C1

APPENDIX C
Rules for Alphabetic Filing
There are three types of alphabetic filing: (1) letter by letter (in which spaces between words
are disregarded), (2) word by word, and (3) unit by unit (in which every word, abbreviation, and
initial is considered a separate unit). ARMA International (formerly the Association of
Records Managers and Administrators) recommends the use of the unit-by-unit method.
The basic principles of the unit-by-unit method (see pages 23) and the more specific rules
that follow are consistent with the ARMA standards.* However, many acceptable alternative
rules and variations are currently in use. The important thing to remember is that the goal of
any set of filing standards and rules is to establish a consistent method of sorting and storing
materials 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 everyone
with 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.
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

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 alphabetic
order can then be established.
Each of the following rules is accompanied by a chart that shows names in two ways: the first
column (headed Name) shows the full name in a standard format, that is, as it would appear in
an 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 for
purposes of alphabetizing, the differences between capital and lowercase letters should
be ignored. Moreover, the indexed format ignores punctuation; it even ignores a space or a
hyphen between parts of a name.
If you want to use a computer (1) to print names in alphabetic order and (2) to insert names in
inside addresses as well as ordinary text, you may have to create two name fieldsone using the
standard format, the other using the indexed formatas shown in the following charts.

*Establishing Alphabetic, Numeric, and Subject Filing Systems, ARMA International, Lenexa, Kansas, 2005.
 C2 Part 3 References

Basic Principles
Alphabetizing Unit by Unit
a. Alphabetize names by comparing the first units letter by letter.
Name Unit 1 Unit 2 Unit 3
AlphaNumerics ALPHANUMERICS
Butterfield BUTTERFIELD
Eagleton EAGLETON
Eaton EATON
Eberhardt EBERHARDT
Eberhart EBERHART
ERGOnomics ERGONOMICS
Office Space Designers OFFICE SPACE DESIGNERS
Offices Incorporated OFFICES INCORPORATED
Official Stationers OFFICIAL STATIONERS

b. Consider second units only when the first units are identical.
Name Unit 1 Unit 2
Foley Associates FOLEY ASSOCIATES
Foley Enterprises FOLEY ENTERPRISES
Foley Industries FOLEY INDUSTRIES
Foley Mills FOLEY MILLS

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

c. Consider additional units only when the first two units are identical.
Name Unit 1 Unit 2 Unit 3 Unit 4
Fox Hill Company FOX HILL COMPANY
Fox Hill Farm FOX HILL FARM
Fox Hill Farm
Supplies FOX HILL FARM SUPPLIES
Rules for Alphabetic Filing

Fox Hill Incorporated FOX HILL INCORPORATED

NOTE:If two names are identical, they may be distinguished on the basis of geo-
graphic location. (See Rule 11.)*
Nothing Comes Before Something
a. A single letter comes before a name that begins with the same letter.
Name Unit 1
O O
Oasis OASIS
Oberon OBERON
C

*Rules 113 appear on pages 319.

 Appendix C Rules for Alphabetic Filing C3

b. A name consisting of one word comes before a name that consists of the same
word plus one or more other words.
Name Unit 1 Unit 2 Unit 3
Operations OPERATIONS
Operations
Management
Consultants OPERATIONS MANAGEMENT CONSULTANTS
Operations
Technologies OPERATIONS TECHNOLOGIES

c. A name consisting of two or more words comes before a name that consists of the
same two or more words plus another word, and so on.
Name Unit 1 Unit 2 Unit 3 Unit 4
Oak Creek OAK CREEK
Oak Creek Home
Furnishings OAK CREEK HOME FURNISHINGS
Oak Creek Homes OAK CREEK HOMES

Deciding Which Name to Use

ARMA International advocates filing under the most commonly used name or title.
This helpful principle provides the basis for choosing which name you should use for
a person or an organization when alternatives exist. Select the form most likely to be
used and then provide cross-references for the alternatives. In that way anyone who
is searching for material under an alternative name will be referred to the primary
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

name being used for filing purposes. (See Rule 4c, Rule 6e, Rule 7a, note, and Rule
8b, note, for specific instances in which this principle can be applied.)

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

Rules for Alphabetic Filing

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 4
Jacobs JACOBS
L. Jacobs JACOBS L
L. Mitchell Jacobs JACOBS L MITCHELL
Stephen Jacobson JACOBSON STEPHEN
Stephen Brent
Jacobson JACOBSON STEPHEN BRENT
Steven OK. Jacobson JACOBSON STEVEN OK
B. Jacoby JACOBY B
C

B. T. Jacoby JACOBY B T
Bruce Jacoby JACOBY BRUCE
Continued on page C4
 C4 Part 3 References

b. When you are dealing with a foreign personal name and cannot distinguish the last
name 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.
Name Unit 1 Unit 2 Unit 3
Kwong Kow Ng KWONG KOW NG
Ng Kwong Cheung NG KWONG CHEUNG
Philip K. Ng NG PHILIP K

c. In a name like Mara Lpez y Quintana, the last name consists of three separate
words. 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 between
the parts of a name such as Lpez y Quintana. Then the last name will be sorted as
though 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 Prefixes
a. 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).

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Name Unit 1 Unit 2 Unit 3
A. Serafino Delacruz DELACRUZ A SERAFINO
Anna C. deLaCruz DELACRUZ ANNA C
Michael B. DeLacruz DELACRUZ MICHAEL B
Victor P. De La Cruz DELACRUZ VICTOR P
LaVerne F. Delano DELANO LAVERNE F
Angela G. DElia DELIA ANGELA G
Rules for Alphabetic Filing

Pierre Des Trempes DESTREMPES PIERRE

Brian K. De Voto DEVOTO BRIAN K
P. Henri Leclair LECLAIR P HENRI
Paulette G. Le Clair LECLAIR PAULETTE G
Perry T. LeClair LECLAIR PERRY T
Doris B. VanNess VANNESS DORIS B
Jan P. Van Ness VANNESS JAN P
Marian L. Vanness VANNESS MARIAN L

NOTE: If you are using a computer, insert a hard (or nonbreaking) space between
the parts of a name such as De La Cruz (shown above) or Mac Kay (shown at the
C

top of page 5). Then the last name will be sorted as though it were typed without
spaces, but it will appear with spaces in an alphabetized list of names.
 Appendix C Rules for Alphabetic Filing C5

b. Consider the prefixes M, Mac, and Mc exactly as they are spelled, but ignore the
apostrophe in M. Consider a name such as OKeefe as one word, and ignore the
apostrophe.
Name Unit 1 Unit 2 Unit 3
Marilyn R. Mack MACK MARILYN R
Irene J. MacKay MACKAY IRENE J
Roy F. Mackay MACKAY ROY F
Walter G. Mac Kay MACKAY WALTER G
F. Timothy Madison MADISON F TIMOTHY
Agnes U. MCauley MCAULEY AGNES U
Patrick J. McKay MCKAY PATRICK J
Andrew W. OHare OHARE ANDREW W
Alice R. OHearn OHEARN ALICE R
Malachy Q. ONeal ONEAL MALACHY Q
Kate F. ONeil ONEIL KATE F
Francis X. ONeill ONEILL FRANCIS X

c. Treat the prefixes Saint, San, Santa, Santo, St., and Ste. exactly as they are spelled.
Name Unit 1 Unit 2 Unit 3
George V. Sahady SAHADY GEORGE V
Kyle N. Saint Clair SAINTCLAIR KYLE N
Jeffrey T. Sakowitz SAKOWITZ JEFFREY T
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Annette San Marco SANMARCO ANNETTE

Felix Santacroce SANTACROCE FELIX
Peter St. Clair STCLAIR PETER
O. M. Ste. Marie STEMARIE O M

NOTE: If you are using a computer, insert a hard (or nonbreaking) space between

Rules for Alphabetic Filing

the parts of a name such as Saint Clair or San Marco. Then the last name will be
sorted as though it were typed without a space, but it will appear with a space in
the alphabetized list of names.

Rule 3: Hyphenated Personal Names

Consider the hyphenated elements of a name as a single unit. Ignore the hyphen.
Name Unit 1 Unit 2 Unit 3
S. T. Laverty-Powell LAVERTYPOWELL S T
Victor Puentes-Ruiz PUENTESRUIZ VICTOR
Jean V. Vigneau VIGNEAU JEAN V
C

Jean-Marie Vigneau VIGNEAU JEANMARIE

Jean-Pierre Vigneau VIGNEAU JEANPIERRE
 C6 Part 3 References

Rule 4: Abbreviated Personal Names, Nicknames, and Pseudonyms

a. 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 any
punctuation used with the abbreviation.
Name Unit 1 Unit 2 Unit 3
Chas. E. Kassily KASSILY CHAS E
Benjy Larson LARSON BENJY
Bubbles Leaden LEADEN BUBBLES
Moose Maguire MAGUIRE MOOSE
Peggy Sue Marker MARKER PEGGY SUE
Tommy Rae Marker MARKER TOMMY RAE
B. J. Purcell PURCELL B J
J. R. Purcell PURCELL J R

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 name
begins with The, treat The as the last unit.

Name Unit 1 Unit 2 Unit 3

Barbra BARBRA
Big Al BIG AL
Cher CHER

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

D. J. Clue CLUE D J
The Fat Lady FAT LADY THE
Handy Joe Bob HANDY JOE BOB
Harry the Horse HARRY THE HORSE
Heavy D HEAVY D
Mad Man Marko MAD MAN MARKO
Madonna MADONNA
Rules for Alphabetic Filing

Mr. Bill (see Rule 5b) MR BILL

Sting STING

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

NOTE: You should also enter the persons alternative name in the appropriate alpha-
betic sequence and make a cross-reference to the primary name you have selected.
C

For example, suppose that Big Al (the primary name you have selected) is formally
named Albert J. Degas. In the appropriate alphabetic sequence you would provide
this entry: Degas, Albert J.: see Big Al.
 Appendix C Rules for Alphabetic Filing C7

Rule 5: Personal Names With Titles and Suffixes

a. 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.
Name Unit 1 Unit 2 Unit 3 Unit 4
Dr. Leslie G. Mabry MABRY LESLIE G DR
Miss Leslie G. Mabry MABRY LESLIE G MISS
Mr. Leslie G. Mabry MABRY LESLIE G MR
Mrs. Leslie G. Mabry MABRY LESLIE G MRS
Ms. Leslie G. Mabry MABRY LESLIE G MS
Major Felix Novotny NOVOTNY FELIX MAJOR
Mayor Felix Novotny NOVOTNY FELIX MAYOR
Senator Felix Novotny NOVOTNY FELIX SENATOR
Sergeant Felix Novotny NOVOTNY FELIX SERGEANT
Bishop David Oliver OLIVER DAVID BISHOP
Brother David Oliver OLIVER DAVID BROTHER

b. When a title is used with only one part of a persons name, treat the title as the first
unit. (See Deciding Which Name to Use, page 3.)
Name Unit 1 Unit 2
Dr. Ruth DR RUTH
Grandma Moses GRANDMA MOSES
King Hussein KING HUSSEIN
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Miss Manners MISS MANNERS

Mother Teresa MOTHER TERESA
Mr. Rogers MR ROGERS
Queen Elizabeth QUEEN ELIZABETH
Saint Elizabeth SAINT* ELIZABETH
*Note that Saint as a title is considered a separate unit, whereas Saint as a prefix in a per-

Rules for Alphabetic Filing

sonal name is considered only part of a unit. (See Rule 2c for examples of Saint as a prefix.)

c. Ordinarily, alphabetize a married womans name on the basis of her own first name.
However, consider the title Mrs. (as abbreviated) if a woman uses her husbands
name and you do not know her first name.
Name Unit 1 Unit 2 Unit 3 Unit 4
Mr. Fred Naylor NAYLOR FRED
Mrs. Marie Naylor NAYLOR MARIE
Mrs. June Y. Nearing NEARING JUNE Y
Mr. Peter J. Nearing NEARING PETER J
Mr. Harry L. Norton NORTON HARRY L MR
Mrs. Harry L. Norton NORTON HARRY L MRS
C

(whose own first

name is unknown)

Continued on page C8
 C8 Part 3 References

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 a
persons name in order to distinguish names that are otherwise identical. Numeric
designations precede alphabetic designations. Moreover, arabic numerals precede
roman numerals, and each set of numbers is sequenced in numeric order. When
dealing with ordinal numbers such as 3d or 4th, ignore the endings.

Name Unit 1 Unit 2 Unit 3 Unit 4

James R. Foster 2d FOSTER JAMES R 2
James R. Foster 3d FOSTER JAMES R 3
James R. Foster III FOSTER JAMES R III
James R. Foster IV FOSTER JAMES R IV
James R. Foster, CPA FOSTER JAMES R CPA
James R. Foster, D.D. FOSTER JAMES R DD
James R. Foster Jr. FOSTER JAMES R JR
James R. Foster, M.B.A. FOSTER JAMES R MBA
James R. Foster, M.D. FOSTER JAMES R MD
James R. Foster, Mr. FOSTER JAMES R MR
James R. Foster, Ph.D. FOSTER JAMES R PHD
James R. Foster, S.J. FOSTER JAMES R SJ
James R. Foster, Sr. FOSTER JAMES R SR

NOTE: If you are using a computer, all names in which the first significant unit con-

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

sists of arabic numerals will be sequenced in numeric order and will precede all
names with a comparable unit composed of letters of the alphabet (as shown in the
chart above).

There is a problem, however, with roman numerals. Since roman numerals are
written with letters of the alphabet, your software will consider them as letters
(and not as numerals) and position them accordingly in an alphabetic sequence of
Rules for Alphabetic Filing

names. Thus, if your software were sequencing the names shown in the preceding
chart, the name ending with D.D. (for Doctor of Divinity) would be inserted before
the 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, as
shown in the chart above).

Organizational Names
Rule 6: Names of Organizations
a. 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-
C

itative document.
 Appendix C Rules for Alphabetic Filing C9

Name Unit 1 Unit 2 Unit 3

American Data Control AMERICAN DATA CONTROL
American Datacom AMERICAN DATACOM
Computer Enterprises COMPUTER ENTERPRISES
Computer Systems COMPUTER SYSTEMS
I Deal Cards I DEAL CARDS
Ideal Printers IDEAL PRINTERS

b. When alphabetizing, ignore all punctuationfor example, periods, commas,

hyphens, apostrophes, and slashes. When words are joined by a hyphen or a slash,
treat the phrase as a single unit.

Name Unit 1 Unit 2 Unit 3

Baskins Advertising Agency BASKINS ADVERTISING AGENCY
Baskins Artworks BASKINS ARTWORKS
Baskins Basket Shop BASKINS BASKET SHOP
Baskin-Shaw Films BASKINSHAW FILMS
Baskin/Shaw Foods BASKINSHAW FOODS
Curtis Imports CURTIS IMPORTS
Curtiss China Gallery CURTISS CHINA GALLERY
Curtiss Couriers CURTISS COURIERS
Curtiss Marina CURTISS MARINA
In-Service Trainers INSERVICE TRAINERS
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Oleanders Displays! OLEANDERS DISPLAYS

OLearys
Camera Shop OLEARYS CAMERA SHOP
On-Time Deliveries ONTIME DELIVERIES
The Upper Cut UPPER CUT THE
Whats New? WHATS NEW

Rules for Alphabetic Filing

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 the
last 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 4

A Touch of Glass A TOUCH OF GLASS
In Touch With Life IN TOUCH WITH LIFE
In-Plant Catering INPLANT CATERING
Lunch on the Go LUNCH ON THE GO
Over the Rainbow Gifts OVER THE RAINBOW GIFTS
The Pen and Pencil PEN AND PENCIL THE
C

Photos in a Flash PHOTOS IN A FLASH

Up on a Roof UP ON A ROOF

Continued on page C10

 C10 Part 3 References

d. When a compound expression is written as one word or hyphenated, treat it as a

single unit. If the compound expression is written with spaces, treat each element
as a separate unit.
Name Unit 1 Unit 2 Unit 3
Aero Space Systems AERO SPACE SYSTEMS
Aerospace Research AEROSPACE RESEARCH
Aero-Space Unlimited AEROSPACE UNLIMITED
Foy Brothers
Associates FOY BROTHERS ASSOCIATES
Foy North-South
Properties FOY NORTHSOUTH PROPERTIES
Foy-Brothers Financial
Planners FOYBROTHERS FINANCIAL PLANNERS
Pay Fone Systems PAY FONE SYSTEMS
Paychex Incorporated PAYCHEX INCORPORATED
Pay-O-Matic Company PAYOMATIC COMPANY
South East Condos SOUTH EAST CONDOS
Southeast Chemicals SOUTHEAST CHEMICALS
South-East Medical Labs SOUTHEAST MEDICAL LABS
Southeastern Medical
Supplies SOUTHEASTERN MEDICAL SUPPLIES

e. Although the words in an organizational name should normally be considered in the

same order in which they are written, there are occasions when it makes good sense

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

to 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 first
unit. 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 other
hand, suppose the name in question is Motel 6. Most people would look for material in
the M section. Thus it would be best to treat this name exactly as written.
Rules for Alphabetic Filing

The formal name of a South Bend academic institution is the University of Notre
Dame. Yet most people would not look for the name in the U section (as the formal
rule suggests) but would turn instead to the Ns. However, for the University of the
South, 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 of
those who may search the files for an alternative name. (See Rule 4c, note, for an
example of a cross-reference.)

Rule 7: Personal Names Within Organizational Names

a. When an organizational name includes a persons name, consider the parts of the
C

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 persons
name within an organizational name be considered in the same way as a persons
 Appendix C Rules for Alphabetic Filing C11

name that stands alonenamely, last name first. (See Rule 1.) Regardless of which
approach you are following, there are specific situations in which it would be wise to
make exceptions, depending on the way you (and others with access to your files)
are likely to look up the name.
Name Unit 1 Unit 2 Unit 3 Unit 4
Frank Balcom Construc-
tion Company FRANK BALCOM CONSTRUCTION COMPANY
Frank Balcom, Jr.,
Paving FRANK BALCOM JR PAVING
M. Clausen Optical
Supplies M CLAUSEN OPTICAL SUPPLIES
M. G. Clausen Autos M G CLAUSEN AUTOS
Mark Clausen Interiors MARK CLAUSEN INTERIORS
Mark G. Clausen Homes MARK G CLAUSEN HOMES
Mark G. Clausen Hotel MARK G CLAUSEN HOTEL
Mark G. Clausen Roofing MARK G CLAUSEN ROOFING

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 the
John F. Kennedy Presidential Library, since most people would look for the file under
the Ks rather than the Js. Similarly, the file for the Bernard J. Baruch College might
be more easily found if sequenced according to the surname, Baruch, rather than
the first name, Bernard.
On the other hand, those who follow the last-name-first approach might be wiser
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

to locate the Sarah Lawrence College file in the S section rather than the L, to file
materials on the John Hancock Mutual Life Insurance Company in the J section
rather than the H, to store the Fred Astaire Dance Studios file under F rather than
A, 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 looked
up (see Deciding Which Name to Use, page 3). Then provide cross-references
between the alternative form and the primary form that has been selected. (See

Rules for Alphabetic Filing

Rule 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 not
treat the prefix as a separate unit. (See Rule 2.)
Name Unit 1 Unit 2 Unit 3 Unit 4
A. de La Cruz Securi-
ties Company A DELACRUZ SECURITIES COMPANY
A. DElia Boat Sales A DELIA BOAT SALES
Peter Saint Clair
Boatels PETER SAINTCLAIR BOATELS
Peter St. Clair
Insurance Agency PETER STCLAIR INSURANCE AGENCY
C

R. San Marco Environ-

mental Controls R SANMARCO ENVIRONMENTAL CONTROLS
Continued on page C12
 C12 Part 3 References

c. If a hyphenated personal name is part of an organizational name, treat the hyphen-

ated elements as a single unit. (See Rule 3.)
Name Unit 1 Unit 2 Unit 3 Unit 4
Mary Tom Packaging
Consultants MARY TOM PACKAGING CONSULTANTS
Mary Tom-Katz
Production Company MARY TOMKATZ PRODUCTION COMPANY

d. Consider a title in an organizations name as a separate unit in the order in which

it occurs. Treat abbreviated titles as they are written and ignore punctuation.
Name Unit 1 Unit 2 Unit 3 Unit 4
Capt. Jack Seafood CAPT JACK SEAFOOD
Captain Ahab Tours CAPTAIN AHAB TOURS
Dr. Popper Vision
Services DR POPPER VISION SERVICES
Ma Blake Food Shops MA BLAKE FOOD SHOPS
Miss Celeste Sports-
wear MISS CELESTE SPORTSWEAR
Mother Goose Nurseries MOTHER GOOSE NURSERIES
Mr. George Limousines MR GEORGE LIMOUSINES
Mrs. Ellis Bakeries MRS ELLIS BAKERIES
Princess Diana Gowns PRINCESS DIANA GOWNS
Saint 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-

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

rate unit. (See Rule 5b.)

Rule 8: Abbreviations, Acronyms, Symbols, and Letters in

Organizational Names
a. Treat an abbreviation as a single unit. Consider it exactly as it is written, and
ignore any punctuation.
Rules for Alphabetic Filing

Name Unit 1 Unit 2 Unit 3 Unit 4

AFL-CIO AFLCIO
ILGWU ILGWU
NAACP NAACP
Smyly Grain Corp. SMYLY GRAIN CORP
Smyly Industries Inc. SMYLY INDUSTRIES INC
Smyth Data Systems Co. SMYTH DATA SYSTEMS CO
Smyth Datafax Ltd. SMYTH DATAFAX LTD
U. S. Data Sources* U S DATA SOURCES
U S Datalink U S DATALINK
U. S. Grant Foundation U S GRANT FOUNDATION
C

U.S. Data Files US DATA FILES

US Data Tracers US DATA TRACERS
*For the treatment of an abbreviation consisting of spaced letters (such as U. S.), see Rule 8d.
 Appendix C Rules for Alphabetic Filing C13

b. Treat acronyms and the call letters of radio and TV stations as single units.
Name Unit 1 Unit 2 Unit 3
ASCAP ASCAP
CARE CARE
EPCOT EPCOT
MADD MADD
NASDAQ NASDAQ
NOW NOW
OPEC OPEC
OSHA OSHA
UNESCO UNESCO
VISTA VISTA
WBBM Radio Station WBBM RADIO STATION

NOTE: When organizations are better known by their abbreviated names (AFL-CIO
and NAACP) or acronyms (NOW and UNESCO) than by their formal names, use
these 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 as
a separate filing unit.
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Name Unit 1 Unit 2 Unit 3 Unit 4

A & L Fabrics A AND L FABRICS
A&B Publications AANDB PUBLICATIONS
Allen & Korn ALLEN AND KORN
AT&T ATANDT

Rules for Alphabetic Filing

d. Treat single letters as separate units. If two or more letters in a sequence are written
solid or are connected by a hyphen or a slash, treat the sequence as a single unit.
Name Unit 1 Unit 2 Unit 3 Unit 4
A & D Terminals A AND D TERMINALS
A D S Graphics A D S GRAPHICS
AAA AAA
A&D Printers Inc. AANDD PRINTERS INC
ADS Reports ADS REPORTS
A/V Resources AV RESOURCES
A-Z Rental Corp. AZ RENTAL CORP
Triple A Realty Trust TRIPLE A REALTY TRUST
C

W Z Leasing Co. W Z LEASING CO

W. Y. Yee YEE W Y
(persons name)
 C14 Part 3 References

Rule 9: Geographic Names Within Organizational Names

a. Treat each part of a geographic name as a separate unit. However, treat hyphen-
ated parts of a geographic name as a single unit.
Name Unit 1 Unit 2 Unit 3 Unit 4
Big Sur Tours BIG SUR TOURS
Lake of the Woods
Camping Store* LAKE OF THE WOODS
New Jersey Shore
Rentals NEW JERSEY SHORE RENTALS
Puerto Rico Sugar
Traders PUERTO RICO SUGAR TRADERS
United States Telecom UNITED STATES TELECOM
West New York Bedding WEST NEW YORK BEDDING
Wilkes-Barre Mills WILKESBARRE MILLS
*The words Camping and Store represent the fifth and sixth filing units in this name.

b. When a geographic name begins with a prefix followed by a space or hyphen, treat
the prefix and the following word as a single unit. (See Rule 2 for lists of prefixes.)
Name Unit 1 Unit 2 Unit 3
El Cajon Editorial
Services ELCAJON EDITORIAL SERVICES
La Crosse Graphics LACROSSE GRAPHICS
Las Vegas Lenders LASVEGAS LENDERS

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Le Mans Auto Repairs LEMANS AUTO REPAIRS
Los Angeles Film
Distributors LOSANGELES FILM DISTRIBUTORS
San Francisco Cable
Systems SANFRANCISCO CABLE SYSTEMS
Santa Fe Hotel
Supplies SANTAFE HOTEL SUPPLIES
Rules for Alphabetic Filing

Ste.-Julie Inn STEJULIE INN

St. Louis Water
Filters STLOUIS WATER FILTERS

NOTE:A name like De Kalb or Des Moines is considered a single unit, whereas a
name like Fond du Lac should be treated as three units (since the prefix du does not
come at the beginning of the geographic name).

Rule 10: Numbers in Organizational Names

a. 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.
C

b. Units that contain arabic numerals precede units expressed as roman numerals
and those consisting of letters of the alphabet (as shown in the chart at the top of
page 15). Arrange the units containing arabic numerals in numeric order.
 Appendix C Rules for Alphabetic Filing C15

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 will
place 1218 before 21 and 210. To avoid this outcome, add zeros to the left of 21
and 210 to make them the same length as 1218: 0021, 0210, 1218. Then the soft-
ware will sequence these units in the correct order.
Name Unit 1 Unit 2 Unit 3 Unit 4
21st Century Travel 21 CENTURY TRAVEL
210th St. Assn. 210 ST ASSN
1218 Corp. 1218 CORP
III Brothers Outlets III BROTHERS OUTLETS
The VII Hills Lodge VII HILLS LODGE THE
The IX Muses Bookshop IX MUSES BOOKSHOP THE
AAA Leasing Company AAA LEASING COMPANY
ILGWU Local 134 ILGWU LOCAL 134
ILGWU Local 145 ILGWU LOCAL 145
Seventh Heaven Vacations SEVENTH HEAVEN VACATIONS
Sixth Street Fashions SIXTH STREET FASHIONS

c. Units that contain roman numerals follow those with arabic numerals but precede
those 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 software
were sequencing the names shown above, the name beginning with III would fall
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

between AAA and ILGWU. The name beginning with VII would come after Sixth.
The name beginning with IX would fall between ILGWU and Seventh. To avoid
having 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 other
units containing words or letters) in alphabetic order.

Rules for Alphabetic Filing

e. When a number is written with a hyphen (Seventy-Six), ignore the hyphen and treat
the number as a single unit (SEVENTYSIX).
Name Unit 1 Unit 2 Unit 3 Unit 4
The Turtle Back Inn TURTLE BACK INN THE
Twelve Eighteen
Realty Co. TWELVE EIGHTEEN REALTY CO
Twenty-Eight Benbow
Street Studios TWENTYEIGHT BENBOW STREET STUDIOS
Twenty-Five Hundred
Club TWENTYFIVE HUNDRED CLUB
The Warren 200 Colony WARREN 200 COLONY THE
The Warren House WARREN HOUSE THE
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Warren Sixty-Fourth
Street Salon WARREN SIXTYFOURTH STREET SALON
Continued on page C16
 C16 Part 3 References

f. When a phrase consists of a number (in figures or words) linked by a hyphen or a

slash to a letter or word (for example, 1-A, A-1, 1-Hour, 4/Way, One-Stop), ignore
the 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 hyphen
or a slash (for example, 80-20 or 50/50), consider only the number that precedes
the punctuation.
NOTE: Most software programs will consider the complete number as well as any
punctuation.
h. When a phrase consists of a figure plus a letter or word (for example, 3M ) without
any intervening space or punctuation, treat the phrase as a single unit.
Name Unit 1 Unit 2 Unit 3 Unit 4
1-A Physical Trainers 1A PHYSICAL TRAINERS
3 Pro Corp. 3 PRO CORP
3M 3M
4X Investment Group 4X INVESTMENT GROUP
5-10 Household Wares 5 HOUSEHOLD WARES
5 Star Video Arcade 5 STAR VIDEO ARCADE
5-Corners Pasta Dishes 5CORNERS PASTA DISHES
7-Eleven Food Store 7ELEVEN FOOD STORE
20/20 Eye Care 20 EYE CARE
The 30-45 Singles Club 30 SINGLES CLUB THE
A-1 Autos Inc. A1 AUTOS INC
Adams 10-Minute Pizza

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Service ADAMS 10MINUTE PIZZA SERVICE
Adams One-Hour Photos ADAMS ONEHOUR PHOTOS
Adams One-Stop Shop ADAMS ONESTOP SHOP
The Fifty-Fifty Co-op FIFTYFIFTY COOP THE

i. When a symbol appears with a number, treat the two elements as a single unit only
if there is no space between the symbol and the number. Consider the symbol as if
Rules for Alphabetic Filing

it 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 4
The $50 Outerwear
Shop 50DOLLAR* OUTERWEAR SHOP THE
50% Off Clothing
Outlet 50PERCENT OFF CLOTHING OUTLET
The 50+ Retirement
Community 50PLUS RETIREMENT COMMUNITY THE
The #1 Pizza Parlor NUMBER1 PIZZA PARLOR THE
The Original 5&10 ORIGINAL 5AND10 THE
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Plaza 5 & 10 PLAZA 5 AND 10

*When a $ sign precedes a number, consider the number and then DOLLAR (or DOLLARS) in
that order.
 Appendix C Rules for Alphabetic Filing C17

NOTE: Most software programs will consider these symbols on the basis of where they
occur in the sequence of character sets. If you convert the symbol to a spelled-out
form 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 Addresses

When two organizational names are otherwise identical, alphabetize them according
to address.
a. First alphabetize by city.
b. If the city names are the same, consider the state. (For example, Charleston, South
Carolina, comes before Charleston, West Virginia.)

Name Unit 1 Unit 2 Unit 3 Unit 4

McDonalds
Durango,
Colorado MCDONALDS DURANGO COLORADO
McDonalds
Springfield,
Missouri MCDONALDS SPRINGFIELD MISSOURI
McDonalds
Springfield,
South Dakota MCDONALDS SPRINGFIELD SOUTH DAKOTA
McDonalds
Torrington,
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

Connecticut MCDONALDS TORRINGTON CONNECTICUT

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 names
expressed in figures precede street names (numbered or otherwise) expressed in
words. Numbered street names expressed in figures are sequenced in numeric
order. Numbered street names in words are sequenced (along with other street

Rules for Alphabetic Filing

names in words) in alphabetic order.

Name Unit 1 Unit 2 Unit 3 Unit 4

McDonalds
17th Street
Tallahassee, Florida MCDONALDS TALLAHASSEE 17 STREET
McDonalds
41st Street
Tallahassee, Florida MCDONALDS TALLAHASSEE 41 STREET
McDonalds
Appleyard Drive
Tallahassee, Florida MCDONALDS TALLAHASSEE APPLEYARD DRIVE
McDonalds
C

Third Avenue
Tallahassee, Florida MCDONALDS TALLAHASSEE THIRD AVENUE

Continued on page C18

 C18 Part 3 References

e. If the street names are also the same, alphabetize by direction if the direction is
part of the address (for example, north, south, northeast, southwest).
Name Unit 1 Unit 2 Unit 3 Unit 4 Unit 5
McDonalds
N. 16th Street
Tallahassee, Florida MCDONALDS TALLAHASSEE N 16 STREET
McDonalds
S. 16th Street
Tallahassee, Florida MCDONALDS TALLAHASSEE S 16 STREET
McDonalds
Swan Avenue East
Tallahassee, Florida MCDONALDS TALLAHASSEE SWAN AVENUE EAST
McDonalds
Swan Avenue West
Tallahassee, Florida MCDONALDS TALLAHASSEE SWAN AVENUE WEST

f. If all the foregoing units are identical, consider the house or building numbers and
sequence them in numeric order.
Name Unit 1 Unit 2 Unit 3 Unit 4 Unit 5
McDonalds
110 Park Avenue
Tallahassee, Florida MCDONALDS TALLAHASSEE PARK AVENUE 110
McDonalds
638 Park Avenue
Tallahassee, Florida MCDONALDS TALLAHASSEE PARK AVENUE 638

Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

McDonalds
23 Tier Street
Tallahassee, Florida MCDONALDS TALLAHASSEE TIER STREET 23
McDonalds
870 Tier Street
Tallahassee, Florida MCDONALDS TALLAHASSEE TIER STREET 870
Rules for Alphabetic Filing

Government Names
Rule 12: Federal Government Names
a. 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 to
the end. (For example, treat Department of Labor as three separate units: LABOR
DEPARTMENT OF.)
c. Next consider the name of the office or bureau within the department. Transpose
opening phrases such as Office of and Bureau of to the end. (For example,
C

treat Bureau of Labor Statistics as four separate units: LABOR STATISTICS

BUREAU OF.)
 Appendix C Rules for Alphabetic Filing C19

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 the
office or bureau.

Name Unit 4* Unit 5 Unit 6 Unit 7

Office of Con-
sumer Affairs CONSUMER AFFAIRS OFFICE OF
Federal Bureau
of Investigation FEDERAL BUREAU OF INVESTIGATION
Food and Drug
Administration FOOD AND DRUG ADMINISTRATION
General Accounting
Office GENERAL ACCOUNTING OFFICE
National Labor
Relations Board NATIONAL LABOR RELATIONS BOARD
National Park
Service NATIONAL PARK SERVICE
*The first three units are United States Government.

Rule 13: State and Local Government Names

a. For any organization (except an educational institution) that is part of a state,
county, city, or town government, first consider the distinctive place name (for
example, Idaho or Sandpoint).
Copyright 2011 by the McGraw-Hill Companies, Inc. All rights reserved.

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 in
Rule 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 it

Rules for Alphabetic Filing

is part of the official name.

Name Unit 1 Unit 2 Unit 3 Unit 4 Unit 5

Illinois State
Board of
Education ILLINOIS STATE EDUCATION BOARD OF
Iowa Division of
Labor IOWA LABOR DIVISION OF
Water Commission,
City of Yuma YUMA CITY OF WATER COMMISSION
Registry of Deeds,
Yuma County YUMA COUNTY DEEDS REGISTRY OF
C