OST184

Records Management

Chapter 2
Alphabetic Indexing
Rules 1 through 4

Need for Alphabetic Order

Records
Serve as the memory of an organization.
Help a business do business.
Help decision makers with the right information when it
is needed.

Filing Method (or Storage Method)

Describes the way in which records are stored in a

container.
Alphabetic - most common method (Chapters 2-7)
Subject - discussed in Chapter 8
Numeric - discussed in Chapter 9
Geographic - discussed in Chapter 10

Filing Rules
The most important concept to remember when filing is
that all filing is done to facilitate retrieving of information
when it is needed.
To retrieve information efficiently, a set of rules must be
followed.
Different businesses have different needs for
information retrieval.
Not every business follows a universal set of rules for
alphabetic filing because the goals and needs of each
business vary.
Without written rules for storing records, procedures
will vary with time, changes in personnel, and oral
explanations.
Unless those who maintain the records are consistent in
following storage procedures, locating records would not
be possible.

Steps for Storing Alphabetically

There are seven steps for storing alphabetically.
We will learn four of them in Chapter 2 as shown
below. The other steps will be discussed in
Chapter 6.
1. Indexing
2. Coding
3. Cross-referencing
4. Sorting

Indexing
Indexing the mental process of determining
the filing segment by which a record is to be
stored. The filing segment is the name by which
a record is stored.

Indexing (contd)
Careful, accurate indexing is perhaps the most
exacting step in the storage procedure.
Several terms are used with indexing:
Indexing units the words that make up the
filing segment
Key unit the first unit of the filing segment
Indexing order the next units following the
key unit by which the placement of records if
further determined

Coding
Coding is the act of physically assigning a file
designation to records as they are classified.
Place a diagonal ( / ) between each word in the filing
segment.
Underline the key unit.
Number each succeeding unit starting with 2, 3, 4, etc.

Personal Name Coded: Jane / T. / Shank

Business Name Coded: Longshanks / Eatery

Coding Example - 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

Coding Example - 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

Rule 1 - 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.
Remember the rule Nothing comes before something

Examples of Rule 1A

Rule 1 - 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.

Examples of Rule 1B

Complete together the Rule 1 Self-Check on pages 38-39.

Rule 2 - Minor Words and Symbols

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
Symbols are considered as spelled in full.
Symbols: &, $, #, % (AND, 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.

Examples of Rule 2

Complete together the Rule 2 Self-Check on pages 42.

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.

Examples of Rule 3

Complete together the Rule 3 Self-Check on pages 43.

Rule 4 - 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
(Wm. Jos. Thos.)

Rule 4 - 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 (ABC versus A B C)
An acronym (ARMA or GMAC) is indexed as one unit
regardless of punctuation or spacing.
Abbreviated words (Mfg. Corp, Inc.) and names (IBM,
GE) are indexed as one unit regardless of
punctuation or spacing.
Radio and television station call letters are indexed
as one unit.

Examples of Rule 4

Complete together the Rule 4 Self-Check on pages 44.

Cross-Referencing
When a record is likely to be requested by any
of several names, an aid called a crossreference is prepared.
A cross-reference shows the name in a form
other than that used on the original record, and
it indicates the storage location of the original
record.
Buttoo many cross-references crowds the
files and may hinder retrieval rather than help.

Letter with Filing Segment and

Cross-Reference Marked

Cross-Referencing
When
determiningPersonal
the surname isNames
difficult, use the last name
Unusual
written as the key unit on the original record.

Cross-Referencing
Hyphenated
Surnames
With hyphenated surnames, a request for records could be in
either of the two surnames. Note: Remember that punctuation
is ignored..

Cross-Referencing
WhenAlternate
a person is known
by more than one name, you need to
Names
make a cross reference.

Cross-Referencing
Similar
Names
A variety
of spellings
exist for some names. A SEE ALSO
cross-reference is prepared for all possible spellings.

Cross-Referencing
When aCompound
business name includes
two or more
individual surnames,
Business
Names
prepare a cross-reference for each surname other than the first.

Cross-Referencing
When
a business is commonly
known
by an abbreviation or an
Abbreviations
and
Acronyms
acronym, a cross-reference is prepared for the full name.

Pages 50-51
Complete together the
Rule 4 Self-Check and
the Rules 1-4 Self Check.