Records Filing and Indexing Rules Update 2010 Fall

Records Filing and Indexing Rules Update 2010 Fall COMP 7780 1

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 COMP 7780 RECORDS MANAGEMENT 2

Filing Methods 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 COMP 7780 RECORDS MANAGEMENT 3

Filing Procedures 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 BSIM 0012 RECORDS MANAGEMENT 4

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 COMP 7780 RECORDS MANAGEMENT 5

Part I Alphabetic Indexing Rules June 11, 2009 COMP 7780 6

Alphabetic Records Management Most common method A method of storing and arranging records according to letters of the alphabet COMP 7780 RECORDS MANAGEMENT 7

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 COMP 7780 RECORDS MANAGEMENT 8

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 COMP 7780 RECORDS MANAGEMENT 9

Rule 1 A: 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. COMP 7780 RECORDS MANAGEMENT 10

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 COMP 7780 RECORDS MANAGEMENT 11

Examples of Rule 1 A COMP 7780 RECORDS MANAGEMENT 12

Rule 1 B: 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. COMP 7780 RECORDS MANAGEMENT 13

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 COMP 7780 RECORDS MANAGEMENT 14

Examples of Rule 1 B COMP 7780 RECORDS MANAGEMENT 15

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 COMP 7780 RECORDS MANAGEMENT 16

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. COMP 7780 RECORDS MANAGEMENT 17

Examples of Rule 2 COMP 7780 RECORDS MANAGEMENT 18

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. COMP 7780 RECORDS MANAGEMENT 19

Examples of Rule 3 COMP 7780 RECORDS MANAGEMENT 20

Rule 4 A: 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. COMP 7780 RECORDS MANAGEMENT 21

Rule 4 B: 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. COMP 7780 RECORDS MANAGEMENT 22

Examples of Rule 4 COMP 7780 RECORDS MANAGEMENT 23

Rule 5 A: 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. , 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. COMP 7780 RECORDS MANAGEMENT 24

Examples of Rule 5 A COMP 7780 RECORDS MANAGEMENT 25

Rule 5 B: Titles and Suffixes B. Business Names ◦ Titles in business names are indexed as written. COMP 7780 RECORDS MANAGEMENT 26

Examples of Rule 5 B COMP 7780 RECORDS MANAGEMENT 27

Alphabetic Indexing Rules (6 -10) Prefixes, Articles, and Particles Numbers in Business Names Organizations and Institutions Identical Names Government Names COMP 7780 RECORDS MANAGEMENT 28

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. COMP 7780 RECORDS MANAGEMENT 29

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

Examples of Rule 6 COMP 7780 RECORDS MANAGEMENT 31

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). COMP 7780 RECORDS MANAGEMENT 32

Rule 7: Numbers in Business Names (cont’) Arabic numerals are filed before Roman numerals (2, 3, III). Names with inclusive numbers (20 -39 Singles Club) are arranged by the first digit(s) only (20). COMP 7780 RECORDS MANAGEMENT 33

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 (1 st, 2 d, 3 d, 4 th), ignore the letter endings and consider only the digits (1, 2, 3, 4). COMP 7780 RECORDS MANAGEMENT 34

Examples of Rule 7 COMP 7780 RECORDS MANAGEMENT 35

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 COMP 7780 RECORDS MANAGEMENT 36

Examples of Rule 8 COMP 7780 RECORDS MANAGEMENT 37

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) COMP 7780 RECORDS MANAGEMENT 38

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. COMP 7780 RECORDS MANAGEMENT 39

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. COMP 7780 RECORDS MANAGEMENT 40

Examples of Rule 9 Names of Cities Used to Determine Filing Order COMP 7780 RECORDS MANAGEMENT 41

Examples of Rule 9 Names of States and Provinces Used to Determine Filing Order COMP 7780 RECORDS MANAGEMENT 42

Examples of Rule 9 Names of Streets Used to Determine Filing Order COMP 7780 RECORDS MANAGEMENT 43

Rule 10 A: Local and Regional Government Names First indexing unit is the name of the county, city, 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. COMP 7780 RECORDS MANAGEMENT 44

Examples of Rule 10 A COMP 7780 RECORDS MANAGEMENT 45

Rule 10 B: 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. COMP 7780 RECORDS MANAGEMENT 46

Examples of Rule 10 B COMP 7780 RECORDS MANAGEMENT 47

Rule 10 C: 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 COMP 7780 RECORDS MANAGEMENT 48

Examples of Rule 10 C COMP 7780 RECORDS MANAGEMENT 49

Rule 10 D: Foreign Government Names The distinctive English name is the first indexing unit 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. COMP 7780 RECORDS MANAGEMENT 50

Examples of Rule 10 D COMP 7780 RECORDS MANAGEMENT 51

Part II Cross-Reference June 11, 2009 COMP 7780 52

Cross-Reference • Shows alternate name for a record • Shows the location of the record • Direct attention to one or more related items Card Record CRAFT AND BURNS INC Craft & Burns, Inc. 489 Maple Ave. Iowa City, IA 52245 -0350 COMP 7780 53 106 BURNS AND CRAFT INC 106 X Cross-reference SEE CRAFT AND BURNS INC RECORDS MANAGEMENT

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 COMP 7780 RECORDS MANAGEMENT 54

Filing Segment and Cross. Reference Marked COMP 7780 RECORDS MANAGEMENT 55

Examples of Cross-Referencing Unusual Personal Names COMP 7780 RECORDS MANAGEMENT 56

Examples of Cross-Referencing Hyphenated Surnames COMP 7780 RECORDS MANAGEMENT 57

Examples of Cross-Referencing Alternate Names COMP 7780 RECORDS MANAGEMENT 58

Examples of Cross-Referencing Similar Names COMP 7780 RECORDS MANAGEMENT 59

Examples of Cross-Referencing Compound Business Names COMP 7780 RECORDS MANAGEMENT 60

Examples of Cross-Referencing Abbreviations and Acronyms COMP 7780 RECORDS MANAGEMENT 61

Examples of Cross-Referencing Popular and Coined Names COMP 7780 RECORDS MANAGEMENT 62

Examples of Cross-Referencing Hyphenated Names COMP 7780 RECORDS MANAGEMENT 63

Examples of Cross-Referencing Divisions and Subsidiaries COMP 7780 RECORDS MANAGEMENT 64

Examples of Cross-Referencing Changed Names COMP 7780 RECORDS MANAGEMENT 65

Examples of Cross-Referencing Similar Names COMP 7780 RECORDS MANAGEMENT 66

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. COMP 7780 RECORDS MANAGEMENT 67

Examples of Cross-Referencing Foreign Business Names COMP 7780 RECORDS MANAGEMENT 68

Examples of Cross-Referencing Foreign Government Names COMP 7780 RECORDS MANAGEMENT 69

Discussion Can a common Database Management System (like Microsoft Access) be used to help such filing? How? Are there any problems? COMP 7780 RECORDS MANAGEMENT 70