Alphabetic Indexing Rules and Procedures

 Learning Objectives:

• Define purpose of filing, and the importance of following filing rules.

• Identify terms such as unit, indexing, alphabetizing, and case

• Index and alphabetize data according to established ARMA rules

Every business must develop and maintain an organized way to store written communication, such as reports, letters, memorandums, order forms, invoices, and other such information so that it is available for efficient retrieval or reference. This method of storing records is called filing. While there are a number of different methods for storing or filing information – alphabetic, subject, numeric, and geographic - the most common method is the alphabetic filing system.

Procedures for storing records alphabetically will vary among organizations and even among departments within an organization. Therefore, the filing procedures to be used in any one office needs to be determined, recorded, approved, and followed, without exception. Without written rules for storing records, procedures will vary with time, changes in personnel, etc. These changes could cause difficulty in future retrieval of records or even in the loss of records. 

The Association of Records Managers and Administrators, Inc. (ARMA) is an organization designed to help professionals in records management perform their jobs easier and better. ARMA has published a list of Alphabetic Filing Rules, containing standard rules for storing records alphabetically. The 12 rules you will learn in this chapter follow the same principles as the ARMA rules. 

Basic Filing Terms 

Before learning the 12 filing rules, an understanding of filing terms is necessary. 

·        Alphabetizing Unit by Unit. The first step in alphabetizing is to alphabetize Unit by Unit. If the names in Unit 1 are exactly the same, then continue to alphabetize by Unit 2. If the first and second units are the same, the next step is to alphabetize Unit 3, and so on.

·        Nothing Comes Before Something. In alphabetizing, it is important to remember that nothing comes before something.

Case - The case of a letter refers to whether the letter is written as a capital letter (A), called uppercase, or written as a small letter (a), called lowercase. In alphabetizing, uppercase and lowercase letters are considered the same. For example, McAdams and Mcadams are considered to be exactly the same when alphabetizing

Names of Individuals. When indexing the name of an individual, arrange the units in this order: last name as Unit 1, first name or initial as Unit 2, and middle name or initial as Unit 3. When two names in Unit 1 begin with the same letter, you consider the next or second letter in arranging for alphabetical order. If both the first and second letters are the same, consider the third letter, and so on until the letters are different.

A unit consisting of just an initial precedes a unit that consists of a complete name beginning with the same letter. Punctuation, such as a period or apostrophe, is omitted.
 

Index and alphabetize the following names. Present your work in the same format as in previous examples (table layout with unit headings).  Write names in all capital letters; do not include any punctuation. 

Commonly used prefixes are a, la, d’ D’ de, De, Del, De la, Di, Du, El, Fitz, La, Le, Lo, Los, M’, Mac, Mc, O’, Saint, St., Ste., Te, Ter, Van, Van de, Van der, Von, and Von der.