1. Records Filing and Indexing Rules
4/20/2017
Records Filing and Indexing Rules
Update 2010 Fall
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2. 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
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3. Filing Methods Alphabetic Subject Numeric Geographic
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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4. Filing Procedures Inspect Index Code Cross-Reference Sort Store
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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5. 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
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6. Part I Alphabetic Indexing Rules
4/20/2017
Part I Alphabetic Indexing Rules
June 11, 2009
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7. Alphabetic Records Management
Most common method
A method of storing and arranging records according to letters of the alphabet
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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
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9. 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
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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.
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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
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12. Examples of Rule 1A
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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.
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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
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15. Examples of Rule 1B
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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
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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.
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18. Examples of Rule 2
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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.
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20. Examples of Rule 3
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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.
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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.
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23. Examples of Rule 4
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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.
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25. Examples of Rule 5A
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26. Rule 5B: Titles and Suffixes
B. Business Names
Titles in business names are indexed as written.
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27. Examples of Rule 5B
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28. Alphabetic Indexing Rules (6-10)
Prefixes, Articles, and Particles
Numbers in Business Names
Organizations and Institutions
Identical Names
Government Names
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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.
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30. Examples of Articles and Particles
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

31. Examples of Rule 6
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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).
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33. Rule 7: Numbers in Business Names (cont’)
Arabic numerals are filed before Roman numerals (2, 3, II, III).
Names with inclusive numbers ( Singles Club) are arranged by the first digit(s) only (20).
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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).
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35. Examples of Rule 7
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36. 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
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37. Examples of Rule 8
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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)
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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.
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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.
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41. Examples of Rule 9 Names of Cities Used to Determine Filing Order
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42. Examples of Rule 9
Names of States and Provinces Used to Determine Filing Order
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43. Examples of Rule 9 Names of Streets Used to Determine Filing Order
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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.
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45. Examples of Rule 10A
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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.
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47. Examples of Rule 10B
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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
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49. Examples of Rule 10C
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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.
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51. Examples of Rule 10D
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52. Part II Cross-Reference
4/20/2017
Part II Cross-Reference
June 11, 2009
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53. Cross-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
Craft & Burns, Inc.
489 Maple Ave.
Iowa City, IA
Card Record
Cross-reference
BURNS AND CRAFT INC 106X
SEE CRAFT AND BURNS INC
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54. Cross Referencing Personal Names Business Names
4/20/2017
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
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55. Filing Segment and Cross-Reference Marked
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56. Examples of Cross-Referencing Unusual Personal Names
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57. Examples of Cross-Referencing Hyphenated Surnames
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58. Examples of Cross-Referencing Alternate Names
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59. Examples of Cross-Referencing Similar Names
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60. Examples of Cross-Referencing Compound Business Names

61. Examples of Cross-Referencing Abbreviations and Acronyms
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62. Examples of Cross-Referencing Popular and Coined Names
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63. Examples of Cross-Referencing Hyphenated Names
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64. Examples of Cross-Referencing Divisions and Subsidiaries
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65. Examples of Cross-Referencing Changed Names
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66. Examples of Cross-Referencing Similar Names
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67. 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.
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68. Examples of Cross-Referencing Foreign Business Names
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69. Examples of Cross-Referencing Foreign Government Names
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70. Discussion
Can a common Database Management System (like Microsoft Access) be used to help such filing?
How? Are there any problems?
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