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

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 (cont’d)
 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
EXAMPLE:
Filing Segment:
Indexing units:
Key Unit:
Indexing order:
Ms. Margo Johnson
There are 3 units to be indexed.
Johnson
Johnson Margo Ms

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.
2 3
Personal Name Coded: Jane / T. / Shank
2
Business Name Coded: Longshanks / Eatery

Coding Example - Personal Name
Laura J. Huff
• The 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
Remember the rule – “Nothing comes before something”

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
Remember the rule – “Nothing comes before something”

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

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 (/)
• Examples :
Fred ’ s Auto Shop = Freds Auto Shop
Inside / Out Cafe = Insideout Café
Jones Smith Florals = JonesSmith Florals
Names are indexed as written.

Examples of Rule 3

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

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.
 But…too many cross-references crowds the files and may hinder retrieval rather than help.

Letter with Filing Segment and
Cross-Reference Marked

Cross-Referencing
Unusual Personal Names
When determining the surname is difficult, use the last name 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
Alternate Names
When a person is known by more than one name, you need to 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
Compound Business Names
When a business name includes two or more individual surnames, prepare a cross-reference for each surname other than the first.

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