Records Filing and Indexing Rules - PowerPoint PPT Presentation

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  1. Records Filing and Indexing Rules Update 2010 Fall COMP7780

  2. Records Filing COMP7780 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

  3. Filing Methods COMP7780 • 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

  4. Filing Procedures BSIM0012 • 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

  5. Indexing Rules COMP7780 • 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

  6. Part IAlphabetic Indexing Rules June 11, 2009 COMP7780

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

  8. 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

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

  10. 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

  11. 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

  12. Examples of Rule 1A COMP7780

  13. 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

  14. 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

  15. Examples of Rule 1B COMP7780

  16. 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

  17. 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

  18. Examples of Rule 2 COMP7780

  19. 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

  20. Examples of Rule 3 COMP7780

  21. 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

  22. 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

  23. Examples of Rule 4 COMP7780

  24. 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

  25. Examples of Rule 5A COMP7780

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

  27. Examples of Rule 5B COMP7780

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

  29. 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

  30. Examples of Articles and Particles

  31. Examples of Rule 6 COMP7780

  32. 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

  33. 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

  34. 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

  35. Examples of Rule 7 COMP7780

  36. Rule 8: Organizations and Institutions • Indexed and filed according to the names written on their letterheads COMP7780

  37. Examples of Rule 8 COMP7780

  38. 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

  39. 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

  40. 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

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

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

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

  44. 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

  45. Examples of Rule 10A COMP7780

  46. 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

  47. Examples of Rule 10B COMP7780

  48. 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

  49. Examples of Rule 10C COMP7780

  50. 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