Rules and Cross Referencing Handout

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OST184 Records Management

RULES 1-10

Rule 1 – Indexing Order of Units

Nothing before something

Personal Names: surname > first name > initial

Business Names: as written on letterhead; business names containing personal names are indexed as written also

Rule 2 - Minor Words and Symbols

Articles (a, an, the) - prepositions (at, in at, on, etc) and conjunctions (AND BUT OR NOT) are considered separate units

Symbols are considered spelled out in full ($, #, %) and are considered one indexing unit

“The” as the first word of a business name is considered the last indexing unit

Rule 3 – Punctuation and possessives

 All punctuation is disregarded

Rule 4 – Single Letters and Abbreviations

 Personal names o

Initials are separate indexing unit

 o

Abbreviations of personal names are indexed as written (Wm or Thos.)

Business names o o

Single letters with spaces between each letter are each indexed as a unit

Single letters without spaces are indexed as one unit o o

Acronyms are indexed as one unit

Abbreviated words (mfg, corp.) are indexed as one unit

Radio and TV station call letters are one unit o

Rule 5 – Titles and Suffixes

 Personal names o

Title before name (Dr, Miss, Ms, Prof) are single indexing unit o o

Suffixes after a name (DDS, Mayor, CPA, MD) are single indexing unit

Titles and suffixes are the last indexing unit - if a name contains both a title and a suffix, the title is the last unit.

Suffixes are filled before titles

 o o o indexed and filed as written.

Business names o

Numeric suffixes (I, II, III)are filed before alphabetic suffixes (Jr. Sr.)

Royal and religious titles followed by either a given name or a surname only are

Titles in business names are indexed as written

Rule 6 – Foreign Prefixes (articles and particles)

A foreign article or particle in a personal or business name is combined with the part of the name following it to form a single unit – the space is disregarded (D’ Da Las)

Rule 7 – Numbers in Business Names

OST184 Rules 1-10 and Cross Referencing Rules Page 1 of 6

Numbers spelled out are filed alphabetically.

Numbers written in digits are filed before alphabetic letters or words

Names with numbers in digits in the first unit are filed in ascending order – lowest to highest – before alphabetic names

Arabic numerals (1, 2, 3) are filled before roman numerals (I, II, III)

Names with inclusive numbers are arranged by first digits only (5336 – 6989)

Numbers with st, rd, and th - drop the st, rd, and th

Rule 8 – Organizations and Institutions

Indexed according to the letterheads (with THE as the last index)

Rule 9 – Identical Names

When personal names and names of businesses are identical, filing order is determined by the address in the following order: o o

City name

State name o

Street name

Streets are numbers are filed before alphabetic street names

Streets with compass directions are filled as written (N Beach Street) with compass direction being a separate indexing unit o

House or building number

If a street address and building name are both included disregard the building

 name

Zip codes are NOT considered in filing order

Rule 10 – Government Names

Government names are indexed first by the name of the governmental unit – country, state, county, or city

Next, name of department, bureau, office, or board (Travel Dept of)

If “of” is not a part of the official name, it is not added.

Federal

United States Government – first 3 indexing units

State and Local

First indexing unit is the name of the state, province, county, city, town, village

Next, name of department, bureau, office, or board ( Beaufort City of)

Foreign

Distinctive English name if the first indexing unit - then balance of the name (Ecuador

Republic of)

Branches, departments, cities, provinces, etc follow in order by their distinctive name

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CROSS REFERENCING

Personal Names

Unusual names

CHIANG TAPEI MR

TAPEI CHIANGE MR

SEE CHIANG TAPEI MR

Hyphenated surnames

PALMERGREEN TERRI

GREEN TERI PALMER

SEE PALMERGREEN TERRI

Alternate names

MILLER P J

MILLER PETER JAMES

SEE MILLER P J

Similar names

BROWN

SEE ALSO BRAUN, BROWNE

Business Names

Compound names

MOORE RUSE AND SULLIVAN

Abbreviations and acronyms

IBM

RUSE SULLIVAN AND MOORESULLIVAN MOORE AND RUSE

SEE ALSO SEE ALSO

INTERNATIONAL BUSINESS MACHINES CORPORATION

SEE IBM

Popular and coined names

GRANNYS

GRANDMAS HOME COOKING

SEE GRANNYS

Hyphenated names

BROWNSIMPSON TRADING COMPANY

SIMPSONBROWN TRADING COMPANY

SEE BROWNSIMPSON TRADING COMPANY

OTHER NAMES

OST184 Rules 1-10 and Cross Referencing Rules Page 3 of 6

Divisions and Subsidiaries

Name appearing on the letterhead is the one indexed on original record; cross reference is made under the name of the parent company.

Changed Names o

If only a few exists, re-file them under new name; former name is marked as the crossreference. o

If many records are filed under former name, permanent cross reference is placed at the beginning of the records for the former name. All new records are placed under the new name.

Similar Names

If a name could be considered either as one unit or two units, use a SEE ALSO cross reference.

The complete name is not cross referenced, only the similar name.

NORTHWEST NET SERVICES ALLSTATE INSURANCE

NORTH WEST

SEE ALSO NORTHWEST

ALL STATE

SEE ALSO ALLSTATE

Foreign Business Names

The English translation is written on the document to be stored and then stored under the English spelling. The cross reference would be the foreign version of the name.

Foreign Government Names

Write the English translation on each document to be stored and then store under the English spelling.

The cross reference would be the foreign version of the name.

OST184 Rules 1-10 and Cross Referencing Rules Page 4 of 6

Divisions and Subsidiaries

Original

ONE STOP MORTGAGE

One Stop Mortgage

(A div. of National Bancorp)

555 Oregon Bldg.

San Francisco, CA 94102-0555

PLATINUM VISA SERVICES

Platinum VISA Services

(A subsidiary of National Bancorp.)

2250 SE Main St

Chicago, IL 60680-2250

Cross-Reference

NATIONAL BANCORP

SEE ONE STOP MORTGAGE

NATIONAL BANCORP

SEE PLATINUM VISA SERVICES

When one company is a subsidiary or a division or branch of another company, the name appearing on the letterhead is the one indexed on the original record.

Changed Names

Original

ATANDT CABLE SERVICES

AT&T Cable Services

1650 SW Broadway

Boston, MA 02174-1650

VERIZON COMMUNICATIONS

Verizon Communications

16540 SE Jennings Ave.

Lansing, MI 48912-1650

Cross-Reference

PARAGON CABLE

SEE ATANDT CABLE SERVICES

GTE

SEE VERIZON COMMUNICATIONS

If there are only a few records under old name: (1) move old records to new name; (2) cross reference to old name; and (3) put new records put under new name.

If there are many records under the old name: (1) old records remain in place under old name; (2) cross reference to new name; and (3) put new records put under new name.

Similar Names

Original

NORTHWEST NET SERVICES

Northwest Net Services

901 S. Main Street

Reno, NV 89509-0901

ALLSTATE ROAD SUPPLY

Allstate Road Supply

525 S. Main Street

BOISE, ID 83703-0500

NORTH WEST

Cross-Reference

SEE ALSO NORTHWEST

ALL STATE

SEE ALSO ALLSTATE

If a name could be considered either as one unit or two units, it is cross referenced. Only the similar name is cross referenced. The complete name is not cross referenced.

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Foreign Business Names

K LINE

K Line

850 SW High Street

Original

San Francisco, CA 94102-0850

VENEZUELAN LINE

Venezuelan Line

1950 N. High Street

Seattle, WA 98107-1950

Cross-Reference

KAWASAKI KISEN KALISHA LTD

SEE K LINE

VENEZOLANA DE NAVEGACION

SEE VENEZUELAN LINE

English translation is written on the document to be stored. Document is stored under the English spelling.

Foreign Government Names

Original

BRAZIL FEDERATIVE REPUBLIC OF

Federative Republic of Brazil

Cross-Reference

REPUBLICA REDERATIVA DO BASIL

SEE BRAZIL FEDERATIVE REPLUBLIC OF

CYPRUS REPUBLIC OF

Republic of Cyprus

KYPPRIAKI DIMOKRATIO

(Greek Spelling)

SEE CYPRUS REPUBLIC OF

KIBRIS CUMHURIYETI

(Turkish Spelling)

SEE CYPRUS REPUBLIC OF

Write the English translation of the government name on each document to be stored. Store all documents under the

English spelling. A cross-reference is prepared using the foreign spelling.

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