OST184Records 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

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.

Filing RulesThe most important concept to remember when filing is that all filing is done to facilitate retrieving of information

when it is needed.

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

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: Ms. Margo Johnson Indexing units: There are 3 units to be indexed. Key Unit: Johnson Indexing order: 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.

Personal Name Coded: Jane / T. / Shank

Business Name Coded: Longshanks / Eatery

2 3

2

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”

Complete the

“Rule 1 Self-Check”

pages 38-39.

Then, check your answers using the handouts on

Blackboard.

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 the

“Rule 2 Self-Check”

Page 42.

Then, check your answers using the handouts on

Blackboard.

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

Complete the

“Rule 3 Self-Check”

Page 43.

Then, check your answers using the handouts on

Blackboard.

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 the

“Rule 4 Self-Check”

Page 44.

Then, check your answers using the handouts on

Blackboard.

Cross-Referencing

When a record is likely to be requested by any of several names, an aid called a cross-reference 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 NamesWhen 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.

Complete both the

“Cross Referencing” and the

“Rules 1-4” Self-Checks on

Page 40.

Then, check your answers using the handouts on Blackboard.