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Records Filing 2
• 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
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Filing Methods 3
• 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
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Filing Procedures 4
• 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
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Indexing Rules 5
• 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
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6
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Alphabetic Records Management 7
• Most common method
• A method of storing and arranging records according to
letters of the alphabet
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Alphabetic Records Management 8
• There are two main alphabetical classification systems
• 1. Topical systems- this is used gor relatively small number of files. The
records are arranged in strict alphabetical order, one file after the other, with
no grouping of related records.
• 2. Classified Systems- this is used for large volumes of records. The
records are grouped under broad categories according to common
characteristics and then arranged in individual folders.
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Guidelines for using
Alphabetical Systems 9
• Files must be placed in strict alphabetical sequence, letter by letter,
according to surname first. For example:
- PETTER Harry
- PETTERS Audrey
- PETTERSON Elaine
• If the surnames are the same, file by first name
- PETTER Joe
- PETTER Mack
- PETTER Sam
• If the first names and surname are same, file by initial. For
example:
- ALI Sam F
- ALI Sam L
- ALI Sam W
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Guidelines for using
Alphabetical Systems Cont’d 10
• If the first namFor example:
- PETTER Harry
- PETTERS Audrey
- PETTERSON Elaine
• If the surnames are the same, file by first name
- PETTER Joe
- PETTER Mack
- PETTER Sam
• If the first names and surname are same, file by initial. For
example:
- ALI Sam F
- ALI Sam L
- ALI Sam W
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Alphabetic Records Management 11
• Class Activity:
• Research (3 ) Advantages of alphabetical Filing & (3)
disadvantages of Alphabetical filing
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Rule 1A: 12
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.
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Coding —Personal Name 13
• 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 1A
14
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Rule 1B:
Indexing Order of Units 15
• 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 Name 16
• 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 1B 17
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Rule 2:
18
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
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Rule 2: 19
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.
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Examples of Rule 2 20
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Rule 3:
Punctuation and Possessives 21
• 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 3 22
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Rule 4A:
Single Letters and Abbreviations 23
• 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:
Single Letters and Abbreviations 24
• 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 4 25
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Rule 5A: Titles and Suffixes
26
• 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 5A 27
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Rule 5B:
Titles and Suffixes 28
• B. Business Names
• Titles in business names are indexed as written.
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Examples of Rule 5B 29
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Alphabetic Indexing Rules (6-10) 30
• Prefixes, Articles, and Particles
• Numbers in Business Names
• Organizations and Institutions
• Identical Names
• Government Names
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Rule 6:
Prefixes—Articles and Particles 31
• 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 Particles
a la Il Per
D’, Da, De, Del, L’, La, Las, Le, Saint, San,
De La, Della, Les, Lo, Los Santa, Santo,
Den, Des, Di, St., Ste.
Dos, Du
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 6 33
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Rule 7:
Numbers in Business Names 34
• 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:
Numbers in Business Names (cont’) 35
• 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:
Numbers in Business Names (cont’) 36
• 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 7 37
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Rule 8:
Organizations and Institutions 38
• 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 8 39
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Rule 9:
Identical Names 40
• 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 (cont’) 41
• 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 (cont’) 42
• 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 9 43
Names of Cities Used to Determine Filing Order
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Examples of Rule 9 44
Names of States and Provinces Used to Determine Filing Order
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Examples of Rule 9 45
Names of Streets Used to Determine Filing Order
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Rule 10A: 46
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.
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Examples of Rule 10A 47
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Rule 10B:
State or Government Names 48
• 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 10B 49
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Rule 10C:
50
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
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Examples of Rule 10C 51
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Rule 10D:
Foreign Government Names 52
• 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 10D 53
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54
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June 11, 2009
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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
CRAFTAND
ANDBURNS
BURNSINC
INC 106
106 Cross-reference
Craft
Craft&&Burns,
Burns,Inc.
Inc. BURNS
BURNSAND
ANDCRAFT
CRAFTINC
INC 106X
106X
489
489Maple
MapleAve.
Ave.
Iowa
IowaCity,
City,IA
IA52245-0350
52245-0350 SEE
SEECRAFT
CRAFTAND
ANDBURNS
BURNSINC
INC
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Cross Referencing 56
• 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-Reference
Marked 57
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Examples of Cross-Referencing Unusual
Personal Names 58
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Examples of Cross-Referencing
Hyphenated Surnames 59
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Examples of Cross-Referencing
Alternate Names 60
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Examples of Cross-Referencing Similar
Names 61
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Examples of Cross-Referencing 62
Compound Business Names
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Examples of Cross-Referencing 63
Abbreviations and Acronyms
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Examples of Cross-Referencing 64
Popular and Coined Names
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Examples of Cross-Referencing 65
Hyphenated Names
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Examples of Cross-Referencing 66
Divisions and Subsidiaries
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Examples of Cross-Referencing 67
Changed Names
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Examples of Cross-Referencing 68
Similar Names
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Cross-Reference:
Foreign Business and Government 69
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-Referencing Foreign
70
Business Names
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Examples of Cross-Referencing Foreign
Government Names 71
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Discussion 72
• Can a common Database Management System
(like Microsoft Access) be used to help such
filing?
• How? Are there any problems?
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