Transcript Slide 1

Update 2010 Fall
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Records Filing
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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
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Alphabetic
◦ Most common method
◦ Storing and arranging records according to letters
of the alphabet
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Subject
◦ storing and arranging records by their subject or
topic
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Numeric
◦ Storing and arranging records based on numbers
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Geographic
◦ storing and arranging records by geographic
location
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Filing Procedures
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Inspect
◦ Check for release mark of a record to determine whether it is
ready for filing
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Index
◦ Read content to determine filing segment
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Code
◦ Mark filing units on record
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Cross-Reference
◦ Indicate record location under alternate filing segments
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Sort
◦ Arrange records by filing segment
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Store
◦ Place record in appropriate folder
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Indexing Rules
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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
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Alphabetic Records Management
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Most common method
A method of storing and arranging records
according to letters of the alphabet
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Indexing
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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 (1-5)
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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:
Indexing Order of Units
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A. Personal Names
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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
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Personal Name: Laura J. Huff
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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
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Rule 1B:
Indexing Order of Units
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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
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Business Name: Huff and Sons, Construction
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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
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Rule 2:
Minor Words in Business Names
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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:
Symbols in Business Names
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Symbols are considered as spelled in full.
◦ Symbols: &, ¢, $, #, % (AND, CENT or CENTS,
DOLLAR or DOLLARS, NUMBER or POUND,
PERCENT)
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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
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Rule 3:
Punctuation and Possessives
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All punctuation is disregarded when indexing
personal and business names.
◦ Commas, periods, hyphens, apostrophes, dashes,
exclamation points, question marks, quotation
marks, underscores, and diagonals (/)
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Names are indexed as written.
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Examples of Rule 3
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Rule 4A:
Single Letters and Abbreviations
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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
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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
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Rule 5A: Titles and Suffixes
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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
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Rule 5B:
Titles and Suffixes
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B. Business Names
◦ Titles in business names are indexed as written.
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Examples of Rule 5B
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Alphabetic Indexing Rules (6-10)
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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
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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
D’, Da, De, Del,
De La, Della,
Den, Des, Di,
Dos, Du
E’, El
Fitz
Il
L’, La, Las, Le,
Les, Lo, Los
Per
Saint, San,
Santa, Santo, St.,
Ste.
M’, Mac, Mc
O’
Te, Ten, Ter
Van, Van de,
Van der, Von,
Von der
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Examples of Rule 6
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Rule 7:
Numbers in Business Names
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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’)
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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’)
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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
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Rule 8:
Organizations and Institutions
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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
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Rule 9:
Identical Names
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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’)
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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’)
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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
Names of Cities Used to Determine Filing Order
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Examples of Rule 9
Names of States and Provinces Used to Determine Filing Order
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Examples of Rule 9
Names of Streets Used to Determine Filing Order
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Rule 10A:
Local and Regional
Government Names
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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
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Rule 10B:
State or Government Names
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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
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Rule 10C:
Federal Government Names
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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
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Rule 10D:
Foreign Government Names
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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
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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
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CRAFT AND BURNS INC
106
Craft & Burns, Inc.
489 Maple Ave.
Iowa City, IA 52245-0350
BURNS AND CRAFT INC 106X
Cross-reference
SEE CRAFT AND BURNS INC
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Cross Referencing
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Personal Names
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Unusual names
Hyphenated surnames
Alternate names
Similar names
Business Names
◦ Compound names
◦ Abbreviations and acronyms
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Foreign Business and Government Names
◦ Translated names
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Filing Segment and CrossReference Marked
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Examples of Cross-Referencing
Unusual Personal Names
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Examples of Cross-Referencing
Hyphenated Surnames
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Examples of Cross-Referencing
Alternate Names
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Examples of Cross-Referencing
Similar Names
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Examples of Cross-Referencing
Compound Business Names
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Examples of Cross-Referencing
Abbreviations and Acronyms
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Examples of Cross-Referencing
Popular and Coined Names
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Examples of Cross-Referencing
Hyphenated Names
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Examples of Cross-Referencing
Divisions and Subsidiaries
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Examples of Cross-Referencing
Changed Names
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Examples of Cross-Referencing
Similar Names
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Cross-Reference:
Foreign Business and
Government Names
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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 Business Names
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Examples of Cross-Referencing
Foreign Government Names
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Discussion
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Can a common Database Management System
(like Microsoft Access) be used to help such
filing?
How? Are there any problems?
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