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 (contd)

• 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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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
• 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

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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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Examples of Rule 1A
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.

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Examples of Rule 1B
Complete together the Rule 1 Self-Check on
pages 38-39.
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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.

15
Examples of Rule 2
Complete together the Rule 2 Self-Check on
pages 42.
16
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.

17
Examples of Rule 3
Complete together the Rule 3 Self-Check on
pages 43.
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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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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.

20
Examples of Rule 4
Complete together the Rule 4 Self-Check on
pages 44.
21
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.
• Buttoo many cross-references crowds the files
  and may hinder retrieval rather than help.

22
Letter with Filing Segment and Cross-Reference
Marked
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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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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..
25
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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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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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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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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• Pages 50-51
• Complete together the
• Rule 4 Self-Check and
• the Rules 1-4 Self Check.