Records Filing and Indexing Rules 4/20/2017 Records Filing and Indexing Rules Update 2010 Fall COMP7780

Records Filing A filing method, sometimes called storing method, describes the way in which records are stored in a container, such as cabinet. Filing is done to facilitate retrieving information Follow filing methods, procedures and rules COMP7780

Filing Methods Alphabetic Subject Numeric Geographic Most common method Storing and arranging records according to letters of the alphabet Subject storing and arranging records by their subject or topic Numeric Storing and arranging records based on numbers Geographic storing and arranging records by geographic location COMP7780

Filing Procedures Inspect Index Code Cross-Reference Sort Store Check for release mark of a record to determine whether it is ready for filing Index Read content to determine filing segment Code Mark filing units on record Cross-Reference Indicate record location under alternate filing segments Sort Arrange records by filing segment Store Place record in appropriate folder BSIM0012

Indexing Rules Procedures that describe how the filing segments or indexing units are selected and ordered ARAM international alphabetic indexing rules ARMA International, Establishing Alphabetic, Numeric and Subject Filing Systems, 2005 ANSI/ARMA standard COMP7780

Part I Alphabetic Indexing Rules 4/20/2017 Part I Alphabetic Indexing Rules June 11, 2009 COMP7780

Alphabetic Records Management Most common method A method of storing and arranging records according to letters of the alphabet COMP7780

Indexing Selecting filing segment On incoming correspondence, the name for storage purposes is usually in the letterhead On an outgoing letter, the most important name is usually in the letter address When both the company and the name of the individual are shown, use the company name On a personal letter, the writer’s name usually should be used for storage COMP7780

Alphabetic Indexing Rules (1-5) Indexing Order of Units Minor Words and Symbols in Business Names Punctuation and Possessives Single Letters and Abbreviations Titles and Suffixes COMP7780

Rule 1A: Indexing Order of Units A. Personal Names Surname (last name) is the key unit Given name (first name) or initial is the second unit Middle name or initial is the third unit If determining the surname is difficult, consider the last name written as the surname. COMP7780

Coding —Personal Name Personal Name: Laura J. Huff Complete name is the filing segment HUFF is the key unit LAURA is the second unit J is the third unit COMP7780

Examples of Rule 1A COMP7780

Rule 1B: Indexing Order of Units B. Business Names Index as written using letterhead or trademarks as guides. Each word in a business name is a separate unit. Business names containing personal names are indexed as written. COMP7780

Coding—Business Name Business Name: Huff and Sons, Construction Entire name is the filing segment HUFF is the key unit AND is the second unit SONS is the third unit CONSTRUCTION is the fourth unit COMP7780

Examples of Rule 1B COMP7780

Rule 2: Minor Words in Business Names Articles, prepositions, conjunctions, and symbols are considered separate indexing units. Articles: A, AN, THE Prepositions: AT, IN, OUT, ON, OFF, BY, TO, WITH, FOR, OF, OVER Conjunctions: AND, BUT, OR, NOR COMP7780

Rule 2: Symbols in Business Names Symbols are considered as spelled in full. Symbols: &, ¢, $, #, % (AND, CENT or CENTS, DOLLAR or DOLLARS, NUMBER or POUND, PERCENT) When “The” appears as a first word of a business name, it is considered the last indexing unit. COMP7780

Examples of Rule 2 COMP7780

Rule 3: Punctuation and Possessives All punctuation is disregarded when indexing personal and business names. Commas, periods, hyphens, apostrophes, dashes, exclamation points, question marks, quotation marks, underscores, and diagonals (/) Names are indexed as written. COMP7780

Examples of Rule 3 COMP7780

Rule 4A: Single Letters and Abbreviations A. Personal Names Initials in personal names are considered separate indexing units. Abbreviations of personal names and nicknames are indexed as they are written. COMP7780

Rule 4B: Single Letters and Abbreviations B. Business Names Single letters in business and organization names are indexed as written. If single letters are separated by spaces, index each letter as a separate unit. An acronym (ARMA or GMAC) is indexed as one unit regardless of punctuation or spacing. Abbreviated words and names are indexed as one unit regardless of punctuation or spacing. COMP7780

Examples of Rule 4 COMP7780

Rule 5A: Titles and Suffixes A. Personal Names A title before a name, a seniority suffix, or a professional suffix is the last indexing unit. Title before a name (Dr., Mr., Ms., Prof.) Seniority suffix (II, III, Jr., Sr.) Professional suffix (CRM, DDS, Mayor, Ph.D.) Numeric suffixes (II, III) are filed before alphabetic suffixes (Jr., Mayor, Senator) If a name contains both a title and a suffix, the title is the last unit. Royal and religious titles followed by either a given name or a surname only (Father Leo, Princess Anne) are indexed and filed as written. COMP7780

Examples of Rule 5A COMP7780

Rule 5B: Titles and Suffixes B. Business Names Titles in business names are indexed as written. COMP7780

Examples of Rule 5B COMP7780

Alphabetic Indexing Rules (6-10) Prefixes, Articles, and Particles Numbers in Business Names Organizations and Institutions Identical Names Government Names COMP7780

Rule 6: Prefixes—Articles and Particles A foreign article or particle in a personal or business name is combined with the part of the name following it to form a single indexing unit. The indexing order is not affected by a space between a prefix and the rest of the name, and the space is disregarded when indexing. COMP7780

Examples of Articles and Particles a la Il Per D’, Da, De, Del, De La, Della, Den, Des, Di, Dos, Du L’, La, Las, Le, Les, Lo, Los Saint, San, Santa, Santo, St., Ste. E’, El M’, Mac, Mc Te, Ten, Ter Fitz O’ Van, Van de, Van der, Von, Von der

Examples of Rule 6 COMP7780

Rule 7: Numbers in Business Names Numbers spelled out (Seven Lakes Nursery) in business names are filed alphabetically. Numbers written in digits are filed before alphabetic letters or words. Names with numbers written in digits in the first units are filed in ascending order (lowest to highest number) before alphabetic names (229 Club, 534 Shop, First National Bank of Chicago). COMP7780

Rule 7: Numbers in Business Names (cont’) Arabic numerals are filed before Roman numerals (2, 3, II, III). Names with inclusive numbers (20-39 Singles Club) are arranged by the first digit(s) only (20). COMP7780

Rule 7: Numbers in Business Names (cont’) Names with numbers appearing in other than the first position (Pier 36 Cafe) are filed alphabetically and immediately before a similar name without a number (Pier and Port Cafe). When indexing names with numbers written in digit form that contain st, d, and th (1st, 2d, 3d, 4th), ignore the letter endings and consider only the digits (1, 2, 3, 4). COMP7780

Examples of Rule 7 COMP7780

Rule 8: Organizations and Institutions Indexed and filed according to the names written on their letterheads Examples of organizations and institutions Banks Hotels Newspapers Clubs Lodges Religious institutions Colleges Magazines Schools Hospitals Museums Unions COMP7780

Examples of Rule 8 COMP7780

Rule 9: Identical Names Compare identical personal or business names in the following order City names State or province names (if city names are identical) Street names (if city and state names are identical) House or building numbers (if city, state and street names are identical) COMP7780

Rule 9: Identical Names (cont’) Street names, including Avenue, Boulevard, Drive, and Street (if city and state names are identical) If first units of streets names are written in numbers, the names are considered in ascending order (1, 2, 3) and placed before alphabetic street names. Street names with compass directions (North, South, East and West) are considered as written. Numbers written as digits after compass directions are considered before alphabetic names. COMP7780

Rule 9: Identical Names (cont’) House or building numbers (if city, state and street names are identical) House and building numbers written as digits are considered in ascending order and placed together before spelled-out building names. If a street address and a building name are included in an address, disregard the building name. ZIP Codes are not considered in determining filing order. COMP7780

Examples of Rule 9 Names of Cities Used to Determine Filing Order COMP7780

Examples of Rule 9 Names of States and Provinces Used to Determine Filing Order COMP7780

Examples of Rule 9 Names of Streets Used to Determine Filing Order COMP7780

Rule 10A: Local and Regional Government Names First indexing unit is the name of the county, city, town, township, or village. Index the most distinctive name of the government/political division. “County of,” “City of,” “Department of,” are retained for clarity and are considered separate indexing units. COMP7780

Examples of Rule 10A COMP7780

Rule 10B: State or Government Names First indexing unit is the name of the state or province. Index the most distinctive name of the government/political division. “State of,” “Province of,” “Department of,” are retained for clarity and are considered separate indexing units. COMP7780

Examples of Rule 10B COMP7780

Rule 10C: Federal Government Names Use three indexing levels for the United States Government First level: United States Government Second level: Name of department Third level: Most distinctive name COMP7780

Examples of Rule 10C COMP7780

Rule 10D: Foreign Government Names The distinctive English name is the first indexing unit for foreign government names. Index the balance of the formal name of the government, if needed. Branches, departments, divisions follow in order by their distinctive names. COMP7780

Examples of Rule 10D COMP7780

Part II Cross-Reference 4/20/2017 Part II Cross-Reference June 11, 2009 COMP7780

Cross-Reference Shows alternate name for a record Shows the location of the record Direct attention to one or more related items CRAFT AND BURNS INC 106 Craft & Burns, Inc. 489 Maple Ave. Iowa City, IA 52245-0350 Card Record Cross-reference BURNS AND CRAFT INC 106X SEE CRAFT AND BURNS INC COMP7780

Cross Referencing Personal Names Business Names 4/20/2017 Cross Referencing Personal Names Unusual names Hyphenated surnames Alternate names Similar names Business Names Compound names Abbreviations and acronyms Foreign Business and Government Names Translated names COMP7780

Filing Segment and Cross-Reference Marked COMP7780

Examples of Cross-Referencing Unusual Personal Names COMP7780

Examples of Cross-Referencing Hyphenated Surnames COMP7780

Examples of Cross-Referencing Alternate Names COMP7780

Examples of Cross-Referencing Similar Names COMP7780

Examples of Cross-Referencing Compound Business Names

Examples of Cross-Referencing Abbreviations and Acronyms COMP7780

Examples of Cross-Referencing Popular and Coined Names COMP7780

Examples of Cross-Referencing Hyphenated Names COMP7780

Examples of Cross-Referencing Divisions and Subsidiaries COMP7780

Examples of Cross-Referencing Changed Names COMP7780

Examples of Cross-Referencing Similar Names COMP7780

Cross-Reference: Foreign Business and Government Names Original spelling is often in the foreign language. Translate into English for coding. Cross-reference sheet is prepared and placed in order by the foreign business and government name. COMP7780

Examples of Cross-Referencing Foreign Business Names COMP7780

Examples of Cross-Referencing Foreign Government Names COMP7780

Discussion Can a common Database Management System (like Microsoft Access) be used to help such filing? How? Are there any problems? COMP7780