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OST184 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)

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ost184 records management
OST184Records Management

Chapter 2

Alphabetic Indexing

Rules 1 through 4

need for alphabetic order
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
slide3

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.
steps for storing alphabetically
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
slide5

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
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

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.
coding example personal name
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
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
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
Examples of Rule 1A

Remember the rule – “Nothing comes before something”

rule 1 indexing order of units1
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
Examples of Rule 1B

Remember the rule – “Nothing comes before something”

slide14

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
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.
slide17

Complete the

“Rule 2 Self-Check”

Page 42.

Then, check your answers using the handouts on Blackboard.

rule 3 punctuation and possessives
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.

slide20

Complete the

“Rule 3 Self-Check”

Page 43.

Then, check your answers using the handouts on Blackboard.

rule 4 single letters and abbreviations
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 abbreviations1
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.
slide24

Complete the

“Rule 4 Self-Check”

Page 44.

Then, check your answers using the handouts on Blackboard.

cross referencing
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.
cross referencing unusual personal names
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
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 names
Cross-Referencing Alternate Names

When a person is known by more than one name, you need to make a cross –reference.

cross referencing similar names
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
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
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.

slide33

Complete both the

“Cross Referencing” and the

“Rules 1-4” Self-Checks on

Page 40.

Then, check your answers using the handouts on Blackboard.