1. OST184 Records Management
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OST184 Records Management
Chapter 2
Alphabetic Indexing
Rules 1 through 4
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2. Need for Alphabetic Order
RECORDS MANAGEMENT
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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
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3. RECORDS MANAGEMENT
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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.
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4. Steps for Storing Alphabetically
RECORDS MANAGEMENT
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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.
Indexing
Coding
Cross-referencing
Sorting
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5. RECORDS MANAGEMENT
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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.
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6. RECORDS MANAGEMENT
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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
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7. RECORDS MANAGEMENT
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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
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8. Coding Example - Personal Name
RECORDS MANAGEMENT
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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
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9. Coding Example - Business Name
RECORDS MANAGEMENT
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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
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10. Rule 1 - Indexing Order of Units
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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”
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11. RECORDS MANAGEMENT
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Examples of Rule 1A
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12. Rule 1 - Indexing Order of Units
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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.
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13. Complete together the “Rule 1 Self-Check” on pages 38-39.
RECORDS MANAGEMENT
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Examples of Rule 1B
Complete together the “Rule 1 Self-Check” on pages
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14. Rule 2 - Minor Words and Symbols in Business Names
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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.
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15. Complete together the “Rule 2 Self-Check” on pages 42.
RECORDS MANAGEMENT
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Examples of Rule 2
Complete together the “Rule 2 Self-Check” on pages 42.
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16. Rule 3: Punctuation and Possessives
RECORDS MANAGEMENT
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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.
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17. Complete together the “Rule 3 Self-Check” on pages 43.
RECORDS MANAGEMENT
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Examples of Rule 3
Complete together the “Rule 3 Self-Check” on pages 43.
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18. Rule 4 - Single Letters and Abbreviations
RECORDS MANAGEMENT
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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.)
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19. Rule 4 - Single Letters and Abbreviations
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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.
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20. Complete together the “Rule 4 Self-Check” on pages 44.
RECORDS MANAGEMENT
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Examples of Rule 4
Complete together the “Rule 4 Self-Check” on pages 44.
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21. RECORDS MANAGEMENT
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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.
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22. Letter with Filing Segment and Cross-Reference Marked
RECORDS MANAGEMENT
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Letter with Filing Segment and Cross-Reference Marked
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23. Cross-Referencing Unusual Personal Names
RECORDS MANAGEMENT
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Cross-Referencing Unusual Personal Names
When determining the surname is difficult, use the last name written as the key unit on the original record.
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24. Cross-Referencing Hyphenated Surnames
RECORDS MANAGEMENT
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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..
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25. Cross-Referencing Alternate Names
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Cross-Referencing Alternate Names
When a person is known by more than one name, you need to make a cross –reference.
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26. Cross-Referencing Similar Names
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Cross-Referencing Similar Names
A variety of spellings exist for some names. A SEE ALSO cross-reference is prepared for all possible spellings.
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27. Cross-Referencing Compound Business Names
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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.
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28. Cross-Referencing Abbreviations and Acronyms
RECORDS MANAGEMENT
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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.
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29. the “Rules 1-4” Self Check.
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Pages 50-51
Complete together the
“Rule 4” Self-Check and
the “Rules 1-4” Self Check.
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