1.3 Subject and Geographic Filing

1.3 Subject and Geographic Filing

In many administrative environments, organizing records by personal names or numbers is insufficient. For instance, a municipal purchasing department may need to group files by the items being purchased, or a regional environmental protection agency may need to organize records by county or watershed. In these situations, subject filing and geographic filing systems are deployed.

This section covers the structure and rules of subject filing, geographic filing hierarchies, and the cross-referencing systems that hold these directories together.

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1. Subject-Based Filing Systems

Subject filing is the organization of records by their topic, theme, or category. This method is highly effective for correspondence, project folders, research, and administrative policies.

There are two primary methods for arranging subject files:

Dictionary Subject Order

In a dictionary subject arrangement, folders are labeled with specific topics and arranged in a single, continuous alphabetical sequence from A to Z.

• Example Sequence:
  1. Accounts Payable
  2. Advertising
  3. Benefits
  4. Office Equipment
  5. Travel Expenses
• Best Use Case: Small offices with a limited number of files and distinct, simple subjects.

Encyclopedic Subject Order

In an encyclopedic subject arrangement, folders are organized under broad major headings (primary categories), with specific subtopics (secondary and tertiary categories) grouped alphabetically underneath them.

• Example Structure:
  • HUMAN RESOURCES (Primary Category)
    • Benefits (Secondary Category)
      • Health Insurance (Tertiary Folder)
      • Retirement Plans (Tertiary Folder)
    • Recruitment (Secondary Category)
      • Job Postings (Tertiary Folder)
      • Resumes (Tertiary Folder)
• Best Use Case: Large departments with highly complex records that require hierarchical categorization.

The Challenge of Subject Filing

The greatest challenge of subject filing is its subjectivity. What one clerk classifies as "Office Furniture," another might index under "Equipment" or "Assets." To prevent files from being lost, organizations must maintain an official Master Subject Index—a controlled vocabulary list that details every approved subject heading and subheading.

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2. Geographic Filing Systems

Geographic filing organizes records by physical location. This is the preferred method for utility companies, real estate offices, census bureaus, and organizations with regional operations.

The Geographic Hierarchy

To file documents geographically, you must follow a strict, standardized hierarchy from the largest geographic unit to the smallest. The standard civil service hierarchy is:

1. Country (Primary Unit)
2. State or Province (Secondary Unit)
3. City or Town (Tertiary Unit)
4. Individual Name or Business Name (Quaternary Unit)

If all records are within the same country (e.g., the United States), the country unit is usually omitted, and the hierarchy begins with the State.

Sorting Example:

Consider these records that need to be filed geographically:

• Baker Inc. in San Diego, California, USA
• Adams Co. in Los Angeles, California, USA
• Carter Ltd. in Albany, New York, USA
• Smith Corp. in Toronto, Ontario, Canada

Applying the geographic hierarchy, the sorted order is:

1. Canada, Ontario, Toronto, Smith Corp. (Sorted by Country first: Canada comes before USA)
2. USA, California, Los Angeles, Adams Co. (USA is the country. California is the state. Los Angeles comes before San Diego)
3. USA, California, San Diego, Baker Inc. (San Diego comes after Los Angeles)
4. USA, New York, Albany, Carter Ltd. (New York comes after California)

Note that when the geographic units (Country, State, City) are identical, you sort alphabetically by the business or individual name.

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3. Cross-Referencing Systems

A common problem in filing is that a document may logically belong in more than one folder. For example, a contract between the city and a vendor named "Apex Construction" regarding "Bridge Maintenance" could be filed under the vendor's name (Apex Construction) or the subject (Bridge Maintenance).

To resolve this, records clerks use cross-referencing.

Cross-Reference Sheets and Cards

A cross-reference sheet is a colored form placed in an alternative folder that directs the clerk to the location of the actual document.

• If the contract is physically filed in the Bridge Maintenance subject folder, a cross-reference sheet is placed in the alphabetical folder for Apex Construction.
• The sheet in the Apex folder would read: "Apex Construction. SEE: Bridge Maintenance (Contract #99-01)."

"SEE" vs. "SEE ALSO" References

• "SEE" References: These direct the clerk from an unused name or subject to the correct, active filing name or subject. This is used for mergers, abbreviations, or synonyms.
  • Example: "Department of Motor Vehicles. SEE: DMV."
  • Example: "Xerox Corporation. SEE: Global Document Solutions."
• "SEE ALSO" References: These direct the clerk to related folders that contain complementary information. Both folders contain actual records, but they are related.
  • Example: "Office Supplies. SEE ALSO: Technology Purchasing."

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4. Summary of Filing Steps

Regardless of the filing system used (alphabetical, numerical, subject, or geographic), clerks follow a five-step procedure for processing records:

1. Inspecting: Verifying that the document is released and ready for filing (indicated by a release mark or signature).
2. Indexing: Determining the correct filing units (names, numbers, subjects, or locations).
3. Coding: Marking the indexing units directly on the document (e.g., underlining the primary unit).
4. Sorting: Arranging the coded documents in filing order before going to the cabinets.
5. Filing: Placing the records into the correct folders and cabinets.