ARMA Filing RulesARMA Filing Rules

Why have rules?Why have rules?

““The real test of an efficient The real test of an efficient records storage system is being records storage system is being able to find records quickly once able to find records quickly once they have been stored.”they have been stored.”

Classifying recordsClassifying records

In order to organize, we must In order to organize, we must decide how to classify records.decide how to classify records.

Classifying RecordsClassifying Records

UseUse TransactionTransaction ReferenceReference

Place of UsePlace of Use InternalInternal ExternalExternal

Classifying Records, cont.Classifying Records, cont.

ValueValue Vital (irreplaceable – like titles)Vital (irreplaceable – like titles) Important (costly to replace – Important (costly to replace –

personnel records)personnel records) Useful (replaceable – bank Useful (replaceable – bank

statements)statements) Nonessential (disposable – phone Nonessential (disposable – phone

messages)messages)

1. Why is 1. Why is consistency in consistency in filing so filing so important?important?

IndexingIndexing

Determining the filing segment Determining the filing segment (or name) by which the record (or name) by which the record will be stored and retrieved.will be stored and retrieved.

The name most likely to be used The name most likely to be used in requesting the record is the in requesting the record is the one to be used for storage.one to be used for storage.

CodingCoding

Marking the record to indicate Marking the record to indicate the field (name, number, the field (name, number, subject) by which it is to be subject) by which it is to be stored.stored.

/ between each word/ between each word Underline the key unitUnderline the key unit Number remaining unitsNumber remaining units

2. Why are indexing rules 2. Why are indexing rules important when filing names important when filing names alphabetically?alphabetically?

Rule #1Rule #1

Personal namesPersonal names1.1. Surname (last name)Surname (last name)

2.2. Given name (first name)Given name (first name)

3.3. Middle name or initialMiddle name or initial Business namesBusiness names

As written (on letterhead)As written (on letterhead) Each word is a unitEach word is a unit

Remember:Remember:

Nothing comes before something.Nothing comes before something.

A blank space comes before a A blank space comes before a letter.letter.

Baker / WilliamBaker / William

Bakersly / WilliamBakersly / William

Rule #2 – Minor Words and Rule #2 – Minor Words and Symbols in Business NamesSymbols in Business Names

Articles: a, an, theArticles: a, an, the

Prepositions: to, at, on, of, forPrepositions: to, at, on, of, for

Conjunctions: and, but, or, norConjunctions: and, but, or, nor

Symbols: &, %, $Symbols: &, %, $

Are separate indexing unitsAre separate indexing units

Symbols indexed as if spelled outSymbols indexed as if spelled out

““The” as the first word is The” as the first word is considered the last unit.considered the last unit.

Rule #3 PunctuationRule #3 Punctuation

All punctuation marks are All punctuation marks are disregardeddisregarded

Names are indexed as writtenNames are indexed as written

Doggydaycare.com is indexed as Doggydaycare.com is indexed as

doggydaycarecomdoggydaycarecom

Rule #4 – Single Letters and Rule #4 – Single Letters and AbbreviationsAbbreviations

Initials in personal names are Initials in personal names are separate unitsseparate units

Nicknames are indexed as Nicknames are indexed as writtenwritten

Business acronyms and Business acronyms and abbreviations are indexed as abbreviations are indexed as writtenwritten

Rule #5Rule #5

A title before a name, a seniority A title before a name, a seniority suffix, or professional suffix after suffix, or professional suffix after a name is the last indexing unit.a name is the last indexing unit.

Numbers are filed before Numbers are filed before alphabetic suffixes.alphabetic suffixes.

Royal and religious titles Royal and religious titles followed by surname only are followed by surname only are indexed as written.indexed as written.

Business names --- titles are Business names --- titles are indexed as written.indexed as written.

Rule #6Rule #6

Prefixes – Articles and ParticlesPrefixes – Articles and Particles

““A,” “an,” or “the” in anotherA,” “an,” or “the” in another

language used as part of alanguage used as part of a

person’s nameperson’s name De La HoyaDe La Hoya D’AgostinoD’Agostino Le FleurLe Fleur

Mac or McMac or Mc Von, Van, Von der, Van derVon, Van, Von der, Van der O’ O’ Saint, St., San, etc.Saint, St., San, etc. Ten, Ter, TeTen, Ter, Te

All are combined with the nameAll are combined with the name

that follows to form a single unit.that follows to form a single unit.

Punctuation and spaces are Punctuation and spaces are disregarded.disregarded.

Rule #7 – Numbers in Rule #7 – Numbers in Business NamesBusiness Names Numbers written as digits are Numbers written as digits are

filed before letters or words.filed before letters or words. Numbers spelled out are filed Numbers spelled out are filed

alphabetically.alphabetically. Digits are filed ascending.Digits are filed ascending. Arabic numbers before Roman Arabic numbers before Roman

numerals.numerals. Disregard ordinal suffixes (rd, Disregard ordinal suffixes (rd,

nd, etc.)nd, etc.)

Rule #8 – Organizations and Rule #8 – Organizations and InstitutionsInstitutions Organizations and institutions Organizations and institutions

are indexed and filed according are indexed and filed according to the names written on their to the names written on their letterheads. letterheads.

11stst National Bank = 1/ National/ National Bank = 1/ National/ BankBank

St. Vincent’s Medical Center = St. Vincent’s Medical Center = StVincents/ Medical/ CenterStVincents/ Medical/ Center

Rule #9 – Identical NamesRule #9 – Identical Names

If two people or organizations If two people or organizations have identical names, filing have identical names, filing order is determined by order is determined by address.address.

1.1. City nameCity name

2.2. State or province namesState or province names

3.3. Street namesStreet names

4.4. House or building numbersHouse or building numbers

Rule #10 – Government Rule #10 – Government NamesNames

1.1. Indexed first by the name of Indexed first by the name of the governmental unit.the governmental unit.

2.2. Indexed next by the distinctive Indexed next by the distinctive departmental namedepartmental name

The first threeThe first three

indexing units of aindexing units of a

U.S. federal agencyU.S. federal agency

are: are:

UnitedUnited

States States

GovernmentGovernment

(always!)(always!)

State and local government: the State and local government: the first indexing units are the first indexing units are the names of the state, town, names of the state, town, county, etc.county, etc.

Next, index the most distinctive Next, index the most distinctive departmental/unit name.departmental/unit name.

Foreign government agencies are Foreign government agencies are indexed by the first distinctive indexed by the first distinctive English name, then by the rest of the English name, then by the rest of the official government name, then by official government name, then by divisions of the government. divisions of the government.

Cross-ReferencesCross-References

Personal NamesPersonal Names Unusual NamesUnusual Names

Kim David could also be Kim David could also be David KimDavid Kim Cross reference as:Cross reference as:

David KimDavid KimSee Kim DavidSee Kim David

Hyphenated SurnamesHyphenated Surnames Mary Jones-Stamford needs a cross-Mary Jones-Stamford needs a cross-

reference as:reference as:Stamford Mary JonesStamford Mary JonesSee JonesStamford, MarySee JonesStamford, Mary

Alternate NamesAlternate NamesWhen an individual uses more than When an individual uses more than

one name, such as a professional one name, such as a professional name (DBA, AKA)name (DBA, AKA)

Mrs. Jennifer Reed in private life is Mrs. Jennifer Reed in private life is Ms. Jennifer Jackson in Ms. Jennifer Jackson in professional life.professional life.

Jackson Jennifer Ms. Jackson Jennifer Ms.

See also: Reed Jennifer Mrs.See also: Reed Jennifer Mrs.

Names with multiple spellingsNames with multiple spellings Jason Snyder Jason Snyder

SniderSnider

See also: Snyder, ShneiderSee also: Snyder, Shneider

Business NamesBusiness Names

Compound NamesCompound NamesJasper, Nilson, and Fister, CPAsJasper, Nilson, and Fister, CPAs

should be cross referenced under should be cross referenced under each name.each name.

Nilson, Fister and Jasper, CPAsNilson, Fister and Jasper, CPAs

See Jasper, Nilson, and Fister, See Jasper, Nilson, and Fister, CPAsCPAs

Acronyms and abbreviationsAcronyms and abbreviationsNELA should be cross referenced:NELA should be cross referenced:

Northwest Educational Loan Northwest Educational Loan AssociationAssociation

See NELASee NELA

Popular or Coined NamesPopular or Coined Names

Spokane Falls Community Spokane Falls Community College should be cross-College should be cross-referenced:referenced:

SFCCSFCC

see Spokane Falls Community see Spokane Falls Community CollegeCollege