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Update 2010 Fall1COMP7780
RECORDS MANAGEMENT
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
Records FilingRecords Filing
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Alphabetic ◦ 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
Filing MethodsFiling Methods
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Inspect◦ 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
Filing Procedures Filing Procedures
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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
Indexing RulesIndexing Rules
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Alphabetic Records Alphabetic Records ManagementManagement Most common method A method of storing and arranging records
according to letters of the alphabet
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IndexingIndexing 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
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Alphabetic Indexing Rules (1-Alphabetic Indexing Rules (1-5)5) Indexing Order of Units Minor Words and Symbols in Business
Names Punctuation and Possessives Single Letters and Abbreviations Titles and Suffixes
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Rule 1A: Rule 1A: Indexing Order of UnitsIndexing 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.
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Coding —Personal Name 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
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Examples of Rule 1AExamples of Rule 1A
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Rule 1B: Rule 1B: Indexing Order of UnitsIndexing 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.
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Coding—Business NameCoding—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
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Examples of Rule 1BExamples of Rule 1B
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Rule 2: Rule 2: Minor Words in Business Minor Words in Business NamesNames 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
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Rule 2: Rule 2: Symbols in Business NamesSymbols 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.
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Examples of Rule 2Examples of Rule 2
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Rule 3: Rule 3: Punctuation and Punctuation and PossessivesPossessives
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.
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Examples of Rule 3Examples of Rule 3
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Rule 4A: Rule 4A: Single Letters and Single Letters and AbbreviationsAbbreviations
A. Personal Names◦ Initials in personal names are considered separate
indexing units.◦ Abbreviations of personal names and nicknames
are indexed as they are written.
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Rule 4B: Rule 4B: Single Letters and Single Letters and AbbreviationsAbbreviations
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.
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Examples of Rule 4Examples of Rule 4
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Rule 5A: Titles and Rule 5A: Titles and SuffixesSuffixes
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.
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Examples of Rule 5AExamples of Rule 5A
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Rule 5B: Rule 5B: Titles and SuffixesTitles and Suffixes
B. Business Names◦ Titles in business names are indexed as written.
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Examples of Rule 5BExamples of Rule 5B
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Alphabetic Indexing Rules (6-Alphabetic Indexing Rules (6-10)10) Prefixes, Articles, and Particles Numbers in Business Names Organizations and Institutions Identical Names Government Names
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Rule 6: Rule 6: Prefixes—Articles and Prefixes—Articles and ParticlesParticles
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.
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Examples of Articles and Examples of Articles and ParticlesParticles
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
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Examples of Rule 6Examples of Rule 6
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Rule 7: Rule 7: Numbers in Business NamesNumbers 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).
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Rule 7: Rule 7: Numbers in Business Names Numbers in Business Names (cont’)(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).
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Rule 7: Rule 7: Numbers in Business Names Numbers in Business Names (cont’)(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).
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Examples of Rule 7Examples of Rule 7
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Rule 8: Rule 8: Organizations and Organizations and InstitutionsInstitutions
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
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Examples of Rule 8Examples of Rule 8
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Rule 9:Rule 9:Identical NamesIdentical 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)
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Rule 9: Identical Names Rule 9: Identical Names (cont’)(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.
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Rule 9: Identical Names Rule 9: Identical Names (cont’)(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.
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Examples of Rule 9Examples of Rule 9
Names of Cities Used to Determine Filing Order
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Examples of Rule 9Examples of Rule 9
Names of States and Provinces Used to Determine Filing Order
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Examples of Rule 9Examples of Rule 9
Names of Streets Used to Determine Filing Order
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Rule 10A:Rule 10A:Local and Regional Local and Regional Government NamesGovernment 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.
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Examples of Rule 10AExamples of Rule 10A
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Rule 10B:Rule 10B:State or Government NamesState 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.
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Examples of Rule 10BExamples of Rule 10B
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Rule 10C:Rule 10C:Federal Government NamesFederal 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
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Examples of Rule 10CExamples of Rule 10C
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Rule 10D:Rule 10D:Foreign Government NamesForeign 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.
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Examples of Rule 10DExamples of Rule 10D
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Cross-ReferenceCross-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
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
BURNS AND CRAFT INC 106X
SEE CRAFT AND BURNS INC
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Cross ReferencingCross 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
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Filing Segment and Cross-Filing Segment and Cross-Reference MarkedReference Marked
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Examples of Cross-Examples of Cross-Referencing Unusual Personal Referencing Unusual Personal NamesNames
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Examples of Cross-Examples of Cross-Referencing Hyphenated Referencing Hyphenated SurnamesSurnames
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Examples of Cross-Examples of Cross-Referencing Alternate NamesReferencing Alternate Names
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Examples of Cross-Examples of Cross-Referencing Similar NamesReferencing Similar Names
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Examples of Cross-Examples of Cross-Referencing Compound Referencing Compound Business NamesBusiness Names
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Examples of Cross-Examples of Cross-Referencing Abbreviations Referencing Abbreviations and Acronymsand Acronyms
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Examples of Cross-Examples of Cross-Referencing Popular and Referencing Popular and Coined NamesCoined Names
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Examples of Cross-Examples of Cross-Referencing Hyphenated Referencing Hyphenated NamesNames
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Examples of Cross-Examples of Cross-Referencing Divisions and Referencing Divisions and SubsidiariesSubsidiaries
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Examples of Cross-Examples of Cross-Referencing Changed NamesReferencing Changed Names
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Examples of Cross-Examples of Cross-Referencing Similar NamesReferencing Similar Names
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Cross-Reference:Cross-Reference:Foreign Business and Foreign Business and Government NamesGovernment 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.
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Examples of Cross-Examples of Cross-Referencing Foreign Business Referencing Foreign Business NamesNames
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Examples of Cross-Examples of Cross-Referencing Foreign Referencing Foreign Government NamesGovernment Names
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Can a common Database Management System (like Microsoft Access) be used to help such filing?
How? Are there any problems?
DiscussionDiscussion
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