1. ARMA Filing Rules

2. Why have rules?

3. “The real test of an efficient records storage system is being able to find records quickly once they have been stored.” “The real test of an efficient records storage system is being able to find records quickly once they have been stored.”

4. Classifying records In order to organize, we must decide how to classify records. In order to organize, we must decide how to classify records.

5. Classifying Records Use Use Transaction Transaction Reference Reference Place of Use Place of Use Internal Internal External External

6. Classifying Records, cont. Value Value Vital (irreplaceable – like titles) Vital (irreplaceable – like titles) Important (costly to replace – personnel records) Important (costly to replace – personnel records) Useful (replaceable – bank statements) Useful (replaceable – bank statements) Nonessential (disposable – phone messages) Nonessential (disposable – phone messages)

7. 1. Why is consistency in filing so important? 1. Why is consistency in filing so important?

8. Indexing Determining the filing segment (or name) by which the record will be stored and retrieved. Determining the filing segment (or name) by which the record will be stored and retrieved. The name most likely to be used in requesting the record is the one to be used for storage. The name most likely to be used in requesting the record is the one to be used for storage.

9. Coding Marking the record to indicate the field (name, number, subject) by which it is to be stored. Marking the record to indicate the field (name, number, subject) by which it is to be stored. / between each word / between each word Underline the key unit Underline the key unit Number remaining units Number remaining units

10. 2. Why are indexing rules important when filing names alphabetically?

11. Rule #1 Personal names Personal names 1. Surname (last name) 2. Given name (first name) 3. Middle name or initial Business names Business names As written (on letterhead) As written (on letterhead) Each word is a unit Each word is a unit

12. Remember: Nothing comes before something. A blank space comes before a letter. Baker / William Bakersly / William

13. Rule #2 – Minor Words and Symbols in Business Names Articles: a, an, the Articles: a, an, the Prepositions: to, at, on, of, for Prepositions: to, at, on, of, for Conjunctions: and, but, or, nor Conjunctions: and, but, or, nor Symbols: &, %, $ Symbols: &, %, $

14. Are separate indexing units Symbols indexed as if spelled out “The” as the first word is considered the last unit.

15. Rule #3 Punctuation All punctuation marks are disregarded All punctuation marks are disregarded Names are indexed as written Names are indexed as written Doggydaycare.com is indexed as doggydaycarecom

16. Rule #4 – Single Letters and Abbreviations Initials in personal names are separate units Initials in personal names are separate units Nicknames are indexed as written Nicknames are indexed as written Business acronyms and abbreviations are indexed as written Business acronyms and abbreviations are indexed as written

17. Rule #5 A title before a name, a seniority suffix, or professional suffix after a name is the last indexing unit. A title before a name, a seniority suffix, or professional suffix after a name is the last indexing unit. Numbers are filed before alphabetic suffixes. Numbers are filed before alphabetic suffixes. Royal and religious titles followed by surname only are indexed as written. Royal and religious titles followed by surname only are indexed as written.

18. Business names --- titles are indexed as written. Business names --- titles are indexed as written.

19. Rule #6 Prefixes – Articles and Particles Prefixes – Articles and Particles “A,” “an,” or “the” in another language used as part of a person’s name De La Hoya De La Hoya D’Agostino D’Agostino Le Fleur Le Fleur

20. Mac or Mc Mac or Mc Von, Van, Von der, Van der Von, Van, Von der, Van der O’ O’ Saint, St., San, etc. Saint, St., San, etc. Ten, Ter, Te Ten, Ter, Te All are combined with the name that follows to form a single unit. Punctuation and spaces are disregarded.

21. Rule #7 – Numbers in Business Names Numbers written as digits are filed before letters or words. Numbers written as digits are filed before letters or words. Numbers spelled out are filed alphabetically. Numbers spelled out are filed alphabetically. Digits are filed ascending. Digits are filed ascending. Arabic numbers before Roman numerals. Arabic numbers before Roman numerals. Disregard ordinal suffixes (rd, nd, etc.) Disregard ordinal suffixes (rd, nd, etc.)

22. Rule #8 – Organizations and Institutions Organizations and institutions are indexed and filed according to the names written on their letterheads. Organizations and institutions are indexed and filed according to the names written on their letterheads. 1 st National Bank = 1/ National/ Bank St. Vincent’s Medical Center = StVincents/ Medical/ Center

23. Rule #9 – Identical Names If two people or organizations have identical names, filing order is determined by address. If two people or organizations have identical names, filing order is determined by address. 1. City name 2. State or province names 3. Street names 4. House or building numbers

24. Rule #10 – Government Names 1. Indexed first by the name of the governmental unit. 2. Indexed next by the distinctive departmental name

25. The first three indexing units of a U.S. federal agency are:UnitedStatesGovernment(always!)

26. State and local government: the first indexing units are the names of the state, town, county, etc. State and local government: the first indexing units are the names of the state, town, county, etc. Next, index the most distinctive departmental/unit name. Next, index the most distinctive departmental/unit name.

27. Foreign government agencies are indexed by the first distinctive English name, then by the rest of the official government name, then by divisions of the government.

28. Cross-References Personal Names Personal Names Unusual Names Unusual Names Kim David could also be David Kim Kim David could also be David Kim Cross reference as: Cross reference as: David Kim See Kim David Hyphenated Surnames Hyphenated Surnames Mary Jones-Stamford needs a cross- reference as: Mary Jones-Stamford needs a cross- reference as: Stamford Mary Jones See JonesStamford, Mary

29. Alternate Names Alternate Names When an individual uses more than one name, such as a professional name (DBA, AKA) Mrs. Jennifer Reed in private life is Ms. Jennifer Jackson in professional life. Jackson Jennifer Ms. See also: Reed Jennifer Mrs.

30. Names with multiple spellings Names with multiple spellings Jason Snyder Jason SnyderSnider See also: Snyder, Shneider

31. Business Names Compound Names Compound Names Jasper, Nilson, and Fister, CPAs should be cross referenced under each name. Nilson, Fister and Jasper, CPAs See Jasper, Nilson, and Fister, CPAs

32. Acronyms and abbreviations Acronyms and abbreviations NELA should be cross referenced: Northwest Educational Loan Association See NELA

33. Popular or Coined Names Spokane Falls Community College should be cross- referenced: Spokane Falls Community College should be cross- referenced:SFCC see Spokane Falls Community College