rules for alphabetic...

There are three types of alphabetic filing: (1) letter by letter (in which spaces between wordsare disregarded), (2) word by word, and (3) unit by unit (in which every word, abbreviation, andinitial is considered a separate unit). ARMA International (formerly the Association ofRecords Managers and Administrators) recommends the use of the unit-by-unit method.

The basic principles of the unit-by-unit method (see pages 2–3) and the more specific rulesthat follow are consistent with the ARMA standards.* However, many acceptable alternativerules and variations are currently in use. The important thing to remember is that the goal ofany set of filing standards and rules is to establish a consistent method of sorting and storingmaterials so that you and others you work with can retrieve these materials quickly and eas-ily. Therefore, it makes sense to modify or change the following rules as necessary to accom-modate the specific needs of your office or organization. Make sure, however, that everyonewith access to your files knows what the modifications are so that a consistent set of stan-dards can be maintained.

➠ For guidelines on how to create a computerized file name, see ¶1356.

IMPORTANT NOTE: Before names can be placed in alphabetic order, they must be indexed; that is,each name must be broken down into units, and the units must be arranged in a certain se-quence. Once indexing is completed, the names can be compared unit by unit and alphabeticorder can then be established.

Each of the following rules is accompanied by a chart that shows names in two ways: the firstcolumn (headed Name) shows the full name in a standard format, that is, as it would appear inan inside address of a letter; the remaining group of columns (headed Unit 1, Unit 2, and so on)shows the name in an indexed format, arranged unit by unit in a sequence appropriate for al-phabetizing. Note that the “inside address” format presents the names in caps and lowercase,with punctuation as necessary. The indexed format presents the names in all-caps because forpurposes of alphabetizing, the differences between capital and lowercase letters should be ignored. Moreover, the indexed format ignores punctuation; it even ignores a space or ahyphen between parts of a name.

If you want to use a computer (1) to print names in alphabetic order and (2) to insert names ininside addresses as well as ordinary text, you may have to create two name fields—one using thestandard format, the other using the indexed format—as shown in the following charts.

C–1

Rules for Alphabetic Filing

APPENDIX CC

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*Establishing Alphabetic, Numeric, and Subject Filing Systems, ARMA International, Lenexa, Kansas, 2005.

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Basic PrinciplesAlphabetizing Unit by Unit

a. Alphabetize names by comparing the first units letter by letter.

b. Consider second units only when the first units are identical.

c. Consider additional units only when the first two units are identical.

NOTE: If two names are identical, they may be distinguished on the basis of geo-graphic location. (See Rule 11.)*

Nothing Comes Before Somethinga. A single letter comes before a name that begins with the same letter.

Name Unit 1O OOasis OASISOberon OBERON

Name Unit 1 Unit 2 Unit 3 Unit 4Fox Hill Company FOX HILL COMPANYFox Hill Farm FOX HILL FARMFox Hill Farm Supplies FOX HILL FARM SUPPLIESFox Hill Incorporated FOX HILL INCORPORATED

Name Unit 1 Unit 2Foley Associates FOLEY ASSOCIATESFoley Enterprises FOLEY ENTERPRISESFoley Industries FOLEY INDUSTRIESFoley Mills FOLEY MILLS

Name Unit 1 Unit 2 Unit 3AlphaNumerics ALPHANUMERICSButterfield BUTTERFIELDEagleton EAGLETONEaton EATONEberhardt EBERHARDTEberhart EBERHARTERGOnomics ERGONOMICSOffice Space Designers OFFICE SPACE DESIGNERSOffices Incorporated OFFICES INCORPORATEDOfficial Stationers OFFICIAL STATIONERS

*Rules 1–13 appear on pages 3–19.

Appendix C • Rules for Alphabetic Filing C–3

b. A name consisting of one word comes before a name that consists of the sameword plus one or more other words.

c. A name consisting of two or more words comes before a name that consists of thesame two or more words plus another word, and so on.

Deciding Which Name to UseARMA International advocates filing “under the most commonly used name or title.”This helpful principle provides the basis for choosing which name you should use fora person or an organization when alternatives exist. Select the form most likely to beused and then provide cross-references for the alternatives. In that way anyone whois searching for material under an alternative name will be referred to the primaryname being used for filing purposes. (See Rule 4c, Rule 6e, Rule 7a, note, and Rule8b, note, for specific instances in which this principle can be applied.)

Personal NamesRule 1: Names of Personsa. Treat each part of the name of a person as a separate unit, and consider the units

in this order: last name, first name or initial, and any subsequent names or initials.Ignore any punctuation following or within an abbreviation.

Name Unit 1 Unit 2 Unit 3 Unit 4Jacobs JACOBSL. Jacobs JACOBS LL. Mitchell Jacobs JACOBS L MITCHELLStephen Jacobson JACOBSON STEPHENStephen Brent Jacobson JACOBSON STEPHEN BRENTSteven O’K. Jacobson JACOBSON STEVEN OKB. Jacoby JACOBY BB. T. Jacoby JACOBY B TBruce Jacoby JACOBY BRUCE

Name Unit 1 Unit 2 Unit 3 Unit 4Oak Creek OAK CREEKOak Creek Home Furnishings OAK CREEK HOME FURNISHINGSOak Creek Homes OAK CREEK HOMES

Name Unit 1 Unit 2 Unit 3Operations OPERATIONSOperations Management Consultants OPERATIONS MANAGEMENT CONSULTANTSOperations Technologies OPERATIONS TECHNOLOGIES


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b. When you are dealing with a foreign personal name and cannot distinguish the lastname from the first name, consider each part of the name in the order in which it is writ-ten. Naturally, whenever you can make the distinction, consider the last name first.

c. In a name like María López y Quintana, the last name consists of three separatewords. For purposes of alphabetizing, treat these separate words as a single unit(for example, LOPEZYQUINTANA).

NOTE: If you are using a computer, insert a hard (or nonbreaking) space betweenthe parts of a name such as López y Quintana. Then the last name will be sorted asthough it were typed without spaces, but it will appear with spaces in an alphabet-ized list of names.

➠ For the treatment of hyphenated personal names, see Rule 3.

Rule 2: Personal Names With Prefixesa. Consider a prefix as part of the name, not as a separate unit. Ignore variations in spac-

ing, punctuation, and capitalization in names that contain prefixes (for example, d’,D’, Da, de, De, Del, De la, Des, Di, Du, El, Fitz, L’, La, Las, Le, Les, Lo, Los, M’, Mac, Mc,Saint, San, Santa, Santo, St., Ste., Ten, Ter, Van, Van de, Van der, Von, and Von Der).

NOTE: If you are using a computer, insert a hard (or nonbreaking) space betweenthe parts of a name such as De La Cruz (shown above) or Mac Kay (shown at thetop of page 5). Then the last name will be sorted as though it were typed withoutspaces, but it will appear with spaces in an alphabetized list of names.

Name Unit 1 Unit 2 Unit 3A. Serafino Delacruz DELACRUZ A SERAFINOAnna C. deLaCruz DELACRUZ ANNA CMichael B. DeLacruz DELACRUZ MICHAEL BVictor P. De La Cruz DELACRUZ VICTOR PLaVerne F. Delano DELANO LAVERNE FAngela G. D’Elia DELIA ANGELA GPierre Des Trempes DESTREMPES PIERREBrian K. De Voto DEVOTO BRIAN KP. Henri Leclair LECLAIR P HENRIPaulette G. Le Clair LECLAIR PAULETTE GPerry T. LeClair LECLAIR PERRY TDoris B. VanNess VANNESS DORIS BJan P. Van Ness VANNESS JAN PMarian L. Vanness VANNESS MARIAN L

Name Unit 1 Unit 2 Unit 3Kwong Kow Ng KWONG KOW NGNg Kwong Cheung NG KWONG CHEUNGPhilip K. Ng NG PHILIP K


b. Consider the prefixes M’, Mac, and Mc exactly as they are spelled, but ignore theapostrophe in M’. Consider a name such as O’Keefe as one word, and ignore theapostrophe.

c. Treat the prefixes Saint, San, Santa, Santo, St., and Ste. exactly as they are spelled.

NOTE: If you are using a computer, insert a hard (or nonbreaking) space betweenthe parts of a name such as Saint Clair or San Marco. Then the last name will besorted as though it were typed without a space, but it will appear with a space inthe alphabetized list of names.

Rule 3: Hyphenated Personal NamesConsider the hyphenated elements of a name as a single unit. Ignore the hyphen.

Name Unit 1 Unit 2 Unit 3S. T. Laverty-Powell LAVERTYPOWELL S TVictor Puentes-Ruiz PUENTESRUIZ VICTORJean V. Vigneau VIGNEAU JEAN VJean-Marie Vigneau VIGNEAU JEANMARIEJean-Pierre Vigneau VIGNEAU JEANPIERRE

Name Unit 1 Unit 2 Unit 3George V. Sahady SAHADY GEORGE VKyle N. Saint Clair SAINTCLAIR KYLE NJeffrey T. Sakowitz SAKOWITZ JEFFREY TAnnette San Marco SANMARCO ANNETTEFelix Santacroce SANTACROCE FELIXPeter St. Clair STCLAIR PETERO. M. Ste. Marie STEMARIE O M

Name Unit 1 Unit 2 Unit 3Marilyn R. Mack MACK MARILYN RIrene J. MacKay MACKAY IRENE JRoy F. Mackay MACKAY ROY FWalter G. Mac Kay MACKAY WALTER GF. Timothy Madison MADISON F TIMOTHYAgnes U. M’Cauley MCAULEY AGNES UPatrick J. McKay MCKAY PATRICK JAndrew W. O’Hare OHARE ANDREW WAlice R. O’Hearn OHEARN ALICE RMalachy Q. O’Neal ONEAL MALACHY QKate F. O’Neil ONEIL KATE FFrancis X. O’Neill ONEILL FRANCIS X


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Rule 4: Abbreviated Personal Names, Nicknames, and Pseudonymsa. Treat an abbreviated part of a name (such as Wm. for William) or a nickname (such

as Al or Kate) exactly as it is written if that is how the person is known. Ignore anypunctuation used with the abbreviation.

b. If a person is known by a nickname alone (without a surname) or by a pseudonym,consider each word in the nickname or pseudonym as a separate unit. If the namebegins with The, treat The as the last unit.

c. When you have to decide whether to file material under a person’s formal name orunder a nickname, pseudonym, or some abbreviated form, choose the form thatyou and others you work with are most likely to think of when you want to find thatperson’s name. (See also “Deciding Which Name to Use,” page 3.)

NOTE: You should also enter the person’s alternative name in the appropriate alpha-betic sequence and make a cross-reference to the primary name you have selected.For example, suppose that Big Al (the primary name you have selected) is formallynamed Albert J. Degas. In the appropriate alphabetic sequence you would providethis entry: Degas, Albert J.: see Big Al.

Name Unit 1 Unit 2 Unit 3Barbra BARBRA Big Al BIG ALCher CHERD. J. Clue CLUE D JThe Fat Lady FAT LADY THEHandy Joe Bob HANDY JOE BOBHarry the Horse HARRY THE HORSEHeavy D HEAVY DMad Man Marko MAD MAN MARKOMadonna MADONNAMr. Bill (see Rule 5b) MR BILLSting STING

Name Unit 1 Unit 2 Unit 3Chas. E. Kassily KASSILY CHAS EBenjy Larson LARSON BENJYBubbles Leaden LEADEN BUBBLESMoose Maguire MAGUIRE MOOSEPeggy Sue Marker MARKER PEGGY SUETommy Rae Marker MARKER TOMMY RAEB. J. Purcell PURCELL B JJ. R. Purcell PURCELL J R


Rule 5: Personal Names With Titles and Suffixesa. A title (such as Dr., Major, Mayor, Miss, Mr., Mrs., or Ms.) may be used as the last

filing unit in order to distinguish two or more names that are otherwise identical.Treat any abbreviated titles as written, but ignore any punctuation.

b. When a title is used with only one part of a person’s name, treat the title as the firstunit. (See “Deciding Which Name to Use,” page 3.)

c. Ordinarily, alphabetize a married woman’s name on the basis of her own first name.However, consider the title Mrs. (as abbreviated) if a woman uses her husband’sname and you do not know her first name.

Name Unit 1 Unit 2 Unit 3 Unit 4Mr. Fred Naylor NAYLOR FREDMrs. Marie Naylor NAYLOR MARIEMrs. June Y. Nearing NEARING JUNE YMr. Peter J. Nearing NEARING PETER JMr. Harry L. Norton NORTON HARRY L MRMrs. Harry L. Norton NORTON HARRY L MRS (whose own first name is unknown)

Name Unit 1 Unit 2Dr. Ruth DR RUTHGrandma Moses GRANDMA MOSESKing Hussein KING HUSSEINMiss Manners MISS MANNERSMother Teresa MOTHER TERESAMr. Rogers MR ROGERSQueen Elizabeth QUEEN ELIZABETHSaint Elizabeth SAINT* ELIZABETH

*Note that Saint as a title is considered a separate unit, whereas Saint as a prefix in a per-sonal name is considered only part of a unit. (See Rule 2c for examples of Saint as a prefix.)

Name Unit 1 Unit 2 Unit 3 Unit 4Dr. Leslie G. Mabry MABRY LESLIE G DRMiss Leslie G. Mabry MABRY LESLIE G MISSMr. Leslie G. Mabry MABRY LESLIE G MRMrs. Leslie G. Mabry MABRY LESLIE G MRSMs. Leslie G. Mabry MABRY LESLIE G MSMajor Felix Novotny NOVOTNY FELIX MAJORMayor Felix Novotny NOVOTNY FELIX MAYORSenator Felix Novotny NOVOTNY FELIX SENATORSergeant Felix Novotny NOVOTNY FELIX SERGEANTBishop David Oliver OLIVER DAVID BISHOPBrother David Oliver OLIVER DAVID BROTHER


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d. Consider a seniority term (such as Jr., Sr., 2d, 3d, II, or III ), a professional or aca-demic degree (such as CPA, M.D., or Ph.D.), or any other designation following aperson’s name in order to distinguish names that are otherwise identical. Numericdesignations precede alphabetic designations. Moreover, arabic numerals precederoman numerals, and each set of numbers is sequenced in numeric order. Whendealing with ordinal numbers such as 3d or 4th, ignore the endings.

NOTE: If you are using a computer, all names in which the first significant unit con-sists of arabic numerals will be sequenced in numeric order and will precede allnames with a comparable unit composed of letters of the alphabet (as shown in thechart above).

There is a problem, however, with roman numerals. Since roman numerals arewritten with letters of the alphabet, your software will consider them as letters(and not as numerals) and position them accordingly in an alphabetic sequence ofnames. Thus, if your software were sequencing the names shown in the precedingchart, the name ending with D.D. (for Doctor of Divinity) would be inserted beforethe name ending with III. To avoid this outcome, you will have to override the soft-ware and move the name ending with D.D. to the correct position (after CPA, asshown in the chart above).

Organizational NamesRule 6: Names of Organizationsa. Treat each word in the name of an organization as a separate unit, and consider the

units in the same order as they are written on the letterhead or some other author-itative document.

Name Unit 1 Unit 2 Unit 3 Unit 4James R. Foster 2d FOSTER JAMES R 2James R. Foster 3d FOSTER JAMES R 3James R. Foster III FOSTER JAMES R IIIJames R. Foster IV FOSTER JAMES R IVJames R. Foster, CPA FOSTER JAMES R CPAJames R. Foster, D.D. FOSTER JAMES R DDJames R. Foster Jr. FOSTER JAMES R JRJames R. Foster, M.B.A. FOSTER JAMES R MBAJames R. Foster, M.D. FOSTER JAMES R MDJames R. Foster, Mr. FOSTER JAMES R MRJames R. Foster, Ph.D. FOSTER JAMES R PHDJames R. Foster, S.J. FOSTER JAMES R SJJames R. Foster, Sr. FOSTER JAMES R SR


b. When alphabetizing, ignore all punctuation—for example, periods, commas,hyphens, apostrophes, and slashes. When words are joined by a hyphen or a slash,treat the phrase as a single unit.

c. Treat prepositions (such as of and in), conjunctions (such as and and or), and articles(the, a, and an) as separate units. When the is the first word in a name, treat it as thelast unit. When a or an is the first word in a name, treat it as the first unit.

Name Unit 1 Unit 2 Unit 3 Unit 4A Touch of Glass A TOUCH OF GLASSIn Touch With Life IN TOUCH WITH LIFEIn-Plant Catering INPLANT CATERINGLunch on the Go LUNCH ON THE GOOver the Rainbow Gifts OVER THE RAINBOW GIFTSThe Pen and Pencil PEN AND PENCIL THEPhotos in a Flash PHOTOS IN A FLASHUp on a Roof UP ON A ROOF

Name Unit 1 Unit 2 Unit 3 Baskins Advertising Agency BASKINS ADVERTISING AGENCYBaskins’ Artworks BASKINS ARTWORKSBaskin’s Basket Shop BASKINS BASKET SHOPBaskin-Shaw Films BASKINSHAW FILMSBaskin/Shaw Foods BASKINSHAW FOODSCurtis Imports CURTIS IMPORTSCurtis’s China Gallery CURTISS CHINA GALLERYCurtiss Couriers CURTISS COURIERSCurtis’s Marina CURTISS MARINAIn-Service Trainers INSERVICE TRAINERSOleander’s Displays! OLEANDERS DISPLAYSO’Leary’s Camera Shop OLEARYS CAMERA SHOPOn-Time Deliveries ONTIME DELIVERIESThe Upper Cut UPPER CUT THEWhat’s New? WHATS NEW

Name Unit 1 Unit 2 Unit 3American Data Control AMERICAN DATA CONTROLAmerican Datacom AMERICAN DATACOMComputer Enterprises COMPUTER ENTERPRISESComputer Systems COMPUTER SYSTEMSI Deal Cards I DEAL CARDSIdeal Printers IDEAL PRINTERS


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d. When a compound expression is written as one word or hyphenated, treat it as asingle unit. If the compound expression is written with spaces, treat each elementas a separate unit.

e. Although the words in an organizational name should normally be considered in thesame order in which they are written, there are occasions when it makes good senseto allow exceptions to this rule. (See also “Deciding Which Name to Use,” page 3.)Suppose the name in question is Hotel Plaza. Strictly speaking, Hotel should be the firstunit. However, if you and others are more likely to look for stored material in the P sec-tion of the files, choose Plaza as the first unit and Hotel as the second. On the otherhand, suppose the name in question is Motel 6. Most people would look for material inthe M section. Thus it would be best to treat this name exactly as written.

The formal name of a South Bend academic institution is the University of NotreDame. Yet most people would not look for the name in the U section (as the formalrule suggests) but would turn instead to the Ns. However, for the University of theSouth, most people would turn to the U section rather than the S section.

CAUTION: When introducing exceptions to the basic rule for organizational names,be sure that these exceptions are supported by cross-references for the sake ofthose who may search the files for an alternative name. (See Rule 4c, note, for anexample of a cross-reference.)

Rule 7: Personal Names Within Organizational Namesa. When an organizational name includes a person’s name, consider the parts of the

personal name in the order in which they are written. Ignore any punctuation.

NOTE: A more traditional rule that is still widely followed requires that a person’sname within an organizational name be considered in the same way as a person’s

Name Unit 1 Unit 2 Unit 3Aero Space Systems AERO SPACE SYSTEMSAerospace Research AEROSPACE RESEARCHAero-Space Unlimited AEROSPACE UNLIMITEDFoy Brothers Associates FOY BROTHERS ASSOCIATESFoy North-South Properties FOY NORTHSOUTH PROPERTIESFoy-Brothers Financial Planners FOYBROTHERS FINANCIAL PLANNERSPay Fone Systems PAY FONE SYSTEMSPaychex Incorporated PAYCHEX INCORPORATEDPay-O-Matic Company PAYOMATIC COMPANYSouth East Condos SOUTH EAST CONDOSSoutheast Chemicals SOUTHEAST CHEMICALSSouth-East Medical Labs SOUTHEAST MEDICAL LABSSoutheastern Medical Supplies SOUTHEASTERN MEDICAL SUPPLIES


name that stands alone—namely, last name first. (See Rule 1.) Regardless of whichapproach you are following, there are specific situations in which it would be wise tomake exceptions, depending on the way you (and others with access to your files)are likely to look up the name.

For example, even if you follow the ARMA standard for personal names in organi-zational names (first name first), you might want to make an exception for theJohn F. Kennedy Presidential Library, since most people would look for the file underthe Ks rather than the Js. Similarly, the file for the Bernard J. Baruch College mightbe more easily found if sequenced according to the surname, Baruch, rather thanthe first name, Bernard.

On the other hand, those who follow the last-name-first approach might be wiserto locate the Sarah Lawrence College file in the S section rather than the L, to filematerials on the John Hancock Mutual Life Insurance Company in the J sectionrather than the H, to store the Fred Astaire Dance Studios file under F rather thanA, and to put the Mary Kay Cosmetics file under M rather than K.

The key here is to consider the way in which the name is most likely to be lookedup (see “Deciding Which Name to Use,” page 3). Then provide cross-referencesbetween the alternative form and the primary form that has been selected. (SeeRule 4c, note, for an example of a cross-reference.)

b. If a prefix is used in a personal name that is part of an organizational name, do nottreat the prefix as a separate unit. (See Rule 2.)

Name Unit 1 Unit 2 Unit 3 Unit 4A. de La Cruz Securi- ties Company A DELACRUZ SECURITIES COMPANYA. D’Elia Boat Sales A DELIA BOAT SALESPeter Saint Clair Boatels PETER SAINTCLAIR BOATELSPeter St. Clair Insurance Agency PETER STCLAIR INSURANCE AGENCYR. San Marco Environ- mental Controls R SANMARCO ENVIRONMENTAL CONTROLS

Name Unit 1 Unit 2 Unit 3 Unit 4Frank Balcom Construc- tion Company FRANK BALCOM CONSTRUCTION COMPANYFrank Balcom, Jr., Paving FRANK BALCOM JR PAVINGM. Clausen Optical Supplies M CLAUSEN OPTICAL SUPPLIESM. G. Clausen Autos M G CLAUSEN AUTOSMark Clausen Interiors MARK CLAUSEN INTERIORSMark G. Clausen Homes MARK G CLAUSEN HOMESMark G. Clausen Hotel MARK G CLAUSEN HOTELMark G. Clausen Roofing MARK G CLAUSEN ROOFING


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c. If a hyphenated personal name is part of an organizational name, treat the hyphen-ated elements as a single unit. (See Rule 3.)

d. Consider a title in an organization’s name as a separate unit in the order in whichit occurs. Treat abbreviated titles as they are written and ignore punctuation.

Rule 8: Abbreviations, Acronyms, Symbols, and Letters in Organizational Namesa. Treat an abbreviation as a single unit. Consider it exactly as it is written, and

ignore any punctuation.

Name Unit 1 Unit 2 Unit 3 Unit 4AFL-CIO AFLCIO ILGWU ILGWUNAACP NAACPSmyly Grain Corp. SMYLY GRAIN CORPSmyly Industries Inc. SMYLY INDUSTRIES INCSmyth Data Systems Co. SMYTH DATA SYSTEMS COSmyth Datafax Ltd. SMYTH DATAFAX LTDU. S. Data Sources* U S DATA SOURCESU S Datalink U S DATALINKU. S. Grant Foundation U S GRANT FOUNDATIONU.S. Data Files US DATA FILESUS Data Tracers US DATA TRACERS

*For the treatment of an abbreviation consisting of spaced letters (such as U. S.), see Rule 8d.

Name Unit 1 Unit 2 Unit 3 Unit 4Capt. Jack Seafood CAPT JACK SEAFOODCaptain Ahab Tours CAPTAIN AHAB TOURSDr. Popper Vision Services DR POPPER VISION SERVICESMa Blake Food Shops MA BLAKE FOOD SHOPSMiss Celeste Sports- wear MISS CELESTE SPORTSWEARMother Goose Nurseries MOTHER GOOSE NURSERIESMr. George Limousines MR GEORGE LIMOUSINESMrs. Ellis Bakeries MRS ELLIS BAKERIESPrincess Diana Gowns PRINCESS DIANA GOWNSSaint Ann Thrift Shop SAINT* ANN THRIFT SHOP

*When Saint is used as a title rather than as a prefix in a personal name, treat it as a sepa-rate unit. (See Rule 5b.)

Name Unit 1 Unit 2 Unit 3 Unit 4Mary Tom Packaging Consultants MARY TOM PACKAGING CONSULTANTSMary Tom-Katz Production Company MARY TOMKATZ PRODUCTION COMPANY


b. Treat acronyms and the call letters of radio and TV stations as single units.

NOTE: When organizations are better known by their abbreviated names (AFL-CIOand NAACP) or acronyms (NOW and UNESCO) than by their formal names, usethese short forms for filing purposes and provide cross-references as necessary.(See also ¶¶520, 522. For an example of a cross-reference, see Rule 4c, note.)

c. When the symbol & occurs in a name, consider it as if it were spelled out (that is,as and ). If the symbol is freestanding (that is, with space on either side), treat it asa separate filing unit.

d. Treat single letters as separate units. If two or more letters in a sequence are writtensolid or are connected by a hyphen or a slash, treat the sequence as a single unit.

Name Unit 1 Unit 2 Unit 3 Unit 4A & D Terminals A AND D TERMINALSA D S Graphics A D S GRAPHICSAAA AAAA&D Printers Inc. AANDD PRINTERS INCADS Reports ADS REPORTSA/V Resources AV RESOURCESA-Z Rental Corp. AZ RENTAL CORPTriple A Realty Trust TRIPLE A REALTY TRUSTW Z Leasing Co. W Z LEASING COW. Y. Yee YEE W Y (person’s name)

Name Unit 1 Unit 2 Unit 3 Unit 4A & L Fabrics A AND L FABRICSA&B Publications AANDB PUBLICATIONSAllen & Korn ALLEN AND KORNAT&T ATANDT

Name Unit 1 Unit 2 Unit 3ASCAP ASCAPCARE CAREEPCOT EPCOTMADD MADDNASDAQ NASDAQNOW NOWOPEC OPECOSHA OSHAUNESCO UNESCOVISTA VISTAWBBM Radio Station WBBM RADIO STATION


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Rule 9: Geographic Names Within Organizational Namesa. Treat each part of a geographic name as a separate unit. However, treat hyphen-

ated parts of a geographic name as a single unit.

b. When a geographic name begins with a prefix followed by a space or hyphen, treatthe prefix and the following word as a single unit. (See Rule 2 for lists of prefixes.)

NOTE: A name like De Kalb or Des Moines is considered a single unit, whereas aname like Fond du Lac should be treated as three units (since the prefix du does notcome at the beginning of the geographic name).

Rule 10: Numbers in Organizational Namesa. Arabic numerals (1, 3, 5) and roman numerals (IV, XIX) are considered separate units.

Treat ordinal numbers such as 1st, 3d, and 5th as if they were written 1, 3, and 5.

b. Units that contain arabic numerals precede units expressed as roman numeralsand those consisting of letters of the alphabet (as shown in the chart at the top ofpage 15). Arrange the units containing arabic numerals in numeric order.

Name Unit 1 Unit 2 Unit 3El Cajon Editorial Services ELCAJON EDITORIAL SERVICESLa Crosse Graphics LACROSSE GRAPHICSLas Vegas Lenders LASVEGAS LENDERSLe Mans Auto Repairs LEMANS AUTO REPAIRSLos Angeles Film Distributors LOSANGELES FILM DISTRIBUTORSSan Francisco Cable Systems SANFRANCISCO CABLE SYSTEMSSanta Fe Hotel Supplies SANTAFE HOTEL SUPPLIESSte.-Julie Inn STEJULIE INNSt. Louis Water Filters STLOUIS WATER FILTERS

Name Unit 1 Unit 2 Unit 3 Unit 4Big Sur Tours BIG SUR TOURSLake of the Woods Camping Store* LAKE OF THE WOODSNew Jersey Shore Rentals NEW JERSEY SHORE RENTALSPuerto Rico Sugar Traders PUERTO RICO SUGAR TRADERSUnited States Telecom UNITED STATES TELECOMWest New York Bedding WEST NEW YORK BEDDINGWilkes-Barre Mills WILKESBARRE MILLS

*The words Camping and Store represent the fifth and sixth filing units in this name.


NOTE: For sequencing purposes most software programs will consider arabic nu-merals from the left. Given the arabic units in the chart below, a computer willplace 1218 before 21 and 210. To avoid this outcome, add zeros to the left of 21and 210 to make them the same length as 1218: 0021, 0210, 1218. Then the soft-ware will sequence these units in the correct order.

c. Units that contain roman numerals follow those with arabic numerals but precedethose consisting of letters of the alphabet (as shown above). Arrange units con-taining roman numerals in numeric order.

NOTE: For sequencing purposes, most software programs will consider roman nu-merals as letters of the alphabet and position them accordingly. If your softwarewere sequencing the names shown above, the name beginning with III would fallbetween AAA and ILGWU. The name beginning with VII would come after Sixth.The name beginning with IX would fall between ILGWU and Seventh. To avoidhaving the roman numerals scattered in this way, you will have to override the pro-gram and move these names to the positions shown in the chart above.

d. Units containing numbers expressed in words are sequenced (along with otherunits containing words or letters) in alphabetic order.

e. When a number is written with a hyphen (Seventy-Six), ignore the hyphen and treatthe number as a single unit (SEVENTYSIX).Name Unit 1 Unit 2 Unit 3 Unit 4The Turtle Back Inn TURTLE BACK INN THETwelve Eighteen Realty Co. TWELVE EIGHTEEN REALTY COTwenty-Eight Benbow Street Studios TWENTYEIGHT BENBOW STREET STUDIOSTwenty-Five Hundred Club TWENTYFIVE HUNDRED CLUBThe Warren 200 Colony WARREN 200 COLONY THEThe Warren House WARREN HOUSE THEWarren Sixty-Fourth Street Salon WARREN SIXTYFOURTH STREET SALON

Name Unit 1 Unit 2 Unit 3 Unit 421st Century Travel 21 CENTURY TRAVEL210th St. Assn. 210 ST ASSN1218 Corp. 1218 CORPIII Brothers Outlets III BROTHERS OUTLETSThe VII Hills Lodge VII HILLS LODGE THEThe IX Muses Bookshop IX MUSES BOOKSHOP THEAAA Leasing Company AAA LEASING COMPANYILGWU Local 134 ILGWU LOCAL 134ILGWU Local 145 ILGWU LOCAL 145Seventh Heaven Vacations SEVENTH HEAVEN VACATIONSSixth Street Fashions SIXTH STREET FASHIONS


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f. When a phrase consists of a number (in figures or words) linked by a hyphen or aslash to a letter or word (for example, 1-A, A-1, 1-Hour, 4/Way, One-Stop), ignorethe punctuation and treat the phrase as a single unit.

g. When the phrase consists of a figure linked to another figure by means of a hyphenor a slash (for example, 80-20 or 50/50), consider only the number that precedesthe punctuation.NOTE: Most software programs will consider the complete number as well as anypunctuation.

h. When a phrase consists of a figure plus a letter or word (for example, 3M ) withoutany intervening space or punctuation, treat the phrase as a single unit.

i. When a symbol appears with a number, treat the two elements as a single unit onlyif there is no space between the symbol and the number. Consider the symbol as ifit were spelled out; for example, & (and), ¢ (cent or cents), $ (dollar or dollars),# (number or pounds), % (percent), and + (plus).

Name Unit 1 Unit 2 Unit 3 Unit 4The $50 Outerwear Shop 50DOLLAR* OUTERWEAR SHOP THE50% Off Clothing Outlet 50PERCENT OFF CLOTHING OUTLETThe 50+ Retirement Community 50PLUS RETIREMENT COMMUNITY THEThe #1 Pizza Parlor NUMBER1 PIZZA PARLOR THEThe Original 5&10 ORIGINAL 5AND10 THEPlaza 5 & 10 PLAZA 5 AND 10

*When a $ sign precedes a number, consider the number and then DOLLAR (or DOLLARS) in that order.

Name Unit 1 Unit 2 Unit 3 Unit 41-A Physical Trainers 1A PHYSICAL TRAINERS3 Pro Corp. 3 PRO CORP3M 3M4X Investment Group 4X INVESTMENT GROUP5-10 Household Wares 5 HOUSEHOLD WARES5 Star Video Arcade 5 STAR VIDEO ARCADE5-Corners Pasta Dishes 5CORNERS PASTA DISHES7-Eleven Food Store 7ELEVEN FOOD STORE20/20 Eye Care 20 EYE CAREThe 30-45 Singles Club 30 SINGLES CLUB THEA-1 Autos Inc. A1 AUTOS INCAdam’s 10-Minute Pizza Service ADAMS 10MINUTE PIZZA SERVICEAdams’ One-Hour Photos ADAMS ONEHOUR PHOTOSAdam’s One-Stop Shop ADAMS ONESTOP SHOPThe Fifty-Fifty Co-op FIFTYFIFTY COOP THE


NOTE: Most software programs will consider these symbols on the basis of where theyoccur in the sequence of character sets. If you convert the symbol to a spelled-outform as shown in the chart on the bottom of page 16, it will be sequenced in the cor-rect alphabetic order.

Rule 11: Alphabetizing by AddressesWhen two organizational names are otherwise identical, alphabetize them accordingto address.

a. First alphabetize by city.

b. If the city names are the same, consider the state. (For example, Charleston, SouthCarolina, comes before Charleston, West Virginia.)

c. If both the city and the state are identical, alphabetize according to the street name.

d. If the street name is a number, treat it exactly as written. Numbered street namesexpressed in figures precede street names (numbered or otherwise) expressed inwords. Numbered street names expressed in figures are sequenced in numericorder. Numbered street names in words are sequenced (along with other streetnames in words) in alphabetic order.

Name Unit 1 Unit 2 Unit 3 Unit 4McDonald’s 17th Street Tallahassee, Florida MCDONALDS TALLAHASSEE 17 STREETMcDonald’s 41st Street Tallahassee, Florida MCDONALDS TALLAHASSEE 41 STREETMcDonald’s Appleyard Drive Tallahassee, Florida MCDONALDS TALLAHASSEE APPLEYARD DRIVEMcDonald’s Third Avenue Tallahassee, Florida MCDONALDS TALLAHASSEE THIRD AVENUE

Name Unit 1 Unit 2 Unit 3 Unit 4McDonald’s Durango, Colorado MCDONALDS DURANGO COLORADOMcDonald’s Springfield, Missouri MCDONALDS SPRINGFIELD MISSOURIMcDonald’s Springfield, South Dakota MCDONALDS SPRINGFIELD SOUTH DAKOTAMcDonald’s Torrington, Connecticut MCDONALDS TORRINGTON CONNECTICUT


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e. If the street names are also the same, alphabetize by direction if the direction ispart of the address (for example, north, south, northeast, southwest).

f. If all the foregoing units are identical, consider the house or building numbers andsequence them in numeric order.

Government NamesRule 12: Federal Government Namesa. For any organization that is part of the federal government, consider United States

Government as the first three units.

b. If necessary, consider the name of the department, transposing Department of tothe end. (For example, treat Department of Labor as three separate units: LABORDEPARTMENT OF.)

c. Next consider the name of the office or bureau within the department. Transposeopening phrases such as Office of and Bureau of to the end. (For example,treat Bureau of Labor Statistics as four separate units: LABOR STATISTICSBUREAU OF.)

Name Unit 1 Unit 2 Unit 3 Unit 4 Unit 5McDonald’s 110 Park Avenue Tallahassee, Florida MCDONALDS TALLAHASSEE PARK AVENUE 110McDonald’s 638 Park Avenue Tallahassee, Florida MCDONALDS TALLAHASSEE PARK AVENUE 638McDonald’s 23 Tier Street Tallahassee, Florida MCDONALDS TALLAHASSEE TIER STREET 23McDonald’s 870 Tier Street Tallahassee, Florida MCDONALDS TALLAHASSEE TIER STREET 870

Name Unit 1 Unit 2 Unit 3 Unit 4 Unit 5McDonald’s N. 16th Street Tallahassee, Florida MCDONALDS TALLAHASSEE N 16 STREETMcDonald’s S. 16th Street Tallahassee, Florida MCDONALDS TALLAHASSEE S 16 STREETMcDonald’s Swan Avenue East Tallahassee, Florida MCDONALDS TALLAHASSEE SWAN AVENUE EASTMcDonald’s Swan Avenue West Tallahassee, Florida MCDONALDS TALLAHASSEE SWAN AVENUE WEST


NOTE: It is permissible to omit the names of departments (as is done in the follow-ing examples) and move directly from United States Government to the name of theoffice or bureau.

Rule 13: State and Local Government Namesa. For any organization (except an educational institution) that is part of a state,

county, city, or town government, first consider the distinctive place name (forexample, Idaho or Sandpoint).

b. Then consider the name of the department, bureau, or other subdivision, transpos-ing elements (if necessary) as was done with federal departments and bureaus inRule 12.

NOTE: Do not add state, city, or a similar term after the distinctive place name un-less it is necessary to distinguish such names as New York State, New York County,and New York City. Moreover, do not add of, of the, or a similar expression unless itis part of the official name.

Name Unit 1 Unit 2 Unit 3 Unit 4 Unit 5Illinois State Board of Education ILLINOIS STATE EDUCATION BOARD OFIowa Division of Labor IOWA LABOR DIVISION OFWater Commission, City of Yuma YUMA CITY OF WATER COMMISSIONRegistry of Deeds, Yuma County YUMA COUNTY DEEDS REGISTRY OF

Name Unit 4* Unit 5 Unit 6 Unit 7Office of Con- sumer Affairs CONSUMER AFFAIRS OFFICE OFFederal Bureau of Investigation FEDERAL BUREAU OF INVESTIGATIONFood and Drug Administration FOOD AND DRUG ADMINISTRATIONGeneral Accounting Office GENERAL ACCOUNTING OFFICENational Labor Relations Board NATIONAL LABOR RELATIONS BOARDNational Park Service NATIONAL PARK SERVICE

*The first three units are United States Government.


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