more easily safeguarded.
 Information hogging will be difficult.

Decentralized Registry
 There are various units or divisions within a department (normally
a large department) that have their own small registry units.
 This means that the various registries will have their own records
systems, records staff, allocated space for the registries and
records equipment and supplies. As a result, the classification
scheme, use, care, custody and final disposition varies in
practice.

The advantages of a decentralized registry are:

 Easy access to information.
 Faster retrieval and speedier decision making.
 Savings in labor and expensive equipment.

Component of a Registry

Registry

Mail Room File Room

(Mail Management) (File Management)
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 22

MAIL MANAGEMENT
Mail management means:
 the receiving, sorting, opening, routing, controlling and
distribution on incoming mail.
 the collecting, sorting and distributing of paperwork coming
from within the building or area serviced by the mailroom.
 the collecting, preparing, sorting, controlling and
dispatching of outgoing mail.

Mail management objectives:

 to provide rapid handling and accurate delivery of mail
throughout the agency at a minimum cost.

Mail Room:
 A mail room is a space or room in an agency allocated for mail
management.
 The mail room provides a vital service to the department/agency.
The flow of mail, documents, files and other paperwork in 3
channels must be maintained:

 from outside of offices within the department/agency.

 from office to office within the building or area being
serviced.
 form offices within the department or agency to outside
individuals or organizations.

Mail Room

Space and Layout

Space and layout refers to the physical arrangement of all mail
rooms and their facilities of furniture and equipment.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 23

 Space required for storage and movement of mail within

the mail room.
 Space for the servicing and maintenance of the facilities.
 Flow of incoming mail must be arranged.

Basic considerations for layout of mail room:

 Reduction in the distances required for the movement of
mail and the motions of personnel processing it.
 The rate at which work flows through the unit.
 The use of all space as effectively as possible in both
horizontal and vertical directions.
 Flexibility so that rearrangements can be readily introduced
to meet changing demands.
 Convenience for servicing and maintenance.
 Adequate security.

Operating The Mail Room

 Planning
 Conduct survey to determine volume of mail.
 Where and when mail must be delivered.
 How much time allotted for complete pick up and
delivery.
 Work flow pattern.
 Plan proper mail processing routine for efficient flow
of mail through the unit.

 Organizing
 Allocation of duties and responsibilities.
 Systematic use of resources (staff, time and budget).

 Coordinating
 Coordinate activities of more than one registry with
the mail room services and operations.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 24

 Budgeting
 Budget forecast (postage, replacement needs,
procurement of equipment).

Mail Operations
Mail operations is a series of tasks performed by mail room
personnel in moving an agency‟s written communications. The
components of mail operations are:

 sort incoming mails.

 segregate and deliver direct-delivery mails.
 deliver material to registry.
 process in incoming registered mails.
 process incoming valuables in mails.
 prepared and dispatch outgoing mail.

Delivery Operations
 sort incoming material.
 maintain efficiency check system on sorted material to
minimize improper delivery.
 maintain route delivery schedules to and from offices.
 obtain signatures for registered items.

DOCUMENT PROCESSING IN THE MAIL ROOM

Types of Document
The majority of the documents handled within an agency‟s records
management system are:

 correspondence received (inward correspondence).

 correspondence dispatched (outward correspondence).

These will include:

 Mail that may be received or dispatched
 through the postal service
 through the government‟s internal mail system
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 25

 through private courier service

 by hand

Other forms of communication, such as:

 telegrams and telex

Telex Machine

 facsimile transmission (fax)

 electronic mail (e-mail) and other forms of network

Correspondence should be subjected to the following operations,

usually in sequential order:

 receiving and opening of inward correspondence.

 sorting correspondence that requires special handling.
 registering inward correspondence.
 associating inward correspondence with the relevant file.
 circulating the correspondence for information or reply.
 preparing the reply.
 dispatching outward correspondence.
 filing inward (original) and outward (copy) correspondence
and other associated documents.

Internally generated documents are:

 reports
 directives
 forms
 memoranda
 committee minutes
 drafts

should be sent to the registry for registration and filing.

 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 26

Receipt of Inward Correspondence

When processing inward correspondence addressed officially to the
agency; procedures should include:

1) opening or receipt by a designated officer in the presence of

another officer.
2) stamping with the date of receipt.
3) assigning a serial number in a running sequence for the
month eg. (102/5/2008) or (300971/2008) as appropriate.
4) identifying and appropriately managing security classified and
other confidential correspondence.
5) attaching other enclosures to the covering correspondence.
Registration of Inward Correspondence
 A register is a document, usually a volume, in which regular
entry of data is made.
 In a traditional registration system, in which the individual
document is the unit of control, correspondence is registered
individually after it has been received and opened.

Register Book

In-registers
Traditional systems of document registration involve the entry into
inward correspondence registry, also called an In-register. Such
registers take the form of ledgers, either bound or in loose-leaf
format. The following initial information is entered by hand into the
register:

1) the serial number assigned to the correspondence.

2) the date of the correspondence.
3) the date of receipt.
4) security classification.
5) the name and agency of the sender.
6) reference quoted by the sender.
7) the subject of the correspondence.
8) the number and nature of any enclosures.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 27

Circulation of Correspondence
Circulation of correspondence may be done „top-down‟ or bottom-
up‟. In the top-down system, correspondence is sent to a
designated senior officer or Director of the agency. He or she then
decides what action would be appropriate and assigns the
correspondence, minute accordingly, to a junior officer to take
action and draft any reply for approval and signature.

In the bottom-up system, the correspondence is sent directly to the

appropriate action officer, who minutes his or her proposals and
drafts any reply, submits these for approval at the appropriate
senior level and acts on receipt of the approval.

Preparing Outward Correspondence

After approval at the appropriate level, drafts of outward
correspondence, (whether in reply to inward correspondence or
newly generated within the agency) and of other internally
generated documents should be sent by the action officer for typing
in accordance with standing instruction. These standing instructions
should include the following points:

1) Text sent for typing should be clearly written or carefully

dictated, taking special care with the spelling of proper names,
technical terms and other unusual words.
2) Information provided to the computer operator or typists should
include:

 the name and address of the intended recipient.

 any security or privacy markings.
 the agency‟s and addressee‟s file references.
 the name of the intended signatory (normally the action officer
in a bottom-up circulation system, the approving officer in a
top-down system).
 the number of copies required.

3) Computer operator or typist should use agency letterhead paper

for the top copy of outward correspondence and should follow
standard rules of style, layout and dating.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 28

After a typed letter has been checked and signed, all the copies
should be sent to the registry together with the inward
correspondence, internal minutes, drafts and the relevant file. A
record copy of every internally generated document should be sent
for filing.

Register of Outward Correspondence

The registry staff should register details of outward correspondence
and other internally generated documents. The information
recorded about the outward correspondence will include:

 the date of the correspondence.

 the date of dispatch.
 any security classification.
 the name and institution or agency of the addressee.
 the main file reference.
 references of other files on which copies have been placed.
 the subject of the correspondence, if required.
 the number and nature of any enclosures.

SUBJECT CLASSIFICATION OPERATIONS

Subject File Classification

 A subject file is a collection of papers on a specific subject or its
specific sub-subjects collated and placed within a single file
cover container.
 Such files are created under the logical arrangement of a subject
classification plan.

Classifying records is the act of determining the subject or

subjects under which the records are to be named, numbered,
cross-referenced (if necessary) and filed. The classification will be
the key to the retrieval of information from the files/records.

Subject Classification Systems

 As mentioned, subject files are collections of related papers.
They consist of letters, memoranda, minutes, reports, forms and
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 29

other material arranged by subject or subject aspect. Basically,

there are 2 categories of subject files:

1) Administrative files/records of an internal housekeeping

nature.
2) Operational files/records created by a department or
agency in carrying out its main functional role.

 The housekeeping and operational files need to be arranged into

their respective series. The methods of arrangement of these
records are referred to as subject file classification systems.
 A good classification systems should consist of the
following characteristics:

1) A good subject file classification system should be as

simple as possible and easy to operate.
2) A good subject file classification system should permit
additions and deletions.
3) A good subject file classification system should be logically
arranged by groups of related subjects. This caters to the
primary intention of the system – to be an aid in finding the
files/records.
4) A good subject file classification should be effective.
5) A good subject file classification system should be installed
with a view to economy.

Benefits of A Good Subject File Classification

A good subject file classification system will have numerous
benefits. It will be:

1) An aid to service: it can result in better, faster, cheaper

reference service where complete files/records are
produced quickly.
2) An aid to research: it can make the proper arrangement
of written accounts of facts and events.
3) An aid to documentation: it can mean the proper
arrangement of written accounts of facts and events.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 30

4) An aid to preservation: it can speed up the identification

and segregation of valuable records since selection will be
easier.
5) An aid to disposal: it speeds up the identification and
segregation of files/records of limited usefulness.
6) An aid to economy: it can affect economies when it is
applied to the whole organization by mass purchase of
uniform equipment and supplies.
7) An aid to personnel: it can permit the transfer of records
personnel from one division to another or from one
department to another, wherever situated, without re-
training.

Types of Subject Classification Systems

There are 3 main subject classification systems that may be used
for the arrangement of the file series of an agency. These 3
systems are:

1) Alphabetical systems.
2) Function and activity systems.
3) Administrative structure systems.

CODING SYSTEMS
File coding systems consist of numbers, letters or combination of
numbers and letters used in designing and arranging subject
headings for storage and retrieval of files/records. Codes must be
placed on:

 file cover labels

 storage equipment labels
 records

Coding system facilitates filing, retrieval and refilling of records

when used together with subject file classification.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 31

Coding systems used with subject filing are:

1) alphabetic
2) alphanumeric
3) block-numeric
4) decimal-numeric
5) duplex-numeric

1) Alphabetic
An alphabetic subject filing system is arranged in straight alphabetic
order by subjects. Eg:

ACC - ACCOUNTING
ACCPYB - ACCOUNTS PAYABLE
BDG - BUILDING
BDGMNT - BUILDING MAINTENANCE
HR - HUMAN RESOURCE

2) Alphanumeric
An alphanumeric coding system consists of a combination of letters
and numbers. Eg:

HR HUMAN RESOURCE DEPARTMENT

HR-01 RECRUITMENT
HR-01-00 POLICY
HR-01-01 GENERAL
HR-01-02 CHIEF EXECUTIVE OFFICER
HR-01-03 EXECUTIVE OFFICER
HR-01-04 SECRETARIES
HR-02 TRAINING
HR-02-00 POLICY
HR-02-01 GENERAL
HR-02-02 NATIONAL INSTITUTE
HR-02-03 INTERNATIONAL INSTITUTE
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 32

3) Block-Numeric
A bloc-numeric coding system consists of blocks of primary
numbers that are allocated for each group of major function carried
out by the organization. Eg:

Main Group Heading Block Numbers

ADMINISTRATION 100 – 199
BUILDING 200 – 299
BUDGET 300 – 399
HUMAN RESOURCE 400 – 499

4) Decimal-Numeric
The decimal-numeric coding system consists of the number of the
first sub-division followed by a decimal. Which is followed by one or
more digits. Eg:

300 BUDGET
301 ANNUAL ALLOCATION
301.1 MANAGEMENT ALLOCATION
301.1.0 TREASURY PROCEDURES
301.1.1 PAY AND ALLOWANCES
301.2 DEVELOPMENT ALLOCATION
301.2.1 TREASURY PROCEDURES
301.2.2 7TH MALAYSIAN DEVELOPMENT
PLAN
301.2.3 8TH MALAYSIAN DEVELOPMENT
PLAN
5) Duplex-Numeric
In the duplex-numeric coding system, a combination of numbers
and hyphens is most often used but letters may be used also. As
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 33

subject headings are added to the files, they are given a number of
letter as shown in the following examples.

2 PUBLIC RELATION DEPARTMENT

2-1 ADVERTISING
2-1-0 POLICY
2-1-1 GENERAL
2-1-2 NEWSPAPER
2-1-3 TELEVISION
2-1-3-1 RTM
2-1-3-2 TV3
2-1-3-3 ASTRO
2-1-3-4 NTV7

FILE MANAGEMENT
The Room Operations
The functions of the file room are:

1) Filing the records (papers and files).

2) Verifying the records to be filed and maintaining an accuracy
control.
3) Issuing the records in the form of files.
4) Controlling the location of the issued files.
5) Operating a “Keep in View” (KIV) system.
6) Maintaining the records physically, eg. the files and the file
containers.
7) Finding the records on demand.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 34

FILE FORMAT
A file is a folder that keeps enclosure together in some order or
another. Papers are normally held together by a treasury tag. The
physical paper file has 3 components:

1) A cover to protect the contents and to act as a title

page.

The Cover of a File

2) The contents (inward correspondence, internally

generated document and copies of outward
correspondence).

The Content

3) Some method of securing the contents together

(treasury tag).
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 35

Treasury Tag

The file format must reflect the importance of the 3 stages of

records management:

 File creation
 File use and maintenance
 File disposition

 Creation
In this initial phase of records management, there is a need to
indicate the file number and more importantly, the file title on the
cover. The date the file was created could be an important detail on
the file cover. It may be necessary to indicate the level of security
classification for each of the file and to make cross reference to any
other files that may have information that is related.

 File Use and Maintenance

In this phase, the concern is with speedy retrieval of information or
in other words, the file that contains the information. The
whereabouts of file must be known to the registry. That is why the
file movement grid is provided for on most file covers. The grid is
meant to accommodate details as to who had last taken the file from
the registry, or the person to whom the file has been sent or
dispatched.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 36

 Disposition
This is the final stage of record management. The action to be
taken on the file at his stage must be indicated clearly on the file
cover. The file cover should give us the following clues:

 When is the file to be closed? (a decision must have

been made earlier on whether the closure is to be based
on a particular time interval, file thickness or total
number of enclosures?)
 How is the closure to be indicated on the file cover?
 What is the subsequent volume, number into which the
series is to be continued?

In addition to the above, the following details must also be indicated

on the file cover:

 date for the file to be transferred into inactive storage.

 date for the file to be appraised.
 date for the file to be destroyed.
 the final date for the file retention in the active, inactive
and a long-term storage areas.

Minutes Sheet
The minute sheet may also provide information on the person
to whom a particular files has been redirected. The minute
sheet is important from various points of view. Minute sheet
provides the following clues:

 letters that are internally generated, and those that are

externally created.
 the date on which a particular letter was enclosed in a
file.
 the date that a particular work (on a particular letter) was
entrusted to a particular person.
 the minute sheet may be used to transmit comments or
requests for action on a particular letter.
 the sequential numbering of the enclosures in the
minute sheet corresponds to the sequential order in
which the papers are enclosed.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 37

 this is in addition to the date imprinted on the letter itself.

This sequence ensures that the letters are organically
related to one another; and tell a story when put
together.

FILING THE RECORDS – LOOSE PAPERS/DOCUMENTS

What is to be filed?
Not every single piece of paper should be filed by everyone who
received it. Documents that should be filed include:

 inward correspondence in all its forms.

 internal minutes relating to the correspondence.
 copies of outward correspondence.
 internally generated administrative, financial, legal and
operational documents or loose papers.

What is NOT to be filed?

It is normally not appropriate to file the following categories of
records:

 any forms of rough drafts that do not differ in content

from the final versions that are to be filed.
 copies of correspondence and internal documents.
 ephemera, such as suppliers‟ catalogues, press cutting,
invitations to social events circulated for information
only.

Ephemera

Opening New Files

A new file should be opened when:
 a new subject arises within the administrative process.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 38

 relevant documents need to be filed.

 an existing subject subdivides into new discrete
subjects.
 new subject needs new files or subfile.

Each new file must be subjected to the following rules:

 each file must relate to a single subject or transaction.
 each file should have a title that describes its content
precisely, concisely and uniquely.
 each file should be classified and coded within the
registry‟s classification scheme.
 each file must be documented.
 each file location must be recorded in the files control
tools or documentation.

Files can be subdivided into the followings:

 Parts of files
 Subfiles
 Continuation files

 Parts of Files
A part is one of a number of physical units into which a file has been
sub-divided chronologically as it has increased in size.

 Subfile
A subfile is a separate file dealing with a discrete aspect of the
subject of a more general file.

 Continuation File
A continuation file is a new file opened when the old file on the
subject has reached its cut-off date within the file cycle.

Giving File’s Title

File titles should be clear and precise providing adequate details
about the file‟s actual and likely contents. The files titles consist of a
number of terms to describe the specific subjects of the file in its
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 39

functional context. The terms used are known as keywords. A

keyword is a term or group of terms taken from the title or text of a
document or file characterizing its content and facilitating its
retrieval.

Filing Process
 Loose papers should be sorted by file number or name
separated into 2 groups. During the sorting process, the papers
should be examined for their authorized release to file which is
normally done by a written abbreviation “F” meaning “To be
filed”. This mark may be on a single paper or it may apply to
bundles of loose papers.
 Loose papers received each day for filing should be processed
each day for filing without fail. The papers should be cleared of
all pins, clips, staples, unfolded where necessary and torn pages
repaired before being filed.
 In preparing loose papers for file, clerk must ensure that
attachments remain with their covering paper regardless of the
date/s of the attachments. Extra copies and other non-record
material will be discarded at this time.
 The papers will now be ready for sorting into either a subject
classification.
 The papers will now be cleans, pre-drilled and in their
classification order. The next step is attaching the papers to their
respective files.
 The papers should be filed in chronological order of the
transactions of which they form part. Filing records by adding
each new document on top of the file is the easiest method of
maintaining chronological order.
 Papers within a file may be numbered to guarantee maintenance
of integrity and original order. A running number (known as folio
number) should be assigned to each individual paper (not to the
individual pages within it, though they may also be separately
paginated within each document).
 The folio number, subject or title of the papers, their dates
inserted into the file should be listed, hand written in blue and red
on the minute sheet (including correspondence in blue and
copies of outward correspondence in red).
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 40

Closing Files
Files should NOT be allowed to become thick or be kept in use for
too long because:

 they are difficult to handle.

 their contents can be at risk of damage.
 liable to contain papers no longer required for the daily
conduct of business.

There must be a regulation to the size of file appropriate to the type

of file covers. A size of 1 INCH is a reasonable limit for treasury tag
files (regulation by the National Archives of Malaysia for government
departments filing systems). When that size is reached, that part of
the file should be closed and a new part opened. It is up to the
registry staff to ensure that no further papers are added to files after
they are closed. The word “CLOSED” should be written or stamped
diagonally in bold letters across the front cover, thus canceling it.

File Operating Pointers

 Do each day‟s filing of the files and papers.

 As a record is being filed, check it against the contents of
the file, and the file number to prevent misfiling.
 Adhere to a strict chronological sequence – do not staple
together and file together incoming and outgoing
correspondence.
 Do not separate attachments from their cover
letters/document – file all this together under the date of
the covering papers.
 Do each day‟s KIV‟s on the day prior to the due date.
 Do not overload the file cover.
 Create new volumes for files immediately as required.
 The first step in training a new employee should be training
on how to sort document and correspondence.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 41

 Never allow an untrained file clerk to insert documents into

the files unless supervised closely during a training period.

(QUIZ 1 – CHAPTER 1, 2 AND 3)

 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 42

CHAPTER 4

ALPHABETIC STORAGE & RETRIEVAL

 Alphabetic Indexing Rules – provide office workers with the

necessary guidelines to arrange personal and business names
alphabetically.
 Indexing rules – are established guides that indicate the proper
location of a record in a file.
 Filing segment – is the complete name, subject, number or
location being used for filing purposes e.g.:
 Helen L. Sanchez
 Dania Umaira Abdul Karim

 Key unit – The filing unit considered first in a filing segment. A

rule for indexing personal names is to consider the surname (last
name) first.
 Coding – is the physical process of marking the indexing units in
a filing segment to indicate the order in which they are
considered when filing:
1) Separate the units with diagonal lines.
2) Underline the key unit
3) Write numbers above the remaining units to indicate their rank in
correct filing order.
2 3 2 3
Eg: Helen / L. / Sanchez SANCHEZ / HELEN / L

 Indexing – is a mental process of:

1) Selecting the filing segment
2) Dividing the filing segment into filing units
3) Determining the order of the units for filing. Eg:
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 43

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. W. P. Anderson ANDERSON W P
2. Mary Cheong CHEONG MARY

INDEXING RULES
RULE 1 – ORDER OF FILING UNITS

A) Personal names – Index full personal names in this order:

 The surname is the key unit
 The first name or initial is the second unit
 The middle initial or name is the third unit
 If it is not possible to determine the surname in a name, consider
the name written last as the surname.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. Stacy Ames AMES STACY ***
2. Stacy L. Ames AMES STACY L**
3. Stacy Lee Ames AMES STACY LEE
4. M. Lori Anderson ANDERSON M LORI
5. Mary Anderson ANDERSON MARY
6. Michael Anderson ANDERSON MICHAEL

*** “Nothing Before Something”

B) Business names – Index business names as they are written

using letterheads or trademarks as guides. Each word in a
business name is a separate filing unit.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. Forster Joyce Tours FORSTER JOYCE TOURS
2. Fort Tryon Meat Market FORT TRYON MEAT MARKET
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 44

3. Forte Music Center FORTE MUSIC CENTER

4. Mid City Hardware MID CITY HARDWARE
5. Midas Muffler Shop MIDAS MUFFLER SHOP
6. Nancy Grey Realty NANCY GREY REALTY

EXERCISES:

EXAMPLE:

NO. NAMES CODING

2
1. Mary Cheong MARY / CHEONG 3
2 3
2. K. E. Paul K / E / PAUL 9
2 3
3. D. Gary Moore D / GARY / MOORE 1
2 3
4. Jiddi Joned Enterprise JIDDI / JONED / ENTERPRISE 6
2 3 4
2
5. Bu Seng Chong Fashion BU / SENG / CHONG / FASHION
2 3
6. Daniel Izaan Khairuddin DANIEL / IZAAN / KHAIRUDDIN 4
2 3
7. Daniel Syazwan Khairuddin DANIEL / SYAZWAN / KHAIRUDDIN 5
2 3
8. W. P. Anderson W / P / ANDERSON 8
2 3
9. Khalid Anuar Management KHALID / ANUAR / MANAGEMENT 7
2
10. Sinmaynard Fibreglass SINMAYNARD / FIBREGLASS 10

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. W. P. Anderson ANDERSON W P
2. Bu Seng Chong BU SENG CHONG FASHION
Fashion
3. Mary Cheong CHEONG MARY
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 45

4. Daniel Izaan DANIEL IZAAN KHAIRUDDIN

Khairuddin
5. Daniel Syazwan DANIEL SYAZWAN KHAIRUDDIN
Khairuddin
6. Jiddi Joned JIDDI JONED ENTERPRISE
Enterprise
7. Khalid Anuar KHALID ANUAR MANAGEMENT
Management
8. D. Gary Moore MOORE D GARY
9. K. E. Paul PAUL K E
10. Sinmaynard SINMAYNA FIBREGLA
Fibreglass RD SS

a) Rule 1: Order of Filing Units (Personal and Business Names)

a1)
NO. NAMES CODING
1. M. Cynthia Anderson

2. M. C. Anderson

3. Davidson Gregg Imaging

Products
Daniel Syazwan
4.
Khairuddin
5. Abbiramie Curry House

6. Susan G. Brown
Telaga Biru Sendirian
7.
Berhad
8. E. William Smith

9. Daniel Izaan Khairuddin

10. George Wong Aviation

 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 46

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

a2)
NO. NAMES CODING

1. Nooriz Pusat Hiasan Dalaman

2. Makitech Engineering Berhad

3. A. M. Gerald

4. Githa Dhillon Eugene

5. Puteri Johindah Jantan

6. Kong Sang Undertaker

7. Russell S. Craig

8. Stanley K. Bradley

9. T. Randall Derek
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 47

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.
2.
3.
4.
5.
6.
7.
8.
9.

RULE 2 – MINOR WORDS & SYMBOLS IN BUSINESS NAMES

 Articles, prepositions, conjunctions and symbols in business
names are separate filing units.
 Index all words in the name in the order that they are written
except for the word „The‟.
 When the word „The‟ is the first word in a filing segment,
consider it as the last filing unit.
 Symbols (&, ¢, #, $, etc.) are separate indexing units.
 Spell them out in full when indexing (AND, CENT/CENTS,
NUMBER/POUND, DOLLAR/DOLLARS, etc.)

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. Golf By The Shore GOLF BY THE SHORE

2. The In Town Motel IN TOWN MOTEL THE
3. Inside & Outside INSIDE AND OUTSIDE PAINTE
Painters RS
4. The Inside Lounge INSIDE LOUNGE THE
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 48

5. # One Drug Store NUMBER ONE DRUG STORE

b1)
NO. NAMES CODING

1. Lena Textiles Ltd.

2. A & G Kolkata Container

3. The Wahid Sandhar Sugars

Co.

4. On The Table Restaurant

5. One $ Health & Beauty Spa

6. The Nail Shop The Curve

7. # Three Ultra Racing Sdn.

Bhd.

8. The Kotak Mahindra Asset

Mgmt.

9. Keep # Away Beauty

Bodyline

10. Gabungan Jujur Rent A Car

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5 UNIT 6

1.

2.

3.

4.

5.

6.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 49

7.

8.

9.

10.

b2)
NO. NAMES CODING
1. The Chimney Sweeps

2. The Crazy Chicken

3. A Shop of Wonders

4. An Honorable Mercantile

5. C & R Office Supplies

6. The Camp By The Sea

7. C & R Hot Springs

8. Clip & Curl Salon

9. $ Saver Cleaners

10. Cybersurf By The Hour

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5

1.
2.
3.
4.
5.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 50

6.
7.
8.
9.
10.

RULE 3 – PUNCTUATION AND POSSESSIVES

 Disregard all punctuation when indexing personal and business
names.
 Commas, periods, hyphens, apostrophes, dashes exclamation
points, question marks, quotation marks and slash (/) marks are
ignored.
 Close up the letters or words and index the name as one unit.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. Ellison-Jones Lumber ELLISONJON LUBER
ES
2. Ell‟s & Rod‟s Diner ELLS AND RODS DINER
3. Emery/Baxter Video EMERYBAXT VIDEO SYSTME
Systems ER S
4. Out-Look Point Cafe OUTLOOK POINT CAFE
5. Out-of-Town OUTOFTOWN PRODUC
Productions TIONS
6. Sinclair, West & Dodd SINCLAIR WEST AND DODD
7. Michael Sinclair-Smith SINCLAIRSMI MICHAEL
TH

c1)
NO. NAMES CODING
1. Imagine! Toy Store

2. Why Not Travel?

 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 51

3. #s Away Diet Center

4. To-and-Fro Travel

5. The Ink-a-Do Stamp Store

6. Yolanda‟s $ Saver

7. Rod-N-Reel Store

8. Kelly & O‟Donnell Realty

9. Inside/Outside Gardeners

10. Icandoit.com

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 52

c2)
NO. NAMES CODING
L – J College for Human
1. Services

2. The Captain‟s Surf & Turf

3. A/J E – Mail Express

4. L & M Appliance Repair

5. Mas/lee Fashion & Fabrics

Hattan Multi – Level –
6.
Marketing Ent.
7. La – Di – Da Salon

8. Cap‟n Hook‟s Sea Food

9. Azri, Nera & Erul Restaurant

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5

1.

2.

3.

4.

5.

6.

7.

8.

9.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 53

c3)
NO. NAMES CODING

1. George R. Banks

2. Banks‟ Portable Coaches

3. Alicia Benavides Travel Agency

4. Bank of America

5. M. Banks

6. Bank-O-Rama

7. The Bank-Town Credit Union

8. Banks & Banks Plumbing

9. Bankers Trust Company

10. Bank‟s Window Repairs

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.

2.

3.

4.

5.

6.

7.

8.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 54

9.

10.

RULE 4 – SINGLE LETTERS AND ABBREVIATIONS

A) Personal names – initials in personal names (E. Towne) are
separate filing units. Abbreviated personal names (Wm., Jos.,
Thos., Debbie, Liz, Bill) are separate filing units and indexed as
they are written. Do not spell out the names.
B) Business names – M K G Company is four units but MKG
Company is two units. Abbreviated words (Mfg., Corp., Inc., etc.)
are one unit and indexed as written. Radio and television station
call letters are always one unit eg.: TV3, ASTRO, HITS.FM.

d1)
NO. NAMES CODING
1. KKRS Radio Station

2. RTM Radio Station

3. I Am Woman, Inc.

4. Wm. S. Jones

5. S. G. G. Interior Decor

6. I C A Corp.

7. KSTP – FM Radio

8. Wm. J. Hands

9. MARA Linear Transportation

10. Jos. Saxe

 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 55

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

d2)
NO. NAMES CODING
1. Z – Pro Company

2. T. F. Nelson

3. U & I Nursery

4. I C Clearly Vision

5. AT&T Wireless

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 56

2.

3.

4.

5.

RULE 5 – TITLES AND SUFFIXES

A) Personal names – Index all titles LAST when they are used with a
full personal name (surname plus at least a first name or initial).
 Courtesy titles (Mr., Mrs., Ms.), professional titles (Dr., Prof.,
Senator, Mayor) and religious titles (Father, Brother, Imam, Haji,
Hajjah) are used to determine correct alphabetic order only when
personal names are identical.
 When a name contains a professional suffix (CRM, M.D., Ph.D.)
or a seniority suffix (I, II, Jr. Sr.) consider the suffix a filing unit
after indexing the full name. Place numeric suffixes (I, II) before
alphabetic suffixes (Jr., Sr.).
 When a name contains both a title and a suffix, the title is still the
LAST unit. Eg.:
6 2 3 4 5
Mr. / Lawrence / W. / Akira / Jr. / CRM

 Titles followed by either a given name or a surname only are

indexed and filed as written. Eg.:
2
 Father Manuel = Father / Manuel
2
 Mr. Fox = Mr. / Fox
2
 Queen Elizabeth = Queen / Elizabeth
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 57

Example:
NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4
1. R. Michael Bernstein BERNSTEIN R MICHAEL

2. R. Michael Bernstein II BERNSTEIN R MICHAEL II

3. R. Michael Bernstein III BERNSTEIN R MICHAEL III

R. Michael Bernstein JR
4. BERNSTEIN R MICHAEL
Jr.
R. Michael Bernstein SR
5. BERNSTEIN R MICHAEL
Sr.
6. Brother John BROTHER JOHN
7. Brother John M. Cain CAIN JOHN M BROTHER

8. Dr. John M. Cain CAIN JOHN M DR

9. Miss Cindi A. Davis DAVIS CINDI A MISS

10. Mrs. Cindi A. Davis DAVIS CINDI A MRS

Sister Mary
11. NUNAMAKER MARY SISTER
Nunamaker
12. Prince Charles PRINCE CHARLES

B) Business names – All titles in business names are indexed as

written.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. Dr. Ben‟s Health Spa DR BENS HEALTH SPA
2. Dr. Brown‟s DR BROWNS BEVERA
Beverages GES
Miss Sarah Jane BAKERY
3. MISS SARAH JANE
Bakery
4. Mr. Anthony‟s MR ANTHONYS
5. Neelofa Hijab Spa NEELOFA HIJAB SPA

e1)
NO. NAMES CODING
1. Queen Mary

2. Dr. Carla‟s Chimney Works

3. Ron S. Nelson II
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 58

4. Sister Mary Nunamaker

5. Mrs. C‟s Chocolates

6. Sharon‟s “Of Course”

7. Miss Sharon Oest, GM

8. Ms. Ada Johnson, CPA

9. Ron Nelson, Jr.

10. Encik Ahmad Albab

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 59

e2)
NO. NAMES CODING
Mrs. Amelia # One
1.
Restaurant
2. Lt. Adnan Salleh

3. Prince Albert Monaco

4. Brother Leslie
Dr. Fauziah Ahmad Daud
5.
Cafe
6. Brother Alfonso Ledford

7. Father Rodney

8. Mr. Alexander‟s

9. Dr. Alexandra Poebus

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5

1.

2.

3.

4.

5.

6.

7.

8.

9.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 60

RULE 6 – PREFIXES: ARTICLES AND PARTICLES

 Combine an article or particle in a personal or business name
with the part of the name following it to form one filing unit.
Disregard the spaces and punctuation when indexing names
containing articles and particles.

 Examples of articles and particles: a, la, D‟, Da, De, Del, De la,
Della, Den, Des, Di, Dos, Du, El, Fitz, Il, L‟, La, Las, Le, Les,
Lo, Los, M‟, Mac, Mc, O‟, Per, Saint, Sainz, San, Santa, Santo,
St., Ste., Te, Ten, Ter, Van, Van de, Van der, Von, Von der,
Van den.
Example:

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. Professor Maria DAMICO MARIA PROFESSO
D‟Amico R
Damico Match
2. DAMICO MATCH COMPANY
Company
3. Delaberto Nursery DELABERTO NURSERY
De La Camp Sports
4. DELACAMP SPORTS WEAR
Wear
LaSalle Interior
5. LASALLE INTERIOR DESIGNERS
Designers
6. La Salle Robotics, Inc. LASALLE ROBOTICS INC
7. Francis J. Saint John SAINTJOHN FRANCIS J
San Francisco Cab
8. SANFANCISCO CAB COMPANY
Company
St. James Hospital
9. STJAMES HOSPITAL SUPPLIES
Supplies
Van den Berg
10. VANDENBERG COMPUTER SUPPLIES
Computer Supplies
Gerald Q. Van Den PHD
11. VANDENBERG GERALD Q
Berg, Ph.D.
Vanden Berg Moving STOR
12. VANDENBERG MOVING AND
& Storage AGE
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 61

f1)
NO. NAMES CODING
1. Santo Domingo Yacht Resort

2. Mr. Carmen Del Rio Cantina

3. The Van den Berg Gallery

4. St. John‟s Studios

Captain Alan Le Beck Smith,
5.
Jr.
Santa Lucia Vineyard
6.
Restaurant
Mr. Ezekial Mac Swanson,
7.
CPA
St. James Charles Skin
8.
Specialist Hospital
9. Dr. Lisa Ann Van den Berg
El Paso Francis Savings
10.
Association

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5

1.

2.

3.

4.

5.

6.

7.

8.

9.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 62

10.

f2)
NO. NAMES CODING
San Francisco Cab –
1.
Company
2. Mario De La Torres, Jr.
Mac Cafferty & Mc Cabe
3.
Consultants
4. Mr. Barry Ter Don Joel

5. Joellen La Duc
St. Peter‟s Children‟s
6.
Home
7. El Rancho Florists

8. Gov. Tom Mc Call

9. Edward Ste. Cyr

Dos Perry Rubberwood
10.
Co.

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1.

2.

3.

4.

5.

6.

7.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 63

8.

9.

10.

RULE 7 – NUMBERS IN BUSINESS NAMES

 Arrange alphabetically any numbers spelled out in business
names eg.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. Four Computer Cafe FOUR COMPUTER CAFE
2. One Beautiful Spa ONE BEAUTIFUL SPA
3. Six Restaurant SIX RESTAURANT

 Arrange Arabic numerals (3, 4, 5) in business names in

ascending order BEFORE ALL ALPHABETIC LETTERS OR
WORDS.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. 5 East Market 5 EAST MARKET
2. 11 Rainbow Shop 11 RAINBOW SHOP
3. Six Restaurant SIX RESTAURANT

 The name 7 Eleven Food Store comes before the name John
Adams.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. 7 Eleven Food Store 7 ELEVEN FOOD STORE
2. John Adams ADAMS JOHN
3. Steve Bakery Cafe STEVE BAKERY CAFE
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 64

 When numbers appear in other than the key unit in a name (Pier
36 Café), arrange the name alphabetically but immediately
before a similar name without a number.

NO. FILING SEGMENT KEY UNIT UNIT 2

1. B4 Photographers B4 PHOTOGRAPHERS
2. Before Photographers BEFORE PHOTOGRAPHERS

 All Arabic numerals (2, 3, 4) come BEFORE all Roman numerals

(I, II, III).

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. 6 Florist Shop 6 FLORIST SHOP
2. IV Florist Shop IV FLORIST SHOP
3. Star 4 Productions STAR 4 PRODUCTIONS
4. Star III Enterprises STAR III ENTERPRISES

 Arrange names with INCLUSIVE numbers (13 – 30 Corp.) by the

first digit only (13).
 If a hyphenated number is NOT INCLUSIVE (20 – 20, 30 – 14),
disregard the hyphen and consider the number one filing unit.

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. 44 – 60 Cafe 44 CAFE
2. 70 – 71 Nursery Place 70 NURSERY PLACE
3. 7 – 7 Cab Company 77 CAB COMPANY
4. 20 – 10 Sports Wear 2010 SPORTS WEAR

 IGNORE the letter endings when arranging digit numbers that

contain “st, d and th (21st, 3rd, 25th). Consider only the digits (21,
3, 25). Be sure to place the numbers in ascending order.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 65

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3

1. 1st Stationary Imports 1 STATIONARY IMPORTS
2. 2nd Shop Wonder 2 SHOP WONDER
3. 5th Avenue Cafe 5 AVENUE CAFE

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4

1. 2 Broadway Shop, Inc. 2 BROADWAY SHOP INC
2M Gulf Service CENTER
2. 2M GULF SERVICE
Center
3. 11th & 23rd Shop 11 AND 23 SHOP

4. 24 – Hour Gold 24HOUR GOLD

5. 25 East Owners Corp. 25 EAST OWNERS CORP

6. A 2 Z Market A 2 Z MARKET

7. A to Z Luggage A TO Z LUGGAGE

8. Pier 39, Inc. PIER 39 INC

RESTAUR
9. Pier IV Restaurant PIER IV
ANT
Two Flags Butcher SUPPLIES
10. TWO FLAGS BUTCHER
Supplies

g1)
NO. NAMES CODING
1. 28th St. Mac House Cafe

2. 2 B – True Pet Supply

3. 1st Image Microfilm Services

2000 Lincoln Park Avenue
4.
Apartments
2314 – 2313 Park Avenue
5.
Lounge
6. The 10 – Cent Image & Data Co.

7. Modern Labels 4 – All, Inc.

3400 – 3600 Madison
8.
Apartments
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 66

9. 1st Place Restaurant

10. 711 Superstore

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5 UNIT
6
1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

g2)
NO. NAMES CODING
1. 45 & Over Club

2. 20 – 20 Norman Agency
1st Image Microfilm Data
3.
Services
4114 – 4113 The Day Care
4.
Center
5. Mrs. C‟s XXI Chocolate Shop
321 – 591 The Wilcox Hosiery
6.
Mills
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 67

8 – 01 E – Senggara
7.
Teknologi Sdn. Bhd.
8. XXI Darts Club

9. 405 Auto Repairs Workshop

10. 4 Star Hills Mfg. Co.

INDEXING

NO. FILING SEGMENT KEY UNIT UNIT 2 UNIT 3 UNIT 4 UNIT 5

1.

2.

3.

4.

5.

6.

7.

8.

9.
10.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 68

EXERCISES ON CROSS – REFERENCES

1) Four types of PERSONAL NAMES should be cross-referenced:

a) Unusual names
b) Hyphenated surnames
c) Alternate names
d) Similar names

2) Six types of BUSINESS NAMES should be cross-referenced:

a) Compound names
b) Abbreviations and acronyms
c) Popular and coined names
d) Hyphenated business names
e) Divisions and subsidiaries
f) Changed names

1) a) Unusual names

i) Mr. Asafu Adjaye

ii) Miss Micaela Valdivia
iii) Dr. Matsunaga Daisuke
iv) Ms. Xiomara Negron
v) Ching – yu Kuo
vi) Mr. Manuel Chang
vii) Ms. Toshi Yukimura
viii) Mr. Ta – Pei Chiang

Original Cross – Reference

i) ADJAYE ASAFU MR ASAFU ADJAYE MR ___

SEE ADJAYE ASAFU MR ___
ii) ____ ___
___ ___
iii) _____ ___
______________________________
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 69

Original Cross – Reference

iv) ___
___
v) ___
___
vi) ___
___
vii) ___
___
viii) ___
___

1) b) Hyphenated surnames

i) Terry Palmer – Green

ii) Mrs. Emery Baxter – Lumber
iii) Ms. Asmeralda Alson – William
iv) Helena Bonham – Carter
v) Catherine Zeta – Jones
vi) Mrs. Sandra Beckwith – Green
vii) Kathy Davenport – Alden
viii) Julie Miller – O‟Brian
ix) Mrs. Pamela Anderson – Ryan

Original Cross – Reference

i) ___
____ ___
ii) ____ ___
___
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 70

Original Cross – Reference

iii) ______________________________________________________________
__________________________________
iv) _________________________________________________________
____________________________________
v) _________________________________________________________
____________________________________
vi) _________________________________________________________
____________________________________
vii) _________________________________________________________
____________________________________
viii) _________________________________________________________
____________________________________
ix) _________________________________________________________
___________________________________

1) c) Alternate names

i) Sarah Starkinsky doing business as Sarah Star

ii) Peter Yamaguchi also known as Peter Guchi
iii) Siti Roziana Zain also known as Ziana Zain
iv) Ms. Stephy Catherine also known as Sally Shireen
v) Encik Shahrul Amir Amli doing business as Ahadiat Akashah
vi) Shah Indrawan Ismail also known as Tomok

Original Cross – Reference

i) ___
___
ii) ___
___
iii) ___
___
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 71

Original Cross – Reference

iv) ___
___
v) ____ ___
___
vi) ___
___

2) a) Compound names

i) Ansyazdani & Rohana Computer Center

ii) Edward and Torres Insurance Co.
iii) Ashraf & Nabila Advocates and Solicitors
iv) Wu & Yoon Chinese Restaurant
v) Chuah & Adam Solicitors
vi) Mina‟s and Woon‟s Country Kitchen
vii) Azri and Nera Photo Studio
viii) Jee & Joe Television Service

Original Cross – Reference

i) ____
_____ ____ ___
ii) _________________________________________________________
___________________________________
iii) _________________________________________________________
____________________________________
iv) ________________ ___
___________________________________
v) ______________________________________________________________
___________________________________
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 72

Original Cross – Reference

vi) ____________________________________________________________________
___________________________________
vii) ____________________________________________________________________
___________________________________
viii) _________________________________________________________
___________________________________

2) b) Abbreviations and acronyms

c) Popular and coined names

i) BMW (Bavarian Motor Works)

ii) IKEA (Ingvar Kamprad Elmtaryd Agunnaryd)
iii) PNB (Permodalan Nasional Berhad)
iv) BTN (Biro Tata Negara)
v) F & N (Freaser and Neave Sdn. Bhd.)
vi) MBSB (Malaysia Building Society Berhad)
vii) IJN (Institut Jantung Negara Sdn. Bhd.)
viii) SJMC (Subang Jaya Medical Centre)

Original Cross – Reference

i) ___
___
ii) _________________________________________________________
___ ___ ___
iii) _________________________________________________________
___
iv) ___ ___
________
v) _________________________________________________________
___
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 73

Original Cross – Reference

vi) ___
___ ___ ___
vii) _________________________________________________________
___
viii) _________________________________________________________
___ ___

2) d) Hyphenated business names

i) Mark – Ryan Waterfront Store

ii) Simpson – Brown Trading Co.
iii) Napen – Read Antiques
iv) Martin – Miles Sound Systems
v) Krishna – Chandran Knitting Factory
vi) Ansari – Duwasa Lightings Centre
vii) Nyong – Sari Pakatan Ukur Bahan
viii) Jameela – Emmanual Metal Stamping
ix) Liz – Zamria Wajaparts Sdn. Bhd.

Original Cross – Reference

i) _____________________________________________________________
_____________________________________
ii) _____________________________________________________________
____________________________________
iii) ____________________________________________________________
______________________________
iv) ____________________________________________________________
____________________________________
v) ____________________________________________________________
____________________________________
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 74

Original Cross – Reference

vi) ____________________________________________________________
___________________________________
vii) ____________________________________________________________
__________________________________
viii) ____________________________________________________________
___________________________________
ix) ____________________________________________________________
___________________________________

2) e) Divisions and subsidiaries

i) Pernec Optic Sdn. Bhd. (a subsidiary of Pernec Corporation

Berhad)
ii) KL Airport Hotel Sdn. Bhd. (a subsidiary of Malaysia Airports
Holdings Bhd.)
iii) CRIB Wall Design Supply (a div. of Kumpulan Malanez Sdn.
Bhd.)
iv) BizWeek Industries (a subsidiary of STAR News)
v) Lobos Event Management (a div. of Team Lobos Group of
Companies)
vi) Perwaja Berhad (a subsidiary of Maju Holdings)
vii) NTV9 (a subsidiary of Media Prima)
viii) KC Dat Sdn. Bhd. (a div. of Rumpun Hijau Corp.)
ix) Pasdec Bina Sdn. Bhd. (a subsidiary of Kuantan Bricks Sdn.
Bhd.)
x) NTV7 (a subsidiary of Media Prima)
xi) Felda Plantation Sdn. Bhd. (a subsidiary of Felda Holdings Sdn.
Bhd.)
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 75

Original Cross – Reference

i) ___
____________________________________
ii) ____________________________________________________________
_______________________________________
iii) ____________________________________________________________
____________________________________
iv) ___
____________________________________
v) ____________________________________________________________
____________________________________
vi) ___
__ ___
vii) ___
___ ___
viii) ___ ___
___ ___
ix) ___ ___
___ ___
x) ___ ___
___ ___
xi) __________________________________________________________________
____________________________________

2) f) Changed names

i) Bumiputra Commerce Bank (changed its name to CIMB)

ii) Coral View Beach Resort (changed its name to Corus Bay Beach
Resort)
iii) Thao Huong Distributing Company (changed its name to Huong
Distribution, Inc.)
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 76

iv) Paragon Cable (changed its name to AT&T Cable Services)

v) ASM MARA Unit Trust Management Berhad (changed its name
to ASM Investment Services Berhad)
vi) Excel Cabin (changed its name to Smart Cabin Marketing Sdn.
Bhd.)
vii) New World Renaissance Hotel (changed its name to
Renaissance Kuala Lumpur Hotel)
viii) USPD Sdn. Bhd. (changed its name to Proton Edar Sdn. Bhd.)
ix) Telaga Biru Sdn. Bhd. (changed its name to Telaga Biru Travel
and Tours)
x) Bank Pertanian Malaysia (changed its name to Agro Bank
Malaysia)

Original Cross – Reference

i) __ ___
___ ___
ii) _________________________________________________________
____________________________________
iii) _________________________________________________________
____________________________________
iv) ___ ___
____________________________________
v) _________________________________________________________
_________ ___
____________________________________
vi) _________________________________________________________
____________________________________
vii) _________________________________________________________
____________________________________
____________________________________
viii) ___ ___
____________________________________
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 77

Original Cross – Reference

ix) _________________________________________________________
___________________________________
x) ___ ___
___ ___
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 78

ALPHABETIC STORAGE & RETRIEVAL

ALPHABETIC CORRESPONDENCE FILING

 Alphabetic correspondence file – is a collection of letters,

memorandums and related documents, received or written,
arranged in alphabetic order.
1) Geographic method/filing – is the method of storing and
retrieving records alphabetically first by location and then by
individual, organization or project.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 79

2) Subject method/filing – is a method for classifying, coding and

filing records first by subject and then by individual, organization
or project.

3) Name method/filing – Correspondence is most frequently

arranged by name. The alphabetic correspondence name file is
a collection of letters and memorandums received or written and
arranged in alphabetic order by name. Hard copy – is the paper
copy of a record.

Correspondence Filing Equipment

 Common types of manual filing equipment:
1) Top-access file storage – a file equipment that contains records
stored vertically on edge and dropped into or lifted up and out for
storage and retrieval. Eg: vertical file cabinet. A compressor
(or follower) is a movable support placed behind guides and
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 80

folders to allow contraction or expansion of the drawer contents

and to hold records in a vertical position.

vertical file cabinet

A compressor or follower

2) Side-access file storage – is a file equipment that stores

records vertically with access from the side. Eg: the shelf file is
a side-access file consisting of horizontal open shelves, similar to
open bookshelves.

 open-shelf files are recommended by records professionals

because of these advantages:
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 81

1) they require less aisle space because file drawers are

eliminated.
2) they provide maximum use of wall space with floor-to-ceiling
storage capacity.
3) they provide handy, open, side access to folders.

4) Top-or-side access file storage – combine the features of both

the vertical file and the shelf file. Eg: Lateral file cabinet.

PAPER RECORDS STORAGE SUPPLIES AND EQUIPMENT

 Cost/benefit analysis – is the process of determining the relative
advantages and disadvantages of alternative solutions to a
problem. The analysis helps to prepare a cost justification.
 Tub file – is an open reference file that provides instant record
availability = no file drawers to open and close and no stooping
and stretching.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 82

 Carrousel file – is a rotary file in which records are accessed by

turning the file.

 A mobile shelf file – is a series file sections mounted on rollers

that glide along a fixed, embedded track in the floor.

 Mixed media storage cabinet – is filing equipment in which a

combination of records media is stored in one location.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 83

CORRESPONDENCE FILING SUPPLIES

 The supplies needed to establish the alphabetic correspondence
file include:
 Guides – to mark the alphabetic sections of the filing system. It
is a divider with a projecting metal or plastic tab, used to identify
a section of the files and to facilitate reference.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 84

 Folders – Papers are placed in folders that protect them and

keep them upright and accessible. It is a sheet of heavy paper,
usually manila or vinyl, scored and folded in half to hold papers.
The score marks (fold lines) at the bottom of the “V” fold can be
refolded in an expanded “U” shape. This expansion allows
adding more papers to the folder. Suspension (hanging) folders
– have two metal or plastic rods extending beyond the top front
and back flaps of the folder. It can reduce folder sag.

 Labels – Drawer, shelf, guide and folder labels provide important

identifying information for the correspondence file. The drawer
label identifies the drawer contents.

Folder Labels

Drawer Labels
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 85

 Caption – It is the content-identifying information on labels –

anything written, typed or printed on the tab or tab label. Open
captions show the beginning of the alphabetic range contained
in the drawer. Closed caption shows the beginning and ending
alphabetic range of correspondence in the drawer.

Caption
 Tab – It is a projection beyond the top of the main body of the
guide upon which an identifying label is attached. The tab cut is
the width that the tab occupies in relation to the total width of the
guide, eg: tab cuts in staggered arrangement and tab cuts in
straight-line arrangement.

Tab

Tab cut
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 86

 Straight-line filing is the guide tabs and folder tabs occupy single
horizontal positions that are readable in a straight line from the
front to the back of the file.

 Alphabetic guide arrangement drawer:

 primary guides – placed in the first position (moving left to
right) in the drawer.
 secondary guides – they are subdivision of the primary guide
placed in the next position to the right of the primary guides.
 Individual, special and general folders.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 87

RECEIVING CORRESPONDENCE
 Time stamp – It records the date and sometimes the time of the
receipt of each piece of mail.

 Release mark – Is an agreed-upon mark placed on a record

showing that the record is ready for storage. The initials of either
person are written in the upper left part of the original letter.

 When correspondence is received, it is time-stamped and

distributed.

FILING CORRESPONDENCE
 After correspondence is released, the filing procedures include
the following: Inspecting, indexing, coding, preparing cross-
references, sorting and filing.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 88

 Inspecting – is checking to see that a record has been

released in the proper manner for filing.
 Indexing – is determining the filing segment of each record.
 Coding – once the filing segment is selected, code the filing
unit to show the proper filing order of the filing units.
 Preparing cross-references – sometimes the filing segment
of a letter may have an alternate name under which the
correspondence may be requested. A cross-reference makes
it easier to locate such a letter.
 Sorting – is the process of placing papers in alphabetic order
before they are taken to the files and placed in folders.
Purposes of sorting: saves time and makes it easier to find an
unfiled record.
 Filing - It is the action of arranging records in a predetermined
sequence.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 89

CHAPTER FIVE

SUBJECT, NUMERIC & GEOGRAPHIC STORAGE & RETRIEVAL

A) NUMERIC FILING

 Numeric filing – is a method of arranging records by number.

 When to use numeric filing:

1) When records have a unique number already assigned to
them. Eg: numbers are preprinted on checks, purchase
orders and invoices.
2) Records have been assigned a number that has some
meaning or importance. Eg: the first three digits of your
gasoline credit card number.
3) Records are confidential and unauthorized access must be
prevented.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 90

Advantages of Numeric Filing

1) Records can be arranged more accurately by numbers because

numbers are easier to read and arrange than letters.
2) A consecutive numeric system expands quickly and easily.
3) Cross-ref are not filed in the numbered file.
4) Confidentiality is maintained because correspondent names and
subjects do not appear on file labels.
5) It improves efficient filing and retrieval in large volume records
systems because numbers are often shorter than a personal or
business names.
6) It is useful in computerized records systems because can be
keyed quickly.

Disadvantages

1) A misfile and failure to retrieve a record or file can result from

one miskeyed digit.
2) It is an indirect system because the user cannot go directly to the
files container to retrieve or file a record.
3) Congestion occurs when several records users at the same time
need to use the alphabetic index to locate records.
4) Difficulty of remembering the correct order of digits in a large
number may cause misfiled or lost records.
5) Maintenance of the alphabetic index is time-consuming.

 Consecutive numeric filing – are arranged in ascending

number order which from the lowest number to the highest
number. Also called serial, sequential and straight numeric.
 Components of a consecutive numeric filing
 accession log
 alphabetic index
 numbered file
 alphabetic file
 Accession log – is a serial listing of numbers assigned in a
numeric filing system. Sometimes called a numeric file list or
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 91

accession book. It is used to keep track of numbers that have

been assigned to records.

 Alphabetic index – is a card file or a computer file of all

correspondent names or subject titles arranged alphabetically.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 92

 Numbered file – contains numbered folders filed in consecutive

number order with the lowest number first.

 Alphabetic file – in a numeric correspondence filing system is a

general alphabetic file in which guide and folder captions contain
only letters of the alphabet.

Advantages of Consecutive Number Filing

1) Filing is quick and easy after records are rough-sorted.
2) Expansion of the system is easy and unlimited.
3) File guides are prepared easily because the numbers needed
are predictable.
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4) Files can be moved or rearranged in sections that remain

together.

Disadvantages of Consecutive Number Filing

1) Congestion often is created in the last section of the files when
several users need to access the newest records located at the
end of the files.
2) An entire number must be read for accurate filing and retrieval.
3) Digits in long numbers are more likely to be transposed
(reversed) by the person assigning the number to the file as well
as by the filer who is sorting or retrieving the record.
4) In manual numeric systems, maintaining a separate general
alphabetic file is time-consuming.

Terminal-Digit and Middle-Digit Numbering Methods

 Terminal-digit filing – is a method of numeric filing that uses the
last two or three digits of each number as the primary division
under which the record is filed. The numbers are read from right
to left. Eg:
50 27 54
Tertiary Secondary Primary

Correct order:
1) 223, 243, 280
2) 305, 138, 285
3) 473, 301, 285
4) 232, 387, 419
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 94

 Middle-digit filing – is a method of numeric filing that uses the

middle two or three digits of each number as the primary division
under which the record is filed. Numbers are read from middle
to left to right.
12 56 90
Secondary Primary Tertiary

Correct order:
5) 223, 138, 280
6) 305, 138, 285
7) 473, 243, 285
8) 232, 387, 419

Advantages of Terminal Digit & Middle Digit Filing

1) Fewer errors in transposition of digits occur because the
numbers are divided into groups of two or three digits.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 95

2) Misreading of numbers is less likely with short groups of numbers

than with one long number.
3) Congestion within the files area is avoided because records are
not filed consecutively. Current files are spread throughout the
system rather than located at the end of the system.

Disadvantages of Terminal Digit & Middle Digit Filing

1) Training of filers takes longer because of the order in which the
numbers are read and folders are filed and retrieved.
2) When a large block of consecutively numbered folders is
requested, the filer must retrieve them from many locations
throughout the filing system.
3) Transfer of inactive files also may take longer because of the
various locations of files with similar activity dates.
4) Misfiled folders are hard to find unless they are color-coded.

 Chronologic filing – is a method of numeric filing by which

records are filed in sequence according to date.

B) GEOGRAPHIC FILING
 Geographic filing – is a method of storing and retrieving records
in alphabetical order by location of an individual, an organization
or a project.
 When filing global activities geographically, consider the filing
units in this order:
 country name
 state name or province
 city name
 correspondence name

 2 types of geographic filing:

 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 96

 Dictionary arrangement – is the arrangement of records

in alphabetic order (A – Z). This arrangement is used
when the filing system contains a single geographic unit.

 Encyclopedic arrangement – is the alphabetic

arrangement of major geographic divisions plus one or
more geographic subdivisions also arranged in alphabetic
order.
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ADVANTAGES AND DISADVANTAGES

 Advantages – ability to group business activities by location, to
evaluate business activities by location and to use a filing system
that allows the addition, deletion, division in business operations.
 Disadvantages – Filers must search through the index to locate
needed records in the main file.

Geographic File Indexes

 Filing problems sometimes arise when the correspondents‟
names are not used as first indexing units
 Geographic files arrange records first by location and then by
company or individual names.
 Therefore, location must be known to find the record.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 98

 Sometimes correspondents write from a location different from

their usual business address. To solve problems such as
these, prepare an index.
 Index – systematically guides the access to specific items
contained within a larger body of information.
 2 types of geographic files index:
a) Alphabetic index – The filer locates the
correspondent‟s name in the alphabetic index in order to
find the address when it is not known. The address
determines the location of the record in the main
geographic file. The index may be in the form of a typed
list, a card file or a computer-generated list. Information
in the index must include the correspondent‟s name, the
state name and the city name.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 99

b) Master index – If the records are sorted first by state,

then by city and finally by correspondent‟s name, the
printed report becomes a master index for the file. A
master index lists all filing segments in the system and
is especially useful to first-time file users who want to
examine the scope or territorial range of the system. A
master index is a complete listing of all filing segments
in the filing system.

 Location Name Guide Plan – makes use of location name

guides to divide primary sections of a file.
 Lettered Guide Plan – makes free use of alphabetic lettered
guides to divide the city subdivisions.
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Geographic Filing Procedures

1) Inspecting
2) Coding
3) Preparing Cross-References
4) Sorting
5) Filing
Expansion of the Geographic File
 When to expand? – The first indication of a need for
expansion in a system is an increase in the volume of
incoming and outgoing records processed for filing. An
overcrowded folder however always indicates a need for
expansion.
 How to expand? – Free space is left in every file drawer and
on every shelf section. This space can be used for adding
folders to the system.

C) SUBJECT FILING
 Subject filing – is a method of classifying, coding and filing
records by subject.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 101

 2 types: Dictionary arrangement and encyclopedic

arrangement.

 Advantages:
a) Most records are remembered and retrieved by subject.
b) All records on one topic are in one file or series of files and in
one location.
c) Subject lists can be expanded easily by adding subdivisions to
primary subjects.
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 Disadvantages:
a) Subjects may overlap when subject lists become lengthy
because of numerous subdivisions.
b) Selecting subject headings is difficult because headings must
be concise, accurate and similar in format.
c) Preparing records for subject filing takes longer because each
record must be read carefully.
d) An incomplete or out-of-date subject file list/index prevents or
delays records retrieval.
e) New personnel will have difficulty retrieving records if previous
filers used their own subject headings.
f) Subject filing requires experienced filers who are thoroughly
familiar with the records and the organization.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 103

CHAPTER SIX

RECORDS RETENTION, RETRIEVAL & TRANSFER

 Records retention – is the established policy and procedure for

determining what records to keep, where to keep them and how
long to keep them.

 Records inventory – is a survey conducted to find the types and

volume of filed records, their location and frequency of use.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 104

 Records retention and destruction schedule – is an

established timetable for maintaining records transferring inactive
records to storage and destroying records with short-term value.

 Appraisal - It is the process of determining the value of records

for further use, and the length of time that value will continue.
 Disposition - It is the action taken in due course as a
consequence of appraisal. It covers the variety of ways in which
a department may remove its records from departmental active
records storage areas by the following actions:
 Storage in the departmental records room for a period of
time and later destroyed when the retention period has
expired.
 Transfer to the records center after being kept for a period
of time in the department.
 Transfer to the archival unit or archival institution.
 making microfilm copies and destroying the original records
to save storage space.
 Immediate destruction of records with no administrative
value, legal value, fiscal value and historical value.
 Destruction after complying with the retention periods
specified in the records disposal schedule of the
department or in accordance to the Treasury Instruction.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 105

REQUESTING RECORDS AND FOLDERS

 A complete system for controlling borrowed papers includes:
a) Requesting records and folders
b) Charging out records and folders
c) Cancelling charge-out for returned records
d) Following up on borrowed records
e) Reserving records
 A requisition form – is a written request for a record or for
information from a record.

 A charge-out - is recorded information that accounts for records

that are removed from the files.

Methods commonly used to show charged-out records and

folders are:
1) the OUT guide
2) the requisition sheet
3) the OUT folder
4) the carrier folder.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 106

 Out guide – is a marker placed in the file to show that a folder or

records have been borrowed. 2 types: OUT guides with
pocket and OUT guides with printed lines.

 Requisition sheet – is a request for records that also serves as

a marker placed in a folder for charged-out papers.

 Out folder – may be used to substitute for a folder that has been
removed from the records area. 2 types: OUT folder with pocket
and OUT folder with printed lines.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 107

 A carrier folder – made of heavy manila stock and distinctive

color, carries folder contents to the borrower.

Following Up for Borrowed Records

 A follow up – is a check on the return of borrowed records within

a reasonable or specified time. Follow up helps ensure the
return of borrowed records. A follow-up file is sometimes called
a tickler file because it „tickles‟ the mind to remember to follow
up.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 108

Time Limit for Borrowed Records

 The length of time that records may remain out of the files area
varies with the user‟s needs and company policy – from a few
hours to several months.

Manual Follow up Methods

 If all borrowed records were returned on time, there would be
no need for following up on.
 To check for overdue records, use one of three basic
methods: scanning the files, maintaining a charge-out log or
using a follow-up files.
 A charge-out log – keeps a running record of borrowed file
materials.
 The charge-out log requires the following information:
 The record description
 Borrower‟s name
 Charge-out date
 Due date for return
 Date actually returned
 Date for sending overdue notice
 A new extended date

ELECTRONIC CHARGE-OUT AND FOLLOW-UP SYSTEMS

(USING BARCODE)

 File tracking – is a method of knowing where charged-out

records are when you need them.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 109

In general, a complete barcoding system includes 4

components:

 The barcodes
 A barcode scanners
 A recharger/downloader
 A personal computer and software
 The barcodes
 Each barcode is unique but does not contain any specific
document information.
 Identifying info unique to each record must be entered into
the computer.

 A barcode scanners
 Are the barcode data collection devices.
 Portable hand-held or battery-powered, the barcode
scanner passes over the barcodes.
 MANUAL 13 ED. SEM MARCH 2020-JULY 2020 110

 A recharger/downloader
 Transfer the data from the portable hand-held scanner to
the computer.
 When the scanner is connected to the
recharger/downloader, the data stored in the scanner is
downloaded to the computer and the power batteries in the
scanner are recharged.

 A personal computer and software

 Convert the scanned data into useful info.
 When scanner data are downloaded to the computer, a
variety of useful info may be computer-generated.

(QUIZ 2 – CHAPTER 4, 5 AND 6)

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REFERENCES

Rusnah Johare (2001). Records Management Handbook: A

guidance torecords management in an agency. Kuala
Lumpur: Univision Press.

Fosegan, J. S. and Ginnn, M. L. (2000). Business Records

Control. 8th ed. Ohio: Southern.

Smith, Judith Read, et al (2002) Records Management. 7th ed.

Ohio: Southern-Western Educational Publishing.
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PART B

COMPILATION
OF
EXAM QUESTIONS