A Lesson in Numeric Filing

The following lesson was designed by Vaughn Warrington, CRM (President - infofile systems inc.), and used as course material for a College based Records Management course.

For numeric filing a standardized, well documented system is necessary.

How do we maintain standardization

• classification, coding, and filing procedures must be adhered to consistently

1. which type of system to be used
2. an accession log for assigning numbers be developed
3. as numbers assigned, a cross reference (alpha index) is prepared

What is Criteria for Choosing Numeric:

i.e. if numeric filing systems arranged by number

• number can be part of record itself, like an invoice number, or assigned during coding
• numeric is indirect due to index
• so why would it be appropriate?

It is appropriate if one of the following is characteristic of the records system

1. records have a number (unique) affixed to them
   i.e. invoice number
2. records have been assigned a code number that has significance

i.e. number on insurance policy might contain digits that state number of regional office and year of issuance
3. records are confidential and need protection from unauthorized review
   i.e. personnel records

Advantages of Numeric Filing:

• accuracy - arranged numerically is easier than alpha
• positive numbers that may be used for particular type of record in various departments or files
• unlimited expansion
• back-shifting not needed, add on end
• opportunity for liberal and permanent cross referencing
• cross reference appears only in index and not in the files
• index is a complete list of all correspondents and subjects
• confidentiality easier to maintain
• names only in index
• numeric filing facilitates larger volume systems
• numeric lends itself to computer control

Disadvantages of Numeric Filing:

• indirect filing and reference - index then file
• multiple access to index at same time
• two filing methods involved - alpha and numeric, disadvantage both apply
• index is cumbersome
• if index and accession not carefully maintained, items filed in two different places
• maintenance of index is time consuming
• transposition of numbers

General Principles of Numeric Filing:

1. Inspecting - release mark for filing
2. Indexing and coding
3. Sorting - when numbers not preprinted, sort alpha first then code
4. Number coding - check index, if no number then assign number
5. Numeric sorting - rough sort to 10's, 100's
• fine sorting may be needed
6. Filing

Accession Log:

• used to keep track of the numbers that have been assigned to records in all numeric systems
• manual book of numbers and blank lines
• check index assign
• automated assigns numbers automatically

Alpha Index/Cross Reference:

• numbers not known, need index
• correspondent, address, headings
• cross reference - appears in alpha index

What is difference?

• in coding sometimes mnemonic codes used
• has specific meaning utilized
  i.e. date
• functional or simple
• functional - by function or activity - budget purposes
• simple - postal code - drivers license number

Rules of Numeric Filing:
Consistency required to assist in coding and filing - else records can be lost forever
ex: Dates - year, month and date - YR/MO/DA

1. slash 0 , letter O and digit
2. number 1, 7, lower case l, upper case I, lower case i
• #1's = 1
• #7's = 7 no slash
• l's = (lower case l) (no bars)
• I's = (capital I 'eye')(bar top and bottom)
• i's = must be dotted
3. cross the letter Z and round top of 2
4. 4 and 9 = 4 (square) 9 (rounded at top)
5. S and 5 = s/S (rounded) 5 (flat at top)
6. 6 and G = tail on G
7. Convert Roman to Arabic
8. U and V = U (rounder) V (pointed)
9. left parenthesis ( and C = C

Leading zeros

• software determines
• keying of zeros is usually faster than space-bar

Types of Numeric Filing Systems:

• consecutive - straight numeric
• middle digit
• terminal digit
• chronological
• decimal
• alphanumeric
• duplex numeric
• block numeric

Consecutive (Straight numeric, sequential, serial)

• "consecutively numbered records are arranged in exact sequential order."
• usually used when records are pre-numbered.
  i.e. P.O.'s, invoices, checks

Advantages:

• no need to retrain - everyone is familiar with numbers
• easy to expand, add to end
• pull groups that are sequential easier
• items are easily sorted, for filing once they have been coded

Disadvantages:

• most active located in one location, causes congestion
• this makes it difficult to make one clerk responsible for a set of numbers
• must know entire number to find or file accurately
• possibility of transposing digits increases as digits increase
• no satisfactory way to deal with misc. files. Must keep separate alpha files or relative index must provide for misc. files
• purging causes gaps (back tracking)

Middle Digit:

• usually a manual system
• numbers are divided into three groups of two or three digits
• records are filed:
• first by middle digit (primary digits)
• second by left digit (secondary digits)
• thirdly by right digit (tertiary digits)
• when filing, the number is read middle digit to left to right
• even though middle digits are considered first in filing, still listed in consecutive order (in accession log)
• some users are insurance companies, who issue agent 100 files at a time

Advantages:

• converting from consecutive is easier than to terminal digit, due to grouping of 100's
• sorting is easier and more accurate because of 100 divisions
• reduces errors in sorting and filing
• only two sorts usually required
• congestion is eliminated due to equal distribution
• filing clerk responsibility can be assigned
• filing speed increases and fewer misfiles due to assigned responsibility
• clerk's effectiveness increases as familiarity increases
• additional security

Disadvantages:

• records personnel are not always comfortable
• requires retraining of what we have been taught our whole life
• need sufficient time and money to train is required
• files must be rearranged when large blocks of files moved
• usually works best when middle digit is two digits (or six in total)
• three digits means 1,000 divisions or 3rd sort

Terminal Digit Arrangement:

• similar to middle digit except primary, secondary, tertiary
• is right to left in groups of two or three
• if need to make equal groups, zeros can be added to left
• developed to overcome concentration of files in one location
• used readily when large numbers of files
• still consecutive in accession log
• usually used when more than 10,000 files
• hospitals, insurance

Advantages:

• distribution throughout system, eliminates congestion
• transposing digits is less likely as numbers are divided into smaller groups
• large volumes of records are manageable as numbers can be divided
• enhanced security to untrained people
• assigns responsibility
• and its advantages
• sorting is faster and easier, usually only two sorts

Disadvantages:

• accession of sequential numbers requires many retrievals in different locations
• purging is time consuming due to lack of consecutive order
• time consuming to convert
• retraining and resources