OST184 Records Management Chapter 9 Numeric Records Management

Numeric Records Management Any classification system for arranging records that is based on numbers. Numbers used in storing records are assigned to records to identify their locations in a file. The number can be preprinted on the record (such as a purchase order or invoice number), or it may be assigned to the record based on the type of numeric filing arrangement. Records are filed by number in ascending order – from lowest to the highest number.

Numeric Records Management Often used in organizations that store and retrieve very large numbers of records and that have a need to preserve confidentiality of their records and information. Numbers are impersonal; the information they represent is dependent on the numbering system and it not immediately accessible to persons other than users of the system. Anyone who happens to see an open file drawer, file shelf, or file folder cannot readily identify the contents.

Numeric Records Management The use of numbers is part of everyday work routines. Physicians, hospitals, dentists, and other medical-related organizations assign patient numbers to patient history records. State automobile license departments use license place numbers. Human Resource departments - use employee numbers. Banks/financial institutions store records by customer account numbers. Lawyers, architects, and building trade firms – use case numbers, project numbers, contract numbers, or job numbers. Social welfare agencies – use case numbers and social security numbers. Insurance companies – use policy and claim numbers. Codes are used to enter cars, buildings, offices, etc. Passwords and usernames required for accessing computers and also for accessing online accounts.

Numeric Records Management The components and procedures for filing numerically are similar for all numeric records management systems. Expanding files is easy with a numeric filing system. An unlimited set of available numbers (compared with the limitation of 26 alphabetic characters) allows the addition of numbers, folders, and storage units without transferring current files. In an alphabetic file, adding files in one section of the alphabet requires moving folders in all drawers or on all shelves that follow the expanded section.

Numeric Records Management Numbering methods for numeric filing are categorized as: Consecutive numbering. Nonconsecutive numbering. Numeric coding used in combination with geographic or subject filing.

Consecutive Numbering Method The most frequently used method of numbering records for storage assigns number to records in sequence. Also called serial, sequential, and straight numeric. Consecutively numbered records are arranged in ascending number order – from the lowest number to the highest number. Numbers begin with 1, 100, 1000, or any other number and progress upward. Office forms such as invoices, sales tickets, and purchase orders are numbered consecutively.

Consecutive Numbering Method Components: Numbered guides and folders for the numbered file records storage. Alphabetic guides and folders for the general alphabetic file. Accession log. Alphabetic index.

Numeric Guides and Folders Primary Guides divide the drawer into easy-to-find numeric segments. Usually, one guide is provided for every ten folders. Consecutively numbered individual folders 250 through 259 are placed behind a corresponding guide number for Section 250. Folders can show the names of the correspondents to the right of the number on the label if secrecy is not a factor.

Alphabetic Guides and Folders A general alphabetic file holds records of correspondents whose volume of correspondence is small or have not yet been assigned numbers. The general alphabetic file should be placed at the beginning of the numeric file because expansion occurs at the end of a consecutively numbered arrangement. In most offices, individually numbered folders are not prepared until a predetermined number of pieces of correspondence has accumulated for one correspondent or when a correspondent’s file is expected to be active.

Accession Log Also called an accession book or numeric file, is a serial list of numbers assigned to records in a numeric storage system. This log provides the numeric codes assigned to correspondents. The next number available for assignment is obtained from this log. This prevents a filer from assigning the same number twice. Names and subjects are entered into the accession log in indexed order.

The index should be accurate and up-to-date. Alphabetic Index A reference to a numeric file, organized alphabetically, that is used when the name or subject is know but not the assigned number. For a numeric-subject system, it may be called a relative index. To retrieve a record, the first source of location information is the alphabetic index. If a code is not found, the filer then checks the general alphabetic file to locate the record. The index should be accurate and up-to-date.

Coding Code the filing segment and identify any needed cross-references by marking an X in the margin and underlining the cross-reference name or subject with a wavy line. Assign either a number of the letter “G” (for general) by writing it in the top right corner of the record.

When accumulation of correspondence has occurred in the general folder, take the following steps: Consult the accession log to determine the next available number. Enter the name of the correspondent or subject and the file code number into the database file or the manual accession log. Record the current date. Locate the correspondent’s name in the alphabetic index. Replace the “G” with the file code number. Locate all cross-references for the subject or correspondent’s name. In the alphabetic index, change the “G” on all the cross-reference entries to the file code number followed by an X. Re-code all the records removed from the general file by crossing out the G and writing the assigned file code number above or beside it. Prepare a new folder with the assigned file code on its tab. Place all records in the new folder with most current on top. Place the numbered folder in its correct numeric sequence into the number file.

Advantages of Consecutive Numbering Re-filing of numerically coded records is rapid because people recognize number sequences better and faster than alphabetic sequence. Expansion is easy and unlimited. New numbers can be assigned without disturbing the arrangement of existing folders. Transfer of inactive records I easy because the lowest numbers are the oldest records and are stored together. Security is provided. All records for one customer bear the same numeric code, keeping related records together. Misfiled records are detected easily.

Disadvantages of Consecutive Numbering Consecutive numeric is an indirect access method that requires reference to an alphabetic index. More guides are necessary for the numeric method; therefore, the cost of supplies can be higher. Congestion occurs around the end of the file where new records are added. Numbers can easily be transposed, which causes misfiles.

Nonconsecutive Numbering Methods System of numbers that has blocks of numbers omitted. Uses a sequential order that differs from a consecutive order of numbers normally read from left to right. Three methods utilized: Terminal-digit Middle-digit Chronologic

Terminal Digit Numeric storage in which the last two or three digits of each number are used as the primary division under which a record is filed. Groups of numbers are read from right to left. The digits in the number are usually separated into groups by a space or hyphen. Breaks large numbers into groups of digits and overcomes the disadvantage of congestion that can occur at the end of a consecutive numeric storage area. Numbers may be assigned sequentially, or the digit groups may mean something specific. (customer ID – sales district – branch) Groups of numbers are identified as primary, secondary, and tertiary numbers reading from right to left.

The numbers in bold determine the correct numeric order The primary numbers are the same here - so the secondary numbers are used. The primary numbers and secondary numbers are the same here - so the tertiary numbers are used. Primary numbers usually indicate a drawer or shelf number.

Figure 9.9 This is an arrangement of folders in a portion of shelf 32. The secondary numbers determine the primary guide captions. The section of the shelf begins with guide 24-32. Records are arranged behind each guide by the tertiary numbers.

Figure 9-10 As new folders are stored, new secondary guides are added to separate each group of ten folders.

Middle-Digit Storage A numeric storage method in which the middle digits are used as the finding aid to organize the filing system. It uses the middle two or three digits or each number as the primary division under which a record is filed. Groups of numbers are read from the middle to left to right. Primary numbers are in the middle; numbers to the left are secondary; and numbers to the right are tertiary, or last.

Figure 9.11 Here, all records with middle digits 70 are stored in one section. The digits on the left determine record sequence within the 70 drawer, followed by the digits on the right. The left digits determine the primary guide captions 05-70, 06-70, and 07.70.

Chronologic Storage A method by which records are filed in date sequence, either in reverse sequence (with most recent date on top) or forward sequence (with earliest or oldest date on top). Not suites for daily correspondence; however, is often used for daily reports, deposit slips, freight bills, statements, and order sheets that may be best stored by date.

Other Numeric Coding Systems