OST184 Records Management

1. OST184Records Management Chapter 2 Alphabetic Indexing Rules 1 through 4

2. 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

3. 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.

4. 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

5. 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

6. 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

7. Personal Name Coded: Jane / T. / Shank Business Name Coded: Longshanks / Eatery 2 3 2 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.

8. 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

9. 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

10. 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”

11. Examples of Rule 1A Remember the rule – “Nothing comes before something”

12. 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.

13. Examples of Rule 1B Remember the rule – “Nothing comes before something”

14. Complete the “Rule 1 Self-Check” pages 38-39. Then, check your answers using the handouts on Blackboard.

15. 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.

16. Examples of Rule 2

17. Complete the “Rule 2 Self-Check” Page 42. Then, check your answers using the handouts on Blackboard.

18. 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 = FredsAuto Shop Inside/Out Cafe = Insideout Café Jones-Smith Florals = JonesSmithFlorals Names are indexed as written.

19. Examples of Rule 3

20. Complete the “Rule 3 Self-Check” Page 43. Then, check your answers using the handouts on Blackboard.

21. 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.)

22. 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.

23. Examples of Rule 4

24. Complete the “Rule 4 Self-Check” Page 44. Then, check your answers using the handouts on Blackboard.

25. 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.

26. Letter with Filing Segment and Cross-Reference Marked

27. Cross-Referencing Unusual Personal Names When determining the surname is difficult, use the last name written as the key unit on the original record.

28. 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..

29. Cross-Referencing Alternate Names When a person is known by more than one name, you need to make a cross –reference.

30. Cross-Referencing Similar Names A variety of spellings exist for some names. A SEE ALSO cross-reference is prepared for all possible spellings.

31. 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.

32. 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.

33. Complete both the “Cross Referencing” and the “Rules 1-4” Self-Checks on Page 40. Then, check your answers using the handouts on Blackboard.