Electronic Filing and Calculating. Rule 9 Identical Names.

Electronic Filing and Electronic Filing and CalculatingCalculating

Rule 9Rule 9

Identical NamesIdentical Names

Rule 9Rule 9

Index identical names by their Index identical names by their addresses. Consider part of the addresses. Consider part of the address in this order.address in this order.

1.1. City nameCity name

2.2. StateState

3.3. Complete street name Complete street name (Avenue, (Avenue, Boulevard, Street, Drive)Boulevard, Street, Drive)

4.4. House number or building numberHouse number or building number

Rule 9 Rule 9 (con’t)(con’t)

Example:Example:– Joe Smith, Sidney, IowaJoe Smith, Sidney, Iowa– Joe Smith, Sidney, NebraskaJoe Smith, Sidney, Nebraska

In the state names, I comes before N.In the state names, I comes before N.


Arrange numbered streets in numeric Arrange numbered streets in numeric order before all alphabetic street order before all alphabetic street namesnames– 1818thth Street before Academy Avenue Street before Academy Avenue

Street names written as digits after Street names written as digits after compass are considered before alpha compass are considered before alpha street names street names – SE 20SE 20thth, SE Fifth, Southeast Fifth, SE Fifth, Southeast Fifth

Compass DirectionsCompass Directions

Street names with compass Street names with compass directions are considered as directions are considered as writtenwritten – North, S., East, West, NE, SWNorth, S., East, West, NE, SW

Street names written as digits Street names written as digits after compass directions are after compass directions are considered before alphabetic considered before alphabetic street namesstreet names – SE 30SE 30thth before SE Sixth before SE Sixth


If street names or building names If street names or building names are identical, the house or are identical, the house or building numbers determine building numbers determine correct order.correct order.– Honey-Do Handyman, 2289 Main Honey-Do Handyman, 2289 Main

Street, Cincinnati, OHStreet, Cincinnati, OH– Honey-Do Handyman, 8004 Main Honey-Do Handyman, 8004 Main

Street, Cincinnati, OHStreet, Cincinnati, OH– HONEYDO/HANDYMAN/CINCINNATI/

OHIO/MAIN/STREET/2280

House or Building NumbersHouse or Building NumbersGuidelines for considering order:Guidelines for considering order:– House and building numbers are House and building numbers are

considered in ascending numeric order considered in ascending numeric order and placed together before alpha and placed together before alpha building namesbuilding names

5 Grady Towers before The Grady Towers5 Grady Towers before The Grady Towers

– If both street address & building name If both street address & building name in an address, disregard building name.in an address, disregard building name.

– ZIP Codes not considered in determining ZIP Codes not considered in determining order.order.

Practice Rule 9Practice Rule 9

Read and examine Examples Read and examine Examples of Rule 9 on page 52of Rule 9 on page 52

Complete Self-Check 10, Complete Self-Check 10, Group B on page 57Group B on page 57

Rule 10Rule 10

Government NamesGovernment Names

Government NamesGovernment Names

There are three different guidelines There are three different guidelines to consider when indexing units of to consider when indexing units of governmental names.governmental names.– FederalFederal– State and localState and local– ForeignForeign

FederalFederalFirst indexing unit of a U.S. (federal) First indexing unit of a U.S. (federal) government agency name is government agency name is United States United States GovernmentGovernment. . – If United States Government does not appear If United States Government does not appear

in a federal government name, be sure to add in a federal government name, be sure to add it for indexing purposes.it for indexing purposes.

– Example:Example:U.S. Department of the Treasury Internal Revenue U.S. Department of the Treasury Internal Revenue ServiceService

– UNITED/STATES/GOVERNMENTUNITED/STATES/GOVERNMENT


Index government name by its most Index government name by its most distinctive part distinctive part (bureau, department, (bureau, department,

office, or board),office, or board), followed by the less followed by the less distinctive parts distinctive parts – U.S. Department of the Treasury Internal U.S. Department of the Treasury Internal

Revenue ServiceRevenue Service– UNITED/STATES/GOVERNMENTUNITED/STATES/GOVERNMENT– TREASURY/DEPARTMENT/OF/THETREASURY/DEPARTMENT/OF/THE– INTERNAL/REVENUE/SERVICEINTERNAL/REVENUE/SERVICE

State & LocalState & Local

First indexing unit is the name of the First indexing unit is the name of the state, county, city, or village.state, county, city, or village.– Words “State of,” “County of,” “City of,” Words “State of,” “County of,” “City of,”

“Department of,” are separate filing units “Department of,” are separate filing units and added if needed.and added if needed.

Next, index most distinctive name of Next, index most distinctive name of department, board, office, division.department, board, office, division. (What (What subject or topic is the department concerned with?)subject or topic is the department concerned with?)

State of California Highway PatrolState of California Highway Patrol– CALIFORNIA/STATE/OF/HIGHWAY/PATROLCALIFORNIA/STATE/OF/HIGHWAY/PATROL

ForeignForeignDistinctive translated English name is Distinctive translated English name is first indexing unit for a foreign first indexing unit for a foreign government name government name (Australia, France, (Australia, France, Norway).Norway). – This is followed by remainder of formal name This is followed by remainder of formal name

of the government of the government (Australia Commonwealth (Australia Commonwealth of).of).

Branches, departments, divisions follow Branches, departments, divisions follow in order by distinctive translated names in order by distinctive translated names in the same order as government names in the same order as government names in the United State.in the United State.


States, colonies, provinces, cities are States, colonies, provinces, cities are filed by official names as spelled in filed by official names as spelled in English.English.Prepare a cross-reference for original Prepare a cross-reference for original foreign spelling.foreign spelling.Example of an official name:Example of an official name:– Dawlat Al Amarat al Arabiyah al MuttahidahDawlat Al Amarat al Arabiyah al Muttahidah– Indexed order:Indexed order:

UNITED/ARAB/EMIRATESUNITED/ARAB/EMIRATESPrepare a cross-reference for original namePrepare a cross-reference for original name


Read and examine Examples Read and examine Examples of Rule 10 on page 54of Rule 10 on page 54

Complete Self-Check 11, Complete Self-Check 11, Group B on page 61Group B on page 61

Preparing Cross-ReferencesPreparing Cross-References

A cross-reference is a file A cross-reference is a file notation that directs, or notation that directs, or

refers, to an alternate location refers, to an alternate location to find a particular record in to find a particular record in

the file.the file.

Cross-References Cross-References (con’t)(con’t)

Three steps in preparing C-R cards.Three steps in preparing C-R cards.1.1. On original card, code name in body of On original card, code name in body of

card with contact information if you card with contact information if you have it.have it.

Write name in all capital letters, and in Write name in all capital letters, and in correct indexing order at the top of the correct indexing order at the top of the card.card.

The number of the card is in the upper The number of the card is in the upper right-hand side.right-hand side.


Three steps in preparing C-R cards.Three steps in preparing C-R cards.2.2. Prepare a second card with the name Prepare a second card with the name

in cross-reference order written at the in cross-reference order written at the top of the card in all capital letters.top of the card in all capital letters.

Write the original card number and an “X” Write the original card number and an “X” in the upper right-hand corner. in the upper right-hand corner. – Example: 3XExample: 3X


Three steps in preparing C-R cards.Three steps in preparing C-R cards.3.3. Write a SEE notation on the cross-Write a SEE notation on the cross-

reference card.reference card.This notation indicates that the records are This notation indicates that the records are filed under the name on the original card. filed under the name on the original card.


When C-R business names, the original When C-R business names, the original name is the name appearing on the name is the name appearing on the company letterhead.company letterhead.– At the top of the original card, write the At the top of the original card, write the

business name in capital letters and in business name in capital letters and in indexing order.indexing order.

– At the top of the C-R card, rearrange At the top of the C-R card, rearrange original name and write it in capital letters original name and write it in capital letters and in indexing order.and in indexing order.

Below the C-R name, write the original order of Below the C-R name, write the original order of the name following the SEE notation.the name following the SEE notation.

ExampleExample

Katz and Sorkin Co.Katz and Sorkin Co. is the original is the original namename

KATZ AND SORKIN COKATZ AND SORKIN CO is on the top is on the top of the original card.of the original card.

SORKIN AND KATZ COSORKIN AND KATZ CO is on the top is on the top of the C-R card.of the C-R card.

SEE KATZ AND SORKIN COSEE KATZ AND SORKIN CO is below is below the C-R name.the C-R name.

Abbreviations Abbreviations (BLVD)(BLVD) and and Acronyms Acronyms (MADD)(MADD)

Indexed as written. The full name Indexed as written. The full name written out may require a C-R to the written out may require a C-R to the acronym or abbreviation on the acronym or abbreviation on the original record.original record.Example:Example:– AAAAAA is on original indexing card is on original indexing card– AUTOMOTIVE ASSOCIATION OF AMERICAAUTOMOTIVE ASSOCIATION OF AMERICA

is on top of C-R cardis on top of C-R card– SEE AAASEE AAA is below indexed name on C-R is below indexed name on C-R

Popular & Coined NamesPopular & Coined Names

File by most commonly used name or File by most commonly used name or title & C-R under full name of title & C-R under full name of businessbusiness– Penney’s is the business namePenney’s is the business name– PENNEYS is on original index cardPENNEYS is on original index card– JCPENNEY COMPANY INC is on the top of JCPENNEY COMPANY INC is on the top of

C-RC-R

SEE PENNEYS is below C-R nameSEE PENNEYS is below C-R name

Alternative NamesAlternative NamesA person may be known by more A person may be known by more than one name. than one name. Example:Example:Mrs. Carole Cook is also known as Mrs. Carole Cook is also known as Mrs. Douglas CookMrs. Douglas Cook or Mark Twain aka or Mark Twain aka Samuel Langhorne ClemensSamuel Langhorne Clemens– COOK CAROLE MRSCOOK CAROLE MRS is on original card is on original card– COOK DOUGLAS MRSCOOK DOUGLAS MRS is on C-R card is on C-R cardSEE COOK CAROLE MRSSEE COOK CAROLE MRS below indexed name below indexed name

on C-R cardon C-R card

Hyphenated Married NameHyphenated Married Name

When name includes two or more When name includes two or more surnames, (hyphenates her maiden and surnames, (hyphenates her maiden and married name or keeps her maiden married name or keeps her maiden name) file original record/card under name) file original record/card under surname listed first. surname listed first. Example:Example:– Connie Smith-JonesConnie Smith-Jones– SMITHJONES CONNIE is on original recordSMITHJONES CONNIE is on original record– JONESSMITH CONNIE is on top of C-R cardJONESSMITH CONNIE is on top of C-R cardSEE SMITHJONES CONNIESEE SMITHJONES CONNIE

Hyphenated Business NamesHyphenated Business NamesFilers sometimes remember only one Filers sometimes remember only one name in a hyphenated name or they may name in a hyphenated name or they may reverse the names. reverse the names.

Example:Example:– Brite-Smile Dental CenterBrite-Smile Dental Center is original name is original name– BRITESMILE DENTAL CENTERBRITESMILE DENTAL CENTER is indexed on is indexed on

original cardoriginal card– SMILEBRITE DENTAL CENTERSMILEBRITE DENTAL CENTER is on top of C-R is on top of C-R

cardcard– SEE BRITESMILE DENTAL CENTERSEE BRITESMILE DENTAL CENTER is below C-R is below C-R

indexed nameindexed name

Separated Single WordsSeparated Single Words

A single word sometimes written as A single word sometimes written as two words may need to be clarified in two words may need to be clarified in the files. the files. Example: Example: Trans World Airlines, Inc.Trans World Airlines, Inc. is is original nameoriginal name– TRANS WORLD AIRLINES INCTRANS WORLD AIRLINES INC is on is on

original index cardoriginal index card– TRANSWORLD AIRLINES INCTRANSWORLD AIRLINES INC is on top of is on top of

C-R card C-R card SEE TRANS WORLD AIRLINES INCSEE TRANS WORLD AIRLINES INC

Foreign Business NamesForeign Business Names

Foreign business names may require a Foreign business names may require a C-R if English translations are known and C-R if English translations are known and used for consistency and easier filing.used for consistency and easier filing.Example:Example:– Dawlat Al Amarat al Arabiyah al Muttahidah Dawlat Al Amarat al Arabiyah al Muttahidah

is original foreign nameis original foreign name– UNITED ARAB EMIRATES UNITED ARAB EMIRATES on original cardon original card– DAWLAT ALAMARAT ALARABIYAH DAWLAT ALAMARAT ALARABIYAH

ALMUTTAHIDAH ALMUTTAHIDAH is on top of C-R cardis on top of C-R cardSEE UNITED ARAB EMIRATESSEE UNITED ARAB EMIRATES is below C-R is below C-R

namename

Compound Business NamesCompound Business Names

These names may require a C-R when a These names may require a C-R when a filer remembers only one of the names.filer remembers only one of the names.– Prepare a C-R by rotating the first name to Prepare a C-R by rotating the first name to

the last position until all names are cross-the last position until all names are cross-referenced. referenced.

– Example: Kendall, Adigun, and Martin, Inc.Example: Kendall, Adigun, and Martin, Inc.File original under:File original under:KENDALL ADIGUN AND MARTIN INCKENDALL ADIGUN AND MARTIN INCPrepare a C-R for: Prepare a C-R for: ADIGUN MARTIN AND KENDALL INCADIGUN MARTIN AND KENDALL INC

SEE KENDALL ADIGUN AND MARTIN INCSEE KENDALL ADIGUN AND MARTIN INCPrepare a second C-R for: Prepare a second C-R for: MARTIN KENDALL AND ADIGUN INCMARTIN KENDALL AND ADIGUN INC

SEE KENDALL ADIGUN AND MARTIN INCSEE KENDALL ADIGUN AND MARTIN INC

Similar NamesSimilar NamesWhen several names are identical in When several names are identical in pronunciation but different in spelling, a pronunciation but different in spelling, a See Also C-R must be prepared under each See Also C-R must be prepared under each various spellings to aid in retrieval of various spellings to aid in retrieval of desired record. desired record. – Example: Example: BurnsBurns is original name is original name– BURNSBURNS is on top of original is on top of originalSEE ALSO BURNES, BYRNESSEE ALSO BURNES, BYRNES is below is below– BYRNESBYRNES is on top of C-R card is on top of C-R cardSEE ALSO BURNS, BURNESSEE ALSO BURNS, BURNES is below is below – BURNESBURNES is on top of C-R card is on top of C-R cardSEE ALSO BURNS, BYRNESSEE ALSO BURNS, BYRNES is below is below

Unusual NamesUnusual NamesPersonal names like Mr. Rafael Personal names like Mr. Rafael Santos and Ms. Joyce Grace may Santos and Ms. Joyce Grace may confuse a filer. (Which are the first confuse a filer. (Which are the first names? Which are the last names?)names? Which are the last names?)Mr. Scott JamesMr. Scott James is original name is original name– JAMES SCOTT MRJAMES SCOTT MR is original indexed is original indexed

namename– SCOTT JAMES MRSCOTT JAMES MR is on top of C-R card is on top of C-R card SEE JAMES SCOTT MRSEE JAMES SCOTT MR is below name on C- is below name on C-

R cardR card


Complete Exercise 11 on Complete Exercise 11 on

page 65-66 in groups of twopage 65-66 in groups of two

Electronic Filing and Calculating. Rule 9 Identical Names.

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