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Technical Bulletin: Selecting the Best Filing System

Grateful acknowledgement to the Local Records Division of the Texas State Library which published an earlier version of this article as a series in The Local Record in the summer of 1990.

Records management in a university has one main goal: the systematic control of records from creation to ultimate disposition. A key element in achieving this goal is the establishment of efficient and effective procedures for filing and retrieving records.

There is no one best filing system for every situation. This overview is meant to offer suggestions and recommendations for the selection, implementation, and maintenance of different types of filing systems. Each university office must determine the most appropriate methods of filing paper records and arranging records in other formats such as microfilm, audio-visual material, and electronic media. Because paper is the most common medium for the recording of information, this article will be concerned with hard copy filing systems.

Filing Schemes

The selection of an appropriate filing system requires knowledge of the information needs of your office. There are three basic filing systems or schemes:

• Alphabetical: Using letters of names, subjects, or geographic locations.
• Numerical: Using digits in various combinations, including dates in a chronological system.
• Alphanumerical: Using a combination of letters and numbers.

Within these three systems you may choose any number of modifications and variations to suit your office.

Because each system has distinct advantages and disadvantages, the first step in selecting an appropriate system is to look carefully at the record keeping practices of your office. There are four main characteristics to examine:

• How records are used or referenced. The nature of the records and how they will be requested should be the first determining factor in your selection of a system. For example, if vendor files are referenced by name, alphabetical arrangement is indicated; invoices called for by number will best be filed in a numerical system; and correspondence, if retrieved by subjects, should be filed alphabetically by subject.
• How many records are maintained. In an office that maintains a small volume of records and few record series, alphabetical systems are usually adequate. In an office where more records are maintained and the filing system may need to be more expandable, the better choice may be a numerical or alphanumerical system.
• Size of the office. The size of your office usually dictates the number of individuals responsible for the filing of records, as well as those who are authorized to have access to the files. Usually, although there are exceptions, the larger the office, the greater the number of the people who will process and use the records.
• Who uses the records. The system you select should be appropriate to the people using the records. A subject classification system may be more useful for records that are best defined by specialized topics, whereas records which fall into easily identified groups and which are accessed by many employees are better arranged by number.

Access Systems

Another consideration in selecting the filing system most appropriate for your office is the access system. There are two types: direct access and indirect access.

A direct access system allows a person to locate a particular record by going directly to the files and looking under the name of the record. Alphabetical systems are generally designed to be direct access systems.

An indirect access system is one in which an index or authority file must first be consulted to determine the special code assigned to a record. Numerical and alphanumerical filing systems and alphabetical subject systems are often indirect access systems. You must decide which access method is best suited to your office or department. When making your decision, there are features of each which should be considered.

Features of a Direct Access System

1. Records can be located by going directly to the files.
2. Since there is no index listing to update or consult, time is saved in both filing and retrieving records.
3. File guides that show names frequently used can speed up the filing and retrieval processes.
4. The system is cumbersome to use when storing a large volume of records.
5. Frequent confusion and congestion can occur when dealing with files that contain common, similar, or identical names.
6. Duplication of records is a common problem; there is no index to show that a file for a particular name already exists under another heading.

Features of an Indirect Access System

1. Use of an index is required to obtain the code assigned to a record; the index must be consulted before a record can be located.
2. Security is provided for all records in the files. Individuals without access to the coding system cannot gain access to specific records.
3. The system is most efficient when sorting a large volume of records.
4. Duplication of records can be avoided because each code is used only once.
5. Greater accuracy in filing and retrieving is generally provided.
6. Several different sets of files and indexes are necessary to maintain control.
7. Misfiled records can be difficult to locate.
8. Considerable time is often needed to train new staff in the use of the system.

System Evaluation

Here are some questions to ask about any system you are considering. These same questions can also be used to evaluate an existing filing system.

• Is the system logical? Logic speeds learning, so staff members do not have to rely on memory alone. The method behind the system should be clear and should follow a definable line of reasoning.
• Is the system practical? Does it do what you want it to do? The system should not be so sophisticated or complex that it fails to serve the purpose for which it was designed.
• Is the system simple? Simple here means easy to learn. The system should be as straightforward as possible, with little (or preferably no) room for interpretation.
• Is the system functional? Does it relate to the function of the records it addresses? As mentioned earlier in the selection characteristics, an alphabetical system would not be suited to records searched by number, and numerical system would be inappropriate for records requested by name alone.
• Is the system retention-conscious? Your filing system should be linked to your records control schedule in a way that allows you to remove records from active to inactive storage, and to remove those with expired retention periods. These activities should be done according to the university records retention schedule.
• Is the system flexible? You should be able to expand it when needed. Additional or different classifications might be needed in the future. Your office may experience unforeseen growth, so your filing system should be able to accommodate growth as well.
• Is the system standardized? The terms used in the general classification plan should be standardized, because using different terms to describe the same record or subject will cause confusion. Also, there should be a written set of rules that all filing personnel follow to avoid lost files, misfiles, and unplanned duplication of records and filing locations. For instance, one person should not file correspondence under the name of the sender if your office rule is to file under the topic of the document.

Editor's Note: In the next issue of The OSU Record, we will examine in greater detail alphabetical, numerical, and alphanumerical filing systems.