Transcript OST184 Records Management

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:
1. Numbered guides and
folders for the numbered
file records storage.
2. Alphabetic guides and
folders for the general
alphabetic file.
3.
Accession log.
4.
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.
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:
1. 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.
2. Locate the correspondent’s name in the alphabetic index. Replace
the “G” with the file code number.
3. 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.
4. 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.
5. Prepare a new folder with the assigned file code on its tab.
6. Place all records in the new folder with most current on top.
7. 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