Chapter 3

1. 1
RECORDS MANAGEMENT
Judith Read and Mary Lea Ginn
Chapter 3
Alphabetic Indexing Rules 1−4

2. 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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3. 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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4. 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 order
in which units are
considered
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5. 5
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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6. 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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7. Rule 1A: Indexing Order of Units
Personal 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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8. Rule 1B: Indexing Order of Units
Business 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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9. Rule 1: Self Check Answer
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10. 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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11. Rule 2: Self Check Answer
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12. Rule 3: Punctuation and Possessives
All 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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13. Rule 3: Self Check Answer
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14. Rule 4A: Single Letters and
Abbreviations
Personal names
 Initials are separate indexing units
 Abbreviations and nicknames are indexed as written
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15. 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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16. Rule 4: Self Check Answer
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17. 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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18. Cross-Reference Examples
Personal names
 Unusual or easily confused names
 Hyphenated surnames
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19. Cross-Reference Examples
(continued)
Personal names
 Alternate names
 Similar surnames
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20. Cross-Reference Examples
(continued)
Business names
 Compound names
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21. Cross-Reference Examples
(continued)
Business names
 Names with abbreviations and acronyms
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22. Cross-Referencing Self Check Answer
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23. Resources
Read, J., & Ginn, M. L. (2015). Alphabetic Indexing
Rules 1-4. In Records management (10th ed.). Boston,
MA: Cengage Learning.
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