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 (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
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
•
•
•
•
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.
 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.
Pages 50-51
Complete together the
“Rule 4” Self-Check and
the “Rules 1-4” Self Check.