FILING

AND
INDEXING
What is Filing?
Filing is a process of inserting the item to
proper folder to make a file and arranging them
into filing storage equipment.

The first step in creating a filing system is

to develop a file plan. This plan consists of:
•Selecting the file arrangement (e.g.
alphabetical, numerical, alphanumeric, etc.)
•How files will be accessed
•Developing an index
FILE ARRANGEMENT
Alphabetical Filing
These may be topical or classified arrangements. Topical filing
arranges files in straight alphabetical order. Classified filing
places related documents under a major sub-heading. An
alphabetical arrangement also is appropriate for filing records
that are arranged by geographical locations, such as cities,
towns or counties.
Advantages of Alphabetical Filing
• An index to records may not be needed
• Can be effective, if everyone adheres to filing rules
• Permits browsing through files
 Disadvantages of Alphabetical Filing
• More misfiling occurrences than in numerical systems.
Misfiles occur frequently with alphabetical filing due to
different interpretations of order
• Name changes can cause problems with retrieval
• It becomes inefficient and cumbersome in large systems
• Unauthorized persons can easily find records
Numerical Filing
A numerical arrangement places records in order from the
lowest number to the highest. This method also often tells the
searcher which files are the oldest (the lowest numbered files)
and which are the newest (the higher numbered files).
Numerical filing includes straight numeric, duplex numeric,
decimal and chronological filing systems.
Advantages of Numerical Filing
• Users understand straight numerical sequences
(1,2,3,4,5,6, etc.) quicker than some alphabetical schemes.
• Filing expansion is easier, because new numbers may be
assigned without disturbing the arrangement of existing
folders.
• Misfiles can be quickly identified because the number out
of sequence is easily detected if color-coding is used.
Disadvantages of Numerical Filing
• Then the researcher must first look at an index which cross-
references the number with the name.
• The file system is always growing in one direction at the
end. When new files are created and old ones are retired, file
personnel must continually shift the files backwards to make
room for new files at the highest number end of the system.
Alpha-Numeric Filing
An alpha-numeric arrangement uses a combination of numeric
digits and alphabet characters to create a flexible filing system.
Subjects may be substituted with alphabetical or numerical codes.
An index is needed to use the system effectively. For example,
ADM-001 could be a code for Administrative files, Director's
Correspondence. All records that relate to this subject would be
filed under that particular code.

Advantages of Alpha-Numeric Filing

• Codes eliminate the need for long titles.

• File security is increased because a user must
know, as in a purely numerical system, the
meaning of codes before accessing files.
Disadvantages of Alpha-Numeric Filing
• Users must first consult an index before
accessing files
• Users must be trained, and, even then, one user
may interpret where to file a document
differently than another, leading to confusion
and a breakdown of the filing order.
• Misfiles are common and are difficult to detect.
ACCESS

Direct Access
A direct access plan allows the user to access the
file without first referring to an index. Direct access
may be ideal for small offices that produce a low
volume of records. (Example: If it is easier to find
information by a person's name, the system would be
alphabetical. One looks for the file directly by the
name.)
Advantages of a Direct Access System
• Eliminates the need for an index.
• Allows users to browse through files.
• Time associated with filing and records
retrieval is reduced.
• Users require little or no training to access
the system
 Disadvantages of a Direct Access System
• Filing for large systems becomes cumbersome
• Selecting terminology names may be difficult with
subject files
• File captions may be longer than codes; filing is
tedious.
Indirect Access
An indirect access system requires the use of an index or
codes to locate a file, such as assigning a number to a file.
An indirect access system generally is used for large or
complex filing systems. It may require the use of
automated equipment to locate the files, as well as
knowledge of the coding system.
Advantages of an Indirect Access System
• Codes are easier to note and refer to on a document or
folder than word captions.
• Sorting is easier
• Greater accuracy in filing and retrieving is achieved with
the use of codes.
• Security of the files is enhanced because users unfamiliar
with the system will have difficulty accessing documents.
Disadvantages of an Indirect Access System
• User access is dependent on the accuracy of the
index.
•Coding and indexing are time consuming.
• Browsing is not feasible.
Indexing
Deciding where to file a record is called indexing.
In some offices, the person releasing the material marks
the index reference or code. Some of the more common
suggestions for selecting indexing references are: The
name of the firm or individual; subject or name within the
body of the letter; special file section title where
maintained, for example, Job Application; of letters, the
name of the writer. Reference to the relative index for
the files may give some clues as to selecting a category
for an item that is difficult to index.
 An index is a dictionary-type listing that shows all
possible words and word combinations by which material
may be requested. The items are arranged in a searchable
order, such as alphabetical, numerical, chronological,
hierarchical or arbitrarily systematic.
Without a relative index, it is difficult for employees
to operate a subject file. An example of relative index is
found on the first pages of the yellow pages of the
telephone directory.
The index is also a cross-reference system because
it contains all titles under which material may be filed. If the
index is kept on cards, additional information such as status
of the file when it began, may be accumulated about the file
itself.
 An index is known by many other names,
depending on the body of knowledge that it covers. It may
be called a dictionary, thesaurus, Catalog, authority list,
access guide or a relative index. The subject headings
contained in the index may also be known as key words,
topics, items, concepts or descriptors. This is not to imply
that the words can be used interchangeably, but rather that
the concept is basic to a searching system.
Functions of an Index
Indexes vary in organization, format, vocabulary,
breadth of selection, and depth of analysis, depending on
the type of the collection and the use made of both the
index and the collection. Therefore, the type of index used
depends on the kind of material contained in the
collection, the range of questions posed by the users, and
the mechanical devices available to search the collection.
 Because the users and their needs are among
the chief considerations in developing an index, the
users’ vocabulary should be considered in selecting
headings for the index. These headings should be used
consistently so that users can develop a frame
reference. The form of multiple word headings depends
upon the kind of material indexed and the search habits
of the prospective users. Typical factors to be
considered are whether the full legal names of
companies or organizations should be used, whether
the users of the file familiar with them, and whether
some cross-referencing would be helpful.
 Synthetical index brings together like items or
concepts, as in coordinate indexing system.

Analytical index isolates single items or

concepts, as in index of specific topics to information
included under broader headings, such as
encyclopedia index.

Hierarchical index is based on an orderly

relationship of items or concepts such as in
classified index.
Quality of an Index
The quality of an index depends on a compromise
between user requirements and production capabilities,
such as cost, time limits of preparations and publication,
overall size, and the skill of the indexers and other
personnel. The index should encompass the entire
collection, and exceptions should be noted. (Exceptions
would include limited use of generic names, limited cross-
referencing of synonyms, names changes restricted to the
last few years). An index should supply information not
actually found in the collection when that information
facilitates the use of the index, for example, full names,
name recently adapted or changed, generic names and so
forth.
Catchword Indexing
Key Word In Context
Derived indexing wherein words and phrases
are directly extracted from the contents of the
document to represent its subject content. Title-based
indexes are the most common type of derived
indexing as illustrated by the Key Word in Context
(KWIC) indexes.

Key Word Out of Context

KWOC (Key Word Out of Context) indexes were
designed to more closely imitate the traditional index
format in which the lead terms appear at the left of
headings, rather than down the middle of the column or
page.