1. OST184 Records Management
4/20/2017
OST184 Records Management
Chapter 4
Alphabetic Indexing
Rules 9 and 10
CHAPTER 4

2. RECORDS MANAGEMENT
4/20/2017
Rule 9 - Identical Names
When personal, business, or organizational names are identical, the filing order is determined by the address in this order:
City name
State or province name
Street name
House or building number 4 3
3505 Arendell Street
Morehead City, NC 1 2
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3. RECORDS MANAGEMENT
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Rule 9 - Identical Names Street Names (Avenue, Boulevard, Drive, and Street)
If first units of streets names are written in numbers (35th Street) - the names are considered in ascending order (1, 2, 3) and placed before alphabetic street names th Street would come before Eighteenth Street st Avenue would come before First Avenue
Street names with compass directions are considered as written SE Park Street would come before South Park Street North Arendell would come before 3505 South Arendell East Ninth Street would come before 1301 Ninth Street
Numbers written as digits after compass directions are considered before alphabetic names East 8th Street would come before East Main Street Sandusky Drive would come before South Eighth Avenue
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4. Rule 9 - Identical Names House or Building Numbers
RECORDS MANAGEMENT
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Rule 9 - Identical Names House or Building Numbers
House and building numbers written as digits are considered in ascending order and placed together before spelled-out building names Riverside Terrace – Eight Riverside Terrace
11 Park Avenue South – One Park Avenue
If a street address and a building name are included in an address, disregard the building name.
ZIP Codes are NOT considered in determining filing order.
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5. Examples of Rule 9- Page 83 Key Unit Unit 2 Unit 3 Unit 4
RECORDS MANAGEMENT
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Examples of Rule 9- Page 83
Names of Cities Used to Determine Filing Order
Key Unit
Unit 2
Unit 3
Unit 4
Seaside
Inn
Oceanside CA NJ WA
Ventura
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6. Key Unit Unit 2 Unit 3 Unit 4 Unit 5
RECORDS MANAGEMENT
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Examples of Rule 9 – Page 83
Names of States and Provinces Used to Determine Filing Order
Key Unit
Unit 2
Unit 3
Unit 4
Unit 5
Spencer
Anita J
Fenwick ON WV
Toppers
Restaurant
Clifton AZ TN TX WI
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7. RECORDS MANAGEMENT
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Examples of Rule 9 – Page 84 Names of Streets Used to Determine Filing Order
Key Unit
Unit 2
Unit 3
Unit 4
Unit 5
Unit 6
Subs2Go
Houston TX 8 St 48
Carter
Ave
12800
18800 SW 15
Eighth
Pecan Dr
Tyler
Way
296
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8. Complete the Rule 9 Self-Check on page 85 (see next slide)
RECORDS MANAGEMENT
4/20/2017
Complete the
Rule 9 Self-Check
on page 85
(see next slide)
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9. No Yes No No Yes No a. United Methodist Church 1250 SE Concord
RECORDS MANAGEMENT
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United Methodist Church
1250 SE Concord
Salisbury, MA
2725 N 48th Street
Salisbury, VT d.
The Burger Barn
th Street
Pittsburgh, PA
th Street
Pittsburg, PA b.
Ms. Andrea Moore
4550 SE Flavel St.
Salem, OR
975 Cedar Street.
Salem, MA e.
Mr. Daniel L. Gerson
8th and Grand Streets
Melbourne, FL
16875 Carnation Way
Madeira Beach, FL c.
The Granite Times
One Martin Street
Granite, OK
371 Martin Street f.
Key West Bank
210 N Elgin Blvd.
St. Louis, MO
150 S Elgin Ave. No
Yes No No
Yes No
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10. Chapter 4 Questions Activity 4-3
RECORDS MANAGEMENT
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Chapter 4 Questions Activity 4-3 a.
Vantage Point Spa
2d Avenue
Raleigh, NC
Country Kitchen
34th Avenue
Newark, NJ
a. Admiral Girard T. Schulte
b. Schueler-Dillworth Designs
c. Muriel Schumacher
d. Heather Schuman-Lee
e. The Schuman Education Center b.
Van Delivery Service
22nd Street Photo Lab c.
31st Street
Erie, PA
18th Street d.
Mrs. Melinda R. Van Arsdale
10 Little Indians Day Care e.
Eastern Parkway
Blacksburg, VA
First Avenue
b – d – e – c - a
d – b – c – a – e
b – a – c – e – d
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11. Rule 10 - Government Names A. Local and Regional
RECORDS MANAGEMENT
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Rule 10 - Government Names A. Local and Regional
First indexing unit is the name of the county, city, town, township, or village.
Charlotte Sanitation Department
Next, index the most distinctive name of the government or political division.
Charlotte Sanitation Department Charlotte Trash Department
If “of” is a part of the official name as written, it is added as an unit. ( “County of,” “City of,” “Department of”) Name: Charlotte Department of Environmental Health
Indexed: Charlotte Environmental Health Department of
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12. Examples of Rule 10A – Page 88
RECORDS MANAGEMENT
Examples of Rule 10A – Page 88
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Key Unit
Unit 2
Unit 3
Unit 4
Unit 5
County of Alameda Aquatic Center
Alameda
County Of
Aquatic
Center
City of Arlington Public Library
Arlington
City
Public
Library
City of Arlington Senior Center
Senior
Ashley County Dept. of Elections
Ashley
Elections
Dept
Augusta City Water Works
Augusta
Water
Works
Baker County Bureau of Licenses
Baker
Licenses
Bureau
City of Banks Water Dept.
Banks
Department
Barstow Municipal Court
Barstow
Municipal
Court
Benton City Hall, Benton, GA
Benton
Hall GA
Mayor’s Office, Benton, GA
Mayors
Office
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13. Complete Rule 10A - Self-Check - Page 88
RECORDS MANAGEMENT
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Complete Rule 10A - Self-Check - Page 88
Key 2 3 4 5 6 7
Douglas City Library, Douglas, AL
Douglas
City
Library AL
City of Douglas, Water Bureau, Douglas, AZ Of
Water
Bureau AZ
Douglas County Emergency Service
County
Emergency
Service
City of Douglas Human Resources Department, Douglas, MA
Human
Resources
Department
City of Douglas Public Library, Douglas, GA
Public GA
Douglas City Public Works
Works
Douglas City Hall, Douglas, MI
Hall MI
Douglas County Circuit Court
Circuit
Court
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14. Rule 10 - Government Names B. State Government Names
RECORDS MANAGEMENT
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Rule 10 - Government Names B. State Government Names
The first indexing unit is the name of the state of province.
Then, index the most distinctive name of the department, board, bureau, office, or government/political division.
The words State of, Province of, Department of, etc. are retained for clarity and are considered separate indexing units.
If “of” is not a part of the official name as written, it is not added as an indexing unit.
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15. Rule 10B - State or Government Names – Page 89
RECORDS MANAGEMENT
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Rule 10B - State or Government Names – Page 89
Key Unit
Unit 2
Unit 3
Unit 4
Unit 5
Unit 6
Michigan Dept. of Community Health
Michigan
Community
Health
Dept of
Michigan Dept. of Education
Education Of
Michigan Dept. of Labor
Labor
Michigan Natural Resources
Natural
Resources
Michigan State Attorney General
State
Attorney
General
Michigan Dept. of State
State of Michigan Dept. of Aging
Aging
State of Michigan Civil Service Dept.
Civil
Service
Secretary of Education State of Michigan
Secretary
Michigan State Police
Police
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16. Complete the “Rule 10B” Self-Check on Page 90.
RECORDS MANAGEMENT
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Complete the “Rule 10B” Self-Check on Page 90.
Key 2 3 4 5 6 7
Washington State Employment Department
Washington
State
Employment
Department
State of Washington, Dept. of Transportation, Highway Division Of
Transportation
Dept
Highway
Washington Dept. of Justice, Child Support Division
Justice
Child
Support
Division
State of Washington, Governor’s Office
Governor’s
Office
Washington, Dept. of Corrections, Walla Walla, Prison
Corrections
Walla
Washington State Patrol
Patrol
Continued on next slide
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17. Rule 10B Self-Check (cont’d)
RECORDS MANAGEMENT
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Rule 10B Self-Check (cont’d)
Key 2 3 4 5 6 7
Washington State Legislature, Ways and Means Committee
Washington
State
Legislature
Ways
And
Means
Committee
Washington Veterans’ Affairs Department
Veterans
Affairs
Department
State of Washington, Secretary of State Of
Secretary
Washington Dept. of Human Services
Human
Services
Dept of
Dept. of Services for the Blind, State of Washington
For
The
Blind
8 – Dept of
Washington State Museum
Museum
Washington State Law Library
Law
Library
Office of the Attorney General, State of Washington
Attorney
General
Office
8 - the
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18. Rule 10C - Federal Government Names
RECORDS MANAGEMENT
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Rule 10C - Federal Government Names
Use three indexing levels for the United States Government
First level: United States Government (ALWAYS)
Second level: Name of department
Third level: Most distinctive name
U.S. Department of Agriculture
Level 1 – United States Government
Level 2 – Agriculture Department of 2 3 4 5 6
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19. Examples of Rule 10C – Page 91 LEVEL 1 – United States Government
RECORDS MANAGEMENT
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Examples of Rule 10C – Page LEVEL 1 – United States Government
Level 2
National Weather Service, Dept. of Commerce
Commerce Dept (of)
National Weather Service
Office of Civil Rights, Dept. of Education
Education Dept (of)
Civil Rights Office (of)
Dept. of Health and Human Services
Health and Human Services Dept (of)
Energy Assurance Office, Dept. of Homeland Security
Homeland Security Dept (of)
Energy Assurance Office
Bureau of Reclamation, Dept. of the Interior
Interior Dept (of the)
Reclamation Bureau (of)
Federal Bureau of Investigation, Dept. of Justice
Justice Dept (of)
Investigation Federal Bureau (of)
Federal Bureau of Prisons, Dept. of Justice
Prisons Federal Bureau (of)
Global Affairs, Dept. of State
State Dept (of)
Global Affairs
Federal Aviation Adm., Dept. of Transportation
Transportation Dept (of)
Federal Aviation Adm
Internal Revenue Service, Dept. of the Treasury
Treasury Dept (of the)
Internal Revenue Service
Bureau of Public Debt, Dept. of the Treasury
Public Debt Bureau (of)
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20. Complete “Rule 10C” Self-Check on Page 92. Level 2 Level 3
RECORDS MANAGEMENT
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Complete “Rule 10C” Self-Check on Page 92.
LEVEL 1 – United States Government
Level 2
Level 3
National Park Service, Dept. of the Interior
Interior Dept (of the)
National Park Service
Marshals Service, Dept. of Justice
Justice Dept (of)
Marshals Service
National Nuclear Security Adm., Dept. of Energy
Energy Dept (of)
National Nuclear Security Administration
Fish & Wildlife Service, Dept. of the Interior
Interior Dept (of the)
Fish and Wildlife Service
Bureau of Land Management, Dept. of the Interior
Land Management Bureau (of)
Federal Bureau of Prisons, Dept. of Justice
Prisons Federal Bureau (of)
Power Administrations, Dept. of Energy
Power Administrations
Drug Enforcement Administration, Dept. of Justice
Drug Enforcement Administration
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21. Rule 10D - Foreign Government Names
RECORDS MANAGEMENT
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Rule 10D - Foreign Government Names
The distinctive English name is the first indexing unit for foreign government names.
Index the balance of the formal name of the government, if needed.
Branches, departments, divisions follow in order by their distinctive names.
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22. Complete “Rule 10D” Self-Check on Page 93.
RECORDS MANAGEMENT
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Complete “Rule 10D” Self-Check on Page 93.
Foreign Gov. Name
Key 1 2
Replublique de Guinee
Guinea
Republic of
Lietuvos Respublika
Lithuania Of
Hrvatska Republika
Croatia
Republica del Ecuador
Ecuador
Nippon
Japan
Respublikasinin Azerbaycan
Azerbaijan
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23. Cross-Reference Foreign Business Names
RECORDS MANAGEMENT
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Cross-Reference Foreign Business Names
Original spelling is often in the foreign language.
Translate into English for coding purposes.
Cross-reference sheet is prepared and placed in order by the foreign business name.
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24. Cross-Reference Foreign Government Names
RECORDS MANAGEMENT
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Cross-Reference Foreign Government Names
Original spelling is often in the foreign language.
Translate into English for coding.
Cross-reference sheet is prepared and placed in order by the foreign government name.
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25. Complete the “Cross-Referencing” Self-Check on page 98.
RECORDS MANAGEMENT
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Complete the “Cross-Referencing” Self-Check on page 98.
Key 2 3 4
Hotel Vier jahreszeiten
Four
Seasons
Hotel
Repubblika ta’ Malta
Malta
Republic Of
Socitete Europeene des Satellite
European
Society
Satellites
Republica Bolivariana de Venezuela
Venezuela
Bolivarian
Ristorante do Leoni
Two
Lions
Restaurant
The
Kongeriket Norge
Norway
Kingdom of
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26. Subjects Within An Alphabetic Arrangement
RECORDS MANAGEMENT
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Subjects Within An Alphabetic Arrangement
Within an alphabetic arrangement, records may sometimes be stored and retrieved more conveniently by a subject title than by a specific name.
Beware of using so many subjects that the arrangement becomes primarily a subject arrangement with alphabetic names as subdivisions.
Typical examples:
Applications
Bids or projects
Special promotions or celebrations
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27. Examples of Subjects Within an Alphabetic Arrangement
RECORDS MANAGEMENT
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Examples of Subjects Within an Alphabetic Arrangement
Key Unit
Unit 2
Unit 3
Unit 4
Unit 5
Applications
Assistant
Bianchi
Jason
Fung
Brenda
Cashier
Corbett
Lucy
Jennings
Kenneth
Data
Entry
Neally
Joyce
Rodrigez
Luis
Records
Clerk
Adamson
Cody
Osuna
Jamella
Supervisor
Kakazu
Nancy
Waasserman
Robert
Sales
Representative
Gusilli
Brian
Gagliardo
Carmella
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