Filing Systems: Alphabetical Filing

Alphabetical filing is one of the most common and uncomplicated filing systems. It is considered a direct access system because you only need the patient’s name to file or access the patient record.

Using this system, last names are filed first, followed by the first name and then the second name, if applicable (Thompson, 2018). Records are filed by the first different letter, thus a patient with the last name Abrams would be filed before a patient with the last name Baker. If two patients have the same first letter of the last name, then the next letter would be considered, for example, a patient with the last name Abrams would be filed before a patient with the last name Adams. If two patients have the same last name, then the first letter of the first name would be considered; for example, Abrams, Amy would be filed before Abrams, Jane.

When it comes to alphabetical filing, there are established rules that help maintain an organized system established by the Association of Records Managers and Administrators (ARMA). The following sections outline how to correctly outline and organize patient files according to ARMA rules (Otsego Northern Catskills BOCES, n.d.).

Names of Individuals

Files should be organized and filed in this order:

• Unit 1: Last name
• Unit 2: First name or initial
• Unit 3: Middle name or initial

 The principle of “nothing comes before something” means that:

• Names that are a single letter come before full names that begin with that same letter.
• Names of a single word come before names of that same word followed by a second name, and so on.

 Prefixes, Particles and St.

• Prefixes and particles should not be considered as separate units; for example, Van Damme should be considered one unit and alphabetized as if it is spelled “Vandamme.”.
• Common prefixes and particles include d’, D’, Da, de, De, Del, Dela, Des, Di, Du, Fitz, la, La, le, Le, M’, Mac, Mc, O’, St., van, Van, Van de, Van der, von, Von, Von der.
• Ignore variations in spacing, punctuation, or capitalization.
• Alphabetize the prefix St. as though it were spelled out – Saint.

Hyphenated Names

Hyphenated names should be considered one unit. Ignore the hyphen and alphabetize according to the first part of the hyphenated name.

Abbreviated Names and Nicknames

• Names that are abbreviated (such as Wm. for William) should be alphabetized as if spelled out.
• Initials standing for or representing a first or middle name are not abbreviations.
• Names such as Al, Kate, Bill, Joe should be used as a given name unless it is known that it is a nickname.
• Individuals known only by a nickname, without a surname, should be alphabetized considering each name in the nickname as a unit.

Title, Seniority Terms, and Other Designations

• Ignore titles such as Dr., Officer, and Reverend if used with the individual’s full name, for example, Dr. Anita Hussein.
• Consider a title as the first name if it is used with only one part of an individual’s name, for example, Dr. Phil.
• The titles Mr., Mrs., Ms., and Miss are only considered to distinguish individuals with identical names.

• Current practice regarding seniority terms (Sr., Jr., 2d, II, 3d, III), professional certification or academic degrees (CPA, Ph. D., M.D.) is to ignore all except to distinguish between individuals with identical names.

References

Otsego Northern Catskills BOCES. (n.d.).  Appendix B: Alphabetizing rules. Oncboces.org.

Thompson, V. D. (2018). Administrative and clinical procedures for the Canadian health professional (4th ed.). Pearson Canada.