Chapter 2 PPT

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
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
− 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
 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 – 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 is the act of physically assigning a file
designation to records as they are classified.
• Place a diagonal ( / ) between each word in the filing
• 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
• 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
• 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,
• Conjunctions: AND, BUT, OR, NOR
 Symbols are considered as spelled in full.
• Symbols: &, $, #, % (AND, DOLLAR or DOLLARS,
 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.
 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
 But…too many cross-references crowds the
files and may hinder retrieval rather than help.
Letter with Filing Segment and
Cross-Reference Marked
Unusual Personal Names
When determining the surname is difficult, use the last name
written as the key unit on the original record.
Hyphenated Surnames
With hyphenated surnames, a request for records could be in
either of the two surnames. Note: Remember that punctuation
is ignored..
Alternate Names
When a person is known by more than one name, you need to
make a cross –reference.
Similar Names
A variety of spellings exist for some names. A SEE ALSO
cross-reference is prepared for all possible spellings.
Compound Business Names
When a business name includes two or more individual surnames,
prepare a cross-reference for each surname other than the first.
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.
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