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RECORDS MANAGEMENTJudith Read and Mary Lea Ginn

Chapter 3

Alphabetic Indexing Rules 1−4

Need for Alphabetic Order“A filing method, sometimes called a storage method, describes the

way in which records are stored in a container such as a filing cabinet or a folder on a hard disk, on a removable storage device, or in the cloud” (Read & Ginn, 2015, p. 36).

Alphabetic filing method Records are arranged by letters of the alphabet Please keep in mind that this system is not always easy.

Filing guidelines Ensure consistency in storage procedures Alphabetic filing procedures involve inspecting, indexing, coding,

cross-referencing, sorting, and storing documents.

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Indexing“Indexing is the mental process of determining the filing

segment (or name) by which a physical record is to be stored and the placing or listing of items in an order that follows a particular system” (Read & Ginn, 2015, p. 37).

“Filing segment is the name by which a record is stored and requested” (Read & Ginn, 2015, p. 37).

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Indexing Units Indexing units are words that

make up the filing segment

The key unit is the first unit in a filing segment. Unit 2, Unit 3, Unit 4, and so follow the key unit.

Indexing order indicates the orderin which units are considered

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Coding“Coding is the act of assigning a file designation to

records as they are classified” (Read & Ginn, 2015, p. 38). Coding procedures for paper records are as follow: to

Place diagonals (/) between the parts of the filing segment,

Underling the key unit Number each succeeding unit

Indexing rules determine how segments are ordered

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General Guidelines“Read the rules carefully” (Read & Ginn, 2015, p. 39).

“Make sure you understand the meaning of the words used to state the rule” (Read & Ginn, 2015, p. 39).

“Look at the examples” (Very Important) (Read & Ginn, 2015, p. 39).

“Be sure you understand why the filing segment had been separated as it has” (Read & Ginn, 2015, p. 39).

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Rule 1A: Indexing Order of UnitsPersonal names

The surname (last name) is key unit The given name (first name) or initial is the second unit The middle name or initial is third unit

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Rule 1B: Indexing Order of UnitsBusiness names

Indexed as written Letterheads or trademarks are used as guides Each word in the name is a separate unit Business names containing personal names are indexed as written

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Rule 1: Self Check Answer9

Rule 2: Minor Words and Symbols in Business Names

Articles, prepositions, conjunctions, and symbols are separate indexing units

Symbols are spelled out in full (important) “The” that begins a name is the last unit

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Rule 2: Self Check Answer11

Rule 3: Punctuation and PossessivesAll punctuation is disregarded when indexing personal names and

business names.

Don’t worry about

Commas, periods, hyphens, apostrophes, dashes, exclamations points, question marks, underscores, and diagonals.

Names are also index as written

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Rule 3: Self Check Answer13

Rule 4A: Single Letters and Abbreviations

Personal names Initials are separate indexing units Abbreviations and nicknames are indexed as written

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Rule 4B: Single Letters and Abbreviations

Business names Single letters are indexed as written An acronym or abbreviation is one unit Radio and TV call letters are one unit

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Rule 4: Self Check Answer16

Cross-Referencing

“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” (Read & Ginn, 2015, p. 48).

These should be done with discretion because too many cross-references crowd the files and each one takes valuable time to prepare

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Cross-Reference Examples

Personal names Unusual or easily confused names Hyphenated surnames

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Cross-Reference Examples (continued)

Personal names Alternate names Similar surnames

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Cross-Reference Examples (continued)Business names

Compound names

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Cross-Reference Examples (continued)

Business names Names with abbreviations and acronyms

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Cross-Referencing Self Check Answer

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ResourcesRead, J., & Ginn, M. L. (2015). Alphabetic Indexing

Rules 1-4. In Records management (10th ed.). Boston, MA: Cengage Learning.

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