Article
June 11, 2024
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by Stephen

Indexing as Storytelling

What does the process of indexing consist of?

Is it primarily a process of extracting terms from the text? I’ve noticed, when talking to readers and editors, that this seems to be how many people conceptualize writing an index. It is less writing and more data mining. 

I want to suggest an alternative approach. While identifying and picking up key words is important, I don’t think that that is enough. A excellent index should also contain an element of storytelling. 

I also want to address a mistake that I’ve seen newer indexers make. It is being so focused on the myriad details of the text that they—and the index—lose sight of the larger context. I’ve noticed this especially in subheadings. I don’t think that this is an intentional mistake. Books contain such a tsunami of information that it can be difficult to know where to focus. This is why I prefer to spread the work out over several days, so my mind has time to process and absorb what I’ve read. If you struggle to keep the big picture in mind while indexing, I hope this reflection gives you some pointers.

As a caveat, while writing this I have in mind narrative-driven books. Think histories and biographies. These are books that typically contain a lot of detail while also telling a story. Other sorts of books, such as in the social sciences, how-to guides, or law, are more technical in nature and may not have an overt narrative (though every book should have some sort of structure). But even for more technical books, it is important to keep the larger context in mind. 

Context, Context, Context

In my book, Book Indexing: A Step-by-Step Guide, I discuss what I call the hierarchy of information. At the top is the metatopic, which is what the entire book is about. Below that are the supermain discussions, which are the handful of major arguments or areas of focus that comprise the metatopic. Below the supermain discussions are the regular discussions, which are the sub-discussions which flesh out the supermains. At the very bottom are all the little details, typically names, places, events, etc… All of these layers are nested together and should be reflected in the index.

When I refer to the context or the big picture of a book, I am talking about the metatopic, supermain, and regular discussions. These are the overarching discussions that give meaning to the smaller details. Problems can arise when the indexer fails to link back to the context, leaving readers confused about the meaning or relevance of an array or subheading.

Audience as Context

Before I jump into some examples at the subheading level, which is where I usually see this issue, I also want to mention that the book’s audience is also an important context. Not every detail is indexable. Before starting the index, think about what is important to the readers.

I’ve seen it happen when the indexer is so focused on picking up the details that they forget to assess whether the details are relevant. For example (and this is a made-up example, as I don’t want to embarrass anyone), say the book is a memoir on hiking Mount Everest. The author also briefly discusses, over a few paragraphs, a previous trip hiking Mount Kilimanjaro. Since it is discussed, Mount Kilimanjaro should have a main entry, but because the overall focus of the book—and presumably of readers—is on Mount Everest, the indexer does not need to pick up specific details about people and places associated with Mount Kilimanjaro. Those details are not relevant and will bloat the index. Instead, focus the index on Mount Everest. 

Using Subheadings to Tell a Story

Now let’s discuss subheadings.

Subheadings are crucial for breaking down large arrays into searchable chunks, but they are only effective if they are clearly written. Subheadings which are too granular and disconnected from their context are not helpful.

Consider this example. This is also made-up and is similar to real arrays that I have seen.  

Obama, Barack: communications with; congressional leaders and; economy and; Iraq and; oil and; as president; Senate and

How much do you understand about Obama from these subheadings? Do you have a clear sense of what you will find if you let these subheadings direct you?

To start, who is Obama communicating with? About what? It could be about anything. The subheadings “congressional leaders and’ and “Senate and” are a little more specific. If the text itself is vague or if these subheadings cover multiple interactions, then this level of vagueness may be appropriate. But what if we learn that these three subheadings are all referring to negotiations over the Affordable Care Act? Now we have context.

“As president” is also an unhelpful subheading, since most readers should know that Obama was president. Does it help to learn that the context is being elected during the 2008 presidential election? The other subheadings, for the economy, Iraq, and oil, may be clear enough, though it again depends on what the text is actually about. 

While all of these subheadings are technically correct—Obama is indeed communicating with someone, he is president, and he is doing something in regards to the economy—these subheadings also feel disconnected from anything concrete, at least to me. If we revise these subheadings to more accurately reflect the larger discussions, we get the following array. Which seems more connected to his presidency? Which is more helpful to readers?

Obama, Barack: 2008 presidential election; Affordable Care Act; economic policies; Keystone XL pipeline; withdrawal from Iraq

Let’s look at another example. Sometimes subheadings within an array are treated as a list, as in a list of names. 

Microsoft: Allen; Ballmer; Gates; Nadella; Wallace

These are all key players in Microsoft’s history. They are important and should all have main entries, but is listing them as subheadings really the best use of the Microsoft array? It doesn’t tell us much except that these people all have links to Microsoft. Why not use the subheadings to instead tell Microsoft’s story? Gates, Ballmer, and the others can still be in the index; just not the focus here. 

Rewriting the Book in the Index?

At this point, I can imagine a couple of objections. Is storytelling really appropriate within an index?

A common rule of thumb is to not rewrite the book in the index. I understand the point, that the index is supposed to direct readers to where the discussion actually is. But the index can only direct if the entries are clearly written. One of the best ways to be clear, in my opinion, is to connect to the larger context. I enjoy stories, and so I like to think of this as storytelling. If it helps, think of this as being clear and specific. What will resonate with the reader? Use that to hook the reader and send them in the right direction. 

It is also important to select the level of specificity that matches the discussion in the text. Returning to the Obama example, the Affordable Care Act is much more specific, and therefore more meaningful, than a generic subheading for healthcare policies. But if the discussion in the book is more like a broad overview, as in an overview of various economic policies, then a subheading at a broader level, like “economic policies,” would be the better choice.

Storytelling vs. Lists

I am also not saying that you should never make a list. Using subheadings to gather information into a list is also a valid approach. The two approaches can even be used in the same index. For example, for a book about Margaret Atwood, the main array for Atwood could tell the story of her life and career while a separate array—perhaps appended using the em-dash-modified format—could list all mentions of her novels and other writings. Books that are more technical in nature, rather than narrative-driven, may also favor lists over storytelling. The trick is knowing when each strategy is appropriate.

I also think that storytelling—making sure that the big picture is adequately represented in the index—can be more difficult to do, or at least more difficult to remember. It is summarizing and pointing towards the narrative and structure that exists within the book. Gathering together a list is often easier. 

When indexing, remember that you have options for how to present entries and information to the reader, and that your goal is to clearly communicate what the book is about.

Taking a Step Back

So how do you see the big picture? How do you channel that wave of information that is threatening to overwhelm you?

I find it helps to pause and take a step back. I especially do this if I feel like I’ve lost sight of the author’s argument or point. Or if there are a lot of names and other details and so it is easier to make two passes over that section, once for the details and a second time to see the full picture. I ask myself, “What is this discussion about, anyway?” Once I’ve identified the overarching discussion, I may need to go back and create entries for the context that I’ve missed.

If you struggle to see the big picture or the hierarchy of information, try to develop a habit of pausing and reflecting. Read until you hit a transition. Pause. How would you summarize the discussion you just read? How does the discussion fit into the larger structure or narrative of the book? Try completing the following sentence: “This section is about…” Be clear, specific, and meaningful. Once you have your answer, put it in the index.

Article
May 14, 2024
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by Stephen

Indexing Yellowstone’s Wolves

It is not too often that I have the privilege of indexing an entire series. It is also not every index in which structure plays such a prominent role. I mean, structure—deciding which entries and arrays to create, where to place them within the index, and how they relate to each other—is always important, but for some indexes structure can play a heightened role.

I recently indexed the fifth volume in the Alpha Wolves of Yellowstone series, written by Rick McIntyre and published by Greystone Books. Rick has been observing and studying the wolves at Yellowstone National Park for about 25 years. His books are an intimate portrayal of the lives of the wolves, beginning with the first generation that was reintroduced into Yellowstone and continuing up to the present day. Each book typically focuses on one or two key individuals, and from there explores the dynamics within packs, between packs, and the role that wolves play within the Yellowstone ecosystem. I indexed the first volume, The Rise of Wolf 8, in 2019, and the latest volume, Thinking Like a Wolf, will be released later this year.

I highly recommend the series if you are interested in wolves, Yellowstone, or animal conservation. My Grandpa even enjoyed the first couple of volumes, when he was still able to read. I remember visiting and discovering the books in his home. He was pleasantly surprised to learn that I had indexed them, though to be honest, I don’t know if Grandpa ever fully understood what it is I do.

Indexing Wolves

From an indexing standpoint, the books present an interesting puzzle. The focus is squarely on the lives of the wolves, though with a few dozen wolves discussed and mentioned in each book, it can be difficult to remember which is which. Most of the wolves are radio collared and assigned a number (wolf 8, wolf 480, wolf 996, etc…). While the numbers make it easier to differentiate, they can also be difficult to remember. There are also a few wolves without radio collars who are referred to by nicknames, such as Big Blaze, Medium Gray, and Slant.

Another challenge is that while the author does an excellent job of weaving a narrative, there are also a lot of elements in the lives of the wolves that are repetitive. The wolves grow up, they find mates, they raise pups, they hunt, and the next year, if they survive, they do it all over again. They also frequently interact with other packs and other animals, such as bison. Each book typically spans several years, following the lives of the featured wolves. How best to index all of that without making the index too repetitive?

Both of these challenges have to do with structuring the index, which proved to be the biggest challenge. The structure should be meaningful to the subject matter and easy to use. Though once I figured out my approach, I used the same approach across all volumes. For a series, it helps to have the same indexer throughout to maintain consistency, so that readers know what to expect in each subsequent volume. 

In this index profile, I am going to outline how I approached the structure, using examples from the third volume in the series, The Redemption of Wolf 302, which was published in 2021. 

Placing Wolves in Context

As I mentioned, it can be difficult to remember which wolf is which. It can also be difficult to remember which wolf is part of which pack. So, I decided to use the em-dash-modified format to place all of the wolves together within their respective packs.

The value of this approach is that it keeps each pack together. Readers only need to look in one place to see all of the details about that pack. The downside is that this can lead to large arrays. One of the largest in The Redemption of Wolf 302 is for the Slough Creek pack, with 36 subheadings under the main heading and 16 members listed using em dashes.

To give a shorter example, here is the main heading and 4 of the 11 wolves listed under the Agate Creek pack:

Agate Creek wolf pack: background, xxii; Blacktail pack formation and, 200, 201–2; breeding, 108, 160, 207–8; confrontation with Druid Peak pack, 20–22; confrontations with Slough Creek pack, 35, 96; grizzly encounter, 135; humans encounter, 136–37; injured pup, 158, 165; membership changes, 214; pup rearing, 136; size, 23, 206–7; Slough Creek pack’s territory and, 139; visits between related females from other packs, 218; wolf 302’s interest in females, 162

—Big Blaze (alpha male), 197, 201, 206, 208, 209, 214

—wolf 06: introduction, 85, 92, 141; Blacktail pack and, 200–201, 208–11; future of, 245; hunting abilities, 211; independent living, 214, 220; interest in wolf 302, 163; photographs, plate 7, plate 8; relationship with sister, 136; return to Agate pack, 207–8

—wolf 471. See under Lava Creek wolf pack

—wolf 472 (alpha female): avoidance of Slough Creek pack, 35; breeding, 108, 160, 207–8; confrontation with Druid Peak pack, 21; disturbance from humans, 137; pregnancies and pups, 85, 92–93, 135, 214; relationship with wolf 113, 106–7

Individuals vs. Packs

Using this structure, I also differentiate between discussions about the pack as a whole and discussions about the individual members within that pack. In the example above, the initial set of subheadings under the “Agate Creek wolf pack” main heading are about the pack as a whole. Those discussions generally involve multiple members of the pack or, in the case of the injured pup, an unnamed member. Those subheadings also provide an overview of the pack’s activities.

Specific discussions and mentions about each member are found under each specific wolf. There is some overlap between the pack-level subheadings and the specific members. For example, under the alpha female wolf 472, the subheadings for “breeding” and “confrontation with Druid Peak pack” are also under “Agate Creek wolf pack.” This reflects the fact that pack-level activities involve specific wolves, which are often mentioned, and so double-posting is necessary. Though I also try to honor this distinction between pack and individuals, and not everything needs to be double-posted. 

Directing Readers

With so many wolves, and with the wolves indexed under their respective packs, it is also important to clearly direct readers to where the wolves can be found. I’ve done this in two ways.

One, all of the wolves are listed (not double-posted) as a main entry with a cross-reference to their respective pack. With 45 numbered wolves in this volume, this makes for a very long list of cross-references in the W section of the index. While it looks awkward, I think it is the clearest way to direct readers. For example,

Big Blaze. See under Agate Creek wolf pack

wolf 21. See under Druid Peak wolf pack

wolf 629. See under Slough Creek wolf pack

Two, some of the wolves leave their birth packs and either join a different pack or help establish a new pack. Some wolves move multiple times. For these wolves, I also include cross-references from their former packs to their new pack. For example,

Agate Creek wolf pack

—wolf 590. See under Slough Creek wolf pack

—wolf 642. See under Blacktail wolf pack

I chose not to double-post the wolves because I think the wolves make the most sense within the contexts of their packs. I want readers to be able to see the full picture. With so many wolves, I think it also helps readers if the wolves are handled consistently, so readers come to expect that the wolves will always be in a certain place. Also, with such a long list of wolves in the W section, I think that list is easier to scan if they are all cross-references, instead of cross-references mixed with page numbers.

Labeling the Alphas

To further differentiate the wolves, especially the leaders, I also decided to use glosses to label the alpha males and females. These wolves tend to be discussed more, and I thought a gloss would help readers identify them more easily. For example, under the Blacktail pack:

Blacktail wolf pack

—Big Brown (alpha male): as beta male, 207; Blacktail pack formation and, 206, 215; breeding, 203, 208, 209; mention, 218; name, 201; as new alpha male, 241; pup rearing, 228

—wolf 693 (alpha female): introduction, 92; aggression against sister, 136, 200, 211; Blacktail pack formation and, 201, 215; breeding, 203, 207, 208–9, 212; denning, 218; photograph, plate 8; pup rearing, 219, 222, 224, 225, 227; in Quadrant pack’s territory, 235, 236, 238, 241; relationship with wolf 302, 214, 237; unpopularity, 216

Indexing Repetitive Elements

As I also mentioned, one of the challenges of indexing these books is that wolves tend to do the same sorts of things throughout their lives. If all goes well, the wolves will breed and raise a new litter of pups every year. The wolves also hunt, encounter other animals, and interact, sometimes aggressively, with other packs.

I decided that it did not make sense to organize the arrays chronologically, as in a new subheading for each litter of pups. That would greatly lengthen the index and make it more difficult to read. Instead, I decided to gather like happenings together, regardless of year or the number of times it happened. For example, under Agate Creek’s wolf 472, above, I include all references to her pregnancies and pups into one subheading. 

I also use similar wording for subheadings throughout the arrays. As seen for the Agate Creek pack, above, I have subheadings for “confrontation with Druid Peak pack” and “confrontation with Slough Creek pack,” as well as “grizzly encounter” and “humans encounter.” This helps to signal to readers that something similar is happening in each subheading, and it helps to keep double-posts, such as under the Druid Peak and Slough Creek packs, consistent throughout the index. 

To give another example, elk are among wolves’ preferred prey, with the book describing multiple hunts. In the array for elk, I differentiate the hunts by pack and by wolves, which are also double-posted under those packs and wolves.

elk: breeding season and, 65; calves, 222; conflict between packs over, 22, 98, 202; hunting by Druid Peak pack, 38, 88, 112, 141, 142, 143–44, 149, 151, 163–64, 176–77, 179–80, 185–86, 222, plate 4; hunting by Slough Creek pack, 16–17, 45, 53, 57, 120–21, 127–28, 165, 176–77, 191, 195; hunting by wolf 06, 211; hunting success rate, 185; injuries from, 180–84; near den sites, 41, 187–88; scabies, 149–50; shortage of, 217; wolf 302’s fear of carcasses, 112–13

 

When structuring an index, every entry has its place. 

This is especially true for the books in the Alpha Wolves of Yellowstone series. Containing a lot of wolves, and a lot of details about wolves being wolves, the index entries needed to be structured in a way that made sense for the subject matter and was easy for readers to navigate. 

I hope I have accomplished that with my approach. While every index has a structure, I needed to think more deeply and be more creative in my approach for this series. I also hope that these examples give you some ideas for what is possible and for how to approach a book with unusual needs.

Article
April 16, 2024
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by Stephen

But Am I Really Qualified to Index That?

One of the challenges of being a freelance indexer is knowing where to draw the line on projects that are a good fit. Do you stick to subjects that you are comfortable with and for which you have prior professional or academic expertise? Or does indexing know-how mean that you can index anything?

I think it is a bit of both.

I consider myself a generalist, with some caveats. I am comfortable with most trade books, written for a general audience, since I consider myself part of that readership. I am comfortable with most scholarly books within the humanities and social sciences, though I have also learned that I have limits. While I can index philosophy, for example, I often struggle to wrap my mind around such abstract concepts. I index better and faster if I stick to subjects like history or political science that are typically more concrete. Then there are subjects like law, medicine, and engineering, which I have no background in and tend to avoid.

Except, when it depends. 

I recently indexed a law book for the first time and it turned out okay. (At least I think so and the author is pleased.)

It all started when the production manager got in touch. Carra Simpson, a phenomenal independent project manager who remembered me from a previous job, asked if I would be interested in indexing Coppock on Tennessee Adoption Law, 8th Edition, by Dawn Coppock, (Good Law, 2024). I initially resisted. I explained that I do not have a law background, that I am not confident that I will recognize important concepts, nor do I know what legal professionals will be searching for in an index. Carra patiently countered my objections, sent me the proofs for the 7th edition so I would have a better idea of what to expect, and offered to put me in touch with Dawn, the author. 

As it turned out, Dawn had a smaller budget, though still reasonable, and was comfortable with a simpler index, though at 700 indexable pages, there was still a lot to pick up. I focused on the main concepts and discussions, taking cues from the book’s structures and headings, which was clearly organized. I also tried to not get bogged down in minor details, though I still read the whole book. Creating a solid structure for the index proved important, one that was easy to navigate and which didn’t bury entries, as there was a lot of information to include (about 115 pages alone covering grounds for termination of parental rights, for example). We also decided to not pick up individual cases, which saved a lot of time. I also had an informative chat with Dawn over Zoom, which helped me better understand some of the terminology and how readers would search. Lastly, I appreciated that Dawn had written the book to be accessible to everyone involved, from judges and lawyers to adoptive and birth parents, which meant I felt like I could understand it too.

I also leaned heavily into my indexing expertise. Even when I don’t fully understand the subject matter, I’ve learned how to read as an indexer and I know what a good index looks like. 

This contrasts with my very first freelance index, for The Anthology of Social Studies: Issues and Strategies for Elementary Teachers, Updated Edition, edited by Roland Case and Penny Clark (Pacific Educational Press, 2013). The production editor suggested that I update the original index, which I foolishly agreed to do. What I discovered were chapters that had been added, removed, and rearranged, which made deconstructing and updating the index an extremely painstaking and mind-bending process. I should have insisted on rewriting the index from scratch. Except, I don’t have a background in education either. I think I would be fine now with indexing the book, but at that time, with neither subject-matter expertise nor enough indexing expertise, I was sinking fast. As painful as it was to update the original index, at least the original index showed me what the index should be like and helped pull me through.

Reflecting on these two experiences, my point isn’t to brag about how far my indexing skills have come. Rather, I want to encourage you to focus on building your own indexing skills. Indexing expertise counts for a lot when facing a difficult project or unfamiliar subject. It certainly helps to also understand the subject, and if you are out of your depth, I recommend talking to the author and maybe also doing some research to learn the basics. But it is also important to remember that the value we bring as indexers is our knowledge of indexing. It is knowing how to identify indexable material. It is formulating clear and concise headings and subheadings. It is being adept at creating a structure that is easy to navigate and highlights the main points of the book. If you can develop your indexing chops, it becomes way easier to stretch beyond your comfort zone. 

As you practice, whether on practice indexes or freelance projects, I suggest sticking to topics and subjects that are relatively easy. Focus first on building your skills, and then apply those skills to more difficult books. I began indexing when working in-house for Harbour Publishing, a trade publisher. While unplanned, that proved a good starting point because the books were fairly easy to understand and I could focus on crafting the index. Later, when I began indexing scholarly books, I had a small foundation of experience to build upon, which made scholarly books—at least in subjects I was familiar with—easier to tackle.

Ten years ago, I probably would have struggled to index Coppock on Tennessee Adoption Law. Now, I’m still no lawyer, but it turns out I can crack the index.

Article
March 19, 2024
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by Stephen

Making a Plan Before Starting an Index, How to

I found myself thinking last week about the value of making a plan before starting an index. It is something I do as part of my indexing practice. But what do I mean by making a plan? While I discuss elements of making a plan in my book (especially in the “Get Ready” section, though the whole book, really, is to help you make a plan to tackle your index), I don’t think I’ve previously pulled together what it is I mean when I am beginning an index.

So, assuming you understand the basic elements and process for writing an index, and you have received the page proofs from the client and are getting ready to start the index, how can you go about making a plan? 

For me, making a plan can be broken down into answering the following six questions.

  1. What is the book about? This question is about determining the focus and scope of the book. I read the book’s description on the publisher’s website, if available. I also read the table of contents, and maybe skim the introduction and a couple of chapters. I want to get a feel for the main topics and headings that I will be picking up. With this broad sense of the book in mind, I may also begin thinking about how to translate that into the index’s structure.
  2. Who is the audience? Beyond what the book is about, each index should be tailored to its audience. Will readers prefer a detailed index or a lighter index? Are readers picking up this book to answer a specific question or for entertainment? What does the audience already know about this topic, and what will they expect to find? Similar to determining what the book is about, considering the audience is also about focus and scope. Which details are relevant, and which irrelevant? Depending on the audience, not all details need to be picked up.
  3. How much space is available for the index? This is a question to confirm with the client. If I can have all the space that I want, then space isn’t a factor in my decision-making. If there is a strict page or line limit, then I may need to make decisions about structure or which entries to include or exclude in order to fit. Planning ahead, I may consider using fewer subheadings, for example, or to outright exclude certain categories of details to ensure that the priority entries make the cut.
  4. Does the book contain any specific indexing challenges? For example, are there a lot of illustrations? Are there legal cases that require special formatting? Are there terms from another language that contain diacritics or other special characters? Are there a host of family members that may need differentiating? It is not always possible to anticipate challenges, but if you can, now is a good time to consider your approach so you don’t get hung up partway through the index.
  5. What is the publisher’s preferred style? If you are not familiar with the publisher’s style guide, now is a good time to review. I find it helpful to get the format right from the start, such as alphabetization and locator abbreviations, so I don’t have to think about it later.
  6. What is my schedule? This is partly a question of the deadline to submit the index to the client, as well as a question of my own plan. Which days am I going to work on the index? How much am I aiming to complete each day? When do I want to finish the rough draft and when do I want to finish the final edit? 

All of these plans are, of course, contingent. It may take me longer than I expect to write the rough draft. I may discover an unexpected challenge. I may need to rethink my approach in order to keep the index short enough. Continuing to revise and refine the plan is, for better or worse, part of my indexing process.

But I find there are still benefits to thinking through all of these questions before starting. Knowing what the book is about and who the audience is helps to shape the entries I create and cuts down on irrelevant ones. The rough draft is usually a little cleaner and easier to edit. Indexing to the space available helps to avoid needing to make deep and painful cuts late in the process. Identifying challenges early means indexing correctly from the start, rather than going back to fix. Creating a schedule helps to keep me on track.

How much time should you spend making a plan? That is up to you. For many books, I only need about five or ten minutes to assess and make a plan. I may jot down a couple of notes and otherwise will keep my thoughts in my head. I’ve so far indexed around 500 books and many books are similar enough in terms of structure and genre conventions that I quickly know what to expect. Though I also work on some books that are more complicated or unique, and for those I do spend time digging into what it is I am unsure about. I am also aware of some indexers who use a checklist or form to help them prepare for each index. Find a system that works for you.

Writing an index is a constant process of decision-making. Making a plan can help streamline some of that decision-making, and provide confidence that you are setting out on the right path.

Article
March 5, 2024
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by Stephen

When to Walk Away

A month ago I wrote about my ideal working relationship with publishers, as a valued member of the team. But not every publisher or client is going to be ideal, and sometimes you need to know when to walk away.

Walking away from a project or client is scary. Especially early in my career, I was loath to pass up an opportunity. I needed the paycheck and would say yes to books that I either had no interest in subject-wise, or were beyond my skill level in either subject matter expertise or indexing know-how. Which isn’t always bad. Sometimes being pushed out of my comfort zone shows me where I need to improve or shows me that I am capable of more than I realize. Though sometimes it means that I need to set better boundaries.

Sometimes you need to walk away from a project because of the client, not the actual work. Or at least be willing to walk away.

I faced this situation with two different clients last year, both academic authors. The experiences caused me to reflect on what it is I need from clients in order to make this working relationship worthwhile. Are all of the terms dictated by the client, or do I have some agency too? Though to be fair to both authors, I found them both (or in the one case, the author’s assistant) pleasant and easy to work with. The problem actually lay with their respective universities.

Often when I am hired by an academic author, payment for the index comes from their university, in the form of funding that the author can tap into. This usually means that I need to register with the university as a vendor, which almost always means paperwork. In these two cases, both universities had requirements that I was unable to fulfill. In one case, the university wanted a tax number that I did not have (as a Canadian citizen and resident, with the university in another country, it was a foreign tax number I ordinarily do not need). In the other case, for a university in yet another country, their requirements seemed more suited to a larger company than my one-person freelance outfit. After initial inquiries, neither university seemed to want to budge.

What do I do? Do I invest time and money trying to meet their requirements, which could potentially take months trying to acquire that which I do not have? Or do I walk away? I don’t really want to walk away, because the issue isn’t with the book or with the author. But if being paid is going to be a drain on my time and resources, the project is no longer so appealing. How much red tape is $1000, or even $2000, worth?

In both cases I decided to be honest with the authors. It also helped that they had started the vendor registration process early, before the proofs were ready for indexing, so there was still time to find another indexer if necessary. I explained why I was unable to meet all of the vendor registration requirements. I asked if the university would be willing to waive the problematic requirements. I politely stated that if the requirements were not waived, then I would regretfully need to withdraw from the project and they would need to find another indexer who would be a better fit.

I felt anxious threatening to pull out of a project I had previously agreed to do. I didn’t know how the author or the university would react. I also felt okay at the prospect of losing the client and project. There was still time for another project to come along to fill that time slot in my schedule and it felt good to protect and value my own time and business.

Thankfully, both universities decided, after all, that they could waive the troublesome requirements. I don’t fully know what happened on their end, but the authors decided to advocate to keep me as their indexer and the university administrators found a way to make it happen. A happy outcome for everyone, at least from my perspective.

These experiences taught me a few lessons:

  • Know my boundaries. As an indexer, I am here to serve my clients, which involves dealing with payment and paperwork. Some paperwork is reasonable. But I also want to enjoy my work, and I only have a finite amount of time. To keep my business sustainable and enjoyable, I need to know and enforce my boundaries, which may mean saying no or goodbye to certain books or clients. I know I can’t serve everyone, so I may as well focus on the books and clients that are the best fit.
  • Always ask. Administrative requirements may not be set in stone. While the answer may not always be what I want to hear, it is worth asking if changes can be made (and letting the client know what I am willing and not willing to do) before making a final decision about a client or project.  
  • Learn to say no. I wish I was better at saying no, and that I was better at it earlier in my career. Turning down projects is tough, especially when offers are scarce. But if you are a newer freelancer, practice saying no, and maybe actually say it sometimes. This circles back to boundaries. Know what kind of work is too far out of your comfort zone. Know what level of red tape you are willing to deal with. It may be difficult in the moment to turn down a project or client, but your future self will thank you. 

Have you ever walked away from a project? What was that experience like? What did you do to make the situation better? Please feel free to reply below in the comments. I am curious to hear your experience.

Article
February 6, 2024
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by Stephen

A Member of the Team? Freelance Indexers Within Publishing

Freelancers are ubiquitous within publishing. Most publishers maintain a relatively small number of in-house staff, with much of the actual production work contracted out. What does this mean for the relationship between freelancer and publisher?

Before I dig into this topic, I want to acknowledge that I write from a place of having previously been on the inside, and from also now having been a freelancer for about eleven years. When I first began working in publishing, I worked in-house for two different publishers. I developed a strong sense of publishing as a team effort, with each person, whether in-house or freelance, contributing to the finished book. As a freelancer, I have retained this sense of being part of a team, and in my ideal working relationship with a publisher, we respect each other as team members. That said, I am also aware that many freelance indexers do not have in-house experience, and that publishers can come across as opaque and unapproachable. 

This reflection draws upon my own experience and what I would like to see. Your experiences and ideal working relationship may be different. I am curious to hear what you think, in the comments. If you are a new freelance indexer, I hope this gives you some ideas for what a positive working relationship can be like.

To start, let’s look at a couple of recent experiences I’ve had.

The Editor Who Couldn’t Care Less

Some publishers, or at least certain editors within those publishers, couldn’t seem to care less about the freelancers supporting their work. I encountered this a few months ago when I was hired by an author to index their book, which was being published by an independent academic press. (For the sake of this reflection, I’m keeping authors, editors, and publishers anonymous.)

Indexing guidelines were scant, though it seemed that both run-in and indented formats would be accepted. Working with the author, I submitted the index in run-in format. To our surprise, the editor unilaterally changed the format to indented, on the grounds that indented is easier to read. I actually agree with the editor on the format, but that’s not the point. If the editor felt so strongly about the format, they should have made that clear upfront.

We asked the editor about the change, and the editor confirmed that the press does indeed accept both run-in and indented formats, except, I guess, when the editor decides they know what is best. Reverting to run-in format was not an option. I followed up with some additional concerns, since the structure, as I originally envisioned it in run-in format, no longer worked quite as well. I also asked that in the future the editor provide clearer instructions, to avoid this extra and unnecessary work caused by this unilateral change. In reply, the editor made very clear that they had no interest in communicating with me nor in providing clearer instructions. The editor stated that they primarily work with scholarly authors who apparently get confused by too many instructions, and so the editor is used to taking whatever the author provides and formatting it as they see fit.

The irony is that I had already been hired by a different author to index a second book for the same press (which I submitted in indented format). The editor seemed unaware and uninterested in the fact that at least some of their authors were hiring professional indexers. Even if I am not in direct contact with the editor, I would suggest that we are still on the same team, and that better communication, whether directly or in the form of clearer indexing instructions, would make for a better book and a smoother production process for both of us.

The Editor Who Gets It

That same author who hired me to write the first index later passed my name on to a friend, who turned out to be the manager editor for two small university presses. That editor got in touch and, after a few emails back and forth sorting out the details for how we might work together, wrote, “Welcome to the team!”

Guess which editor I want to work with.

Being Part of a Team

Every publisher and project is going to be different. Some publishers prefer to be hands-off, making the index the author’s responsibility and not wanting to be in direct contact with the freelancer. I understand that the in-house editors are often very busy juggling multiple books. I respect the desire to be hands-off and I let the author take the lead on how communication flows between me, the author, and the press. In other cases, I am hired directly by the press, and so I am in regular contact with the in-house managing or production editor. For complicated projects, I may also be put in contact with the copyeditor, proofreader, or designer—whoever is best placed to answer my questions—which really does feel like I am part of the team. 

As a freelance member of the team, I recognize that I am being hired to perform a service. I realize that I don’t always get the final say, and if the author or publisher insist, I will revise the index as asked, even if I disagree. That said, part of being a team also means having my role and expertise respected. I appreciate at least being consulted on potential changes and to have my opinion taken seriously, even if the author or press ultimately decides otherwise. Respect also involves clear communication, whether direct, through the author, or through the indexing guidelines, so that I can properly do my job and have a way to ask questions. 

Being a freelancer also means recognizing when I am not part of the team. This took me a while to learn, as I was initially used to being part of the in-house team. But as a freelancer, I work with multiple authors and publishers. What is best for my business is not necessarily in line with what the publisher wants. While working together with authors and publishers on specific books, I also need to have boundaries with clients, to be able to say no when a project or publisher is not a good fit or if my schedule is already full.

For me, at least, it doesn’t take much to feel included. I don’t need a small gift or card at Christmas (though it is a lovely surprise when it occasionally happens), nor do I need to be included in company-wide meetings (though again, a nice gesture, especially if the meeting pertains to freelancers and my time is compensated, as did once happen). What matters is feeling appreciated. A word of thanks for the index. A willingness to answer questions. A desire to work together again in the future. Basically, an openness to a positive professional relationship that makes it easy to get the work done. 

What are your thoughts on the freelancer-publisher relationship? Do you feel part of a team? Or do you feel shut out or disrespected? What do you look for in a positive working relationship? Please feel free to reply in the comments and let me know.

Article
January 24, 2024
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by Stephen

Indexing Local History: Stories I’ve Been Told Series

Front cover for the book Stories I've Been Told, Vol. 3, by Elaine Thomas.Local history can be both a joy and a challenge to index. It can be deeply personal, both for those telling and writing the stories, and for those reading, as it reaffirms our bonds with each other and with the places we belong. The index is often the first point of contact with the text, as readers search for the people, places, and memories that they hold dear—or even search for themselves.

Over the last few years, I’ve had the honour and pleasure of working with Elaine Thomas, an author and storyteller. Elaine is an Albertan transplanted to Fayette County, Texas. She regularly writes for a local newspaper, The Fayette County Record, including, for several years, a column profiling a wide array of locals, especially senior citizens who reminisce about their lives. Elaine is now collecting and self-publishing these columns in the Stories I’ve Been Told series. I have indexed all three volumes published so far, as well as three other books of local and family history that Elaine has written. Today, I want to discuss how I approach indexing the Stories I’ve Been Told series, drawing examples from the third volume that was launched last November.

I love Elaine’s work for a couple of reasons.

Elaine has a knack for finding and telling incredible stories of everyday life. These are ordinary, everyday people, and yet dig beneath the surface, as Elaine does, and extraordinary accomplishments and joy shine forth. It is an excellent reminder of the wealth of knowledge and experience that surrounds all of us, if we only pay attention and listen. Elaine’s books epitomize the value and importance of preserving our local history. 

I also love reading these profiles of people in Fayette County, Texas, because it is a completely different world than what I am familiar with. Add in the fact that many of the people profiled are reminiscing about life during the Depression, World War II, and postwar, and it is a whole other world yet again. Rural farm life among Czech and German immigrants is about as far away as you can get from the concrete Taiwanese city of a million people that I grew up in, except, maybe, for the shared summer heat. I get to explore a different perspective and way of life as I index these books, a way of life that is slowly becoming more familiar with each book.

From an indexing standpoint, there are a couple of challenges which I find are common to indexing local history. The first is, what in indexable?

Details

Local history books often contain a lot of detail. Because there is so much that could potentially be picked up, it is a good idea to decide ahead of time, as much as possible, what is indexable and what can be left aside. I find my approach often evolves as I work and better understand the text. The plan does not need to be rigid. But starting with a plan does help to avoid being overwhelmed by the sheer number of potential entries, and to avoid adding, and then later deleting, irrelevant entries.

For the Stories I’ve Been Told series, I make a distinction between Fayette County and the rest of the country and world. The people profiled are all from and live within Fayette County. I assume that readers of the book also have a connection to the area. So information about Fayette County forms the bulk of what I pick up. I index somewhat less detail about the rest of Texas, with most such entries being about neighbouring counties and cities that readers are likely to be familiar with, and where the people profiled may have studied and worked. I index the least amount of detail about the rest of the country and world. If someone spent part of their career in Virginia, for example, I will likely include that as a subheading, but I probably will not create main headings for places and businesses within Virginia, as I don’t think that readers will be searching for Virginia-related details.

I index all of the local people. This can lead to long lists of family members, if a person profiled mentions all of their grandparents, parents, siblings, spouse, children, and other relatives. But since this is intended for a local readership who may be searching for their families and friends, I think it is important to pick up all of the names, even minor mentions. This can also mean double-checking surnames with Elaine, to make sure I am properly identifying people.

I also pick up places. This includes all of the cities and towns within Fayette County. I also pick up churches, schools, local businesses, significant geographic features, and any other place that seems important. These are often minor mentions, but again, this is a book for local readers. There are memories attached to these places, and local histories can be an aid for people to access their own memories.

I also pick up details for various activities. These can be memories about Christmas or attending dances, childhood memories of working on the farm, or about people’s careers, such as delivering mail or running a flooring business. I also create arrays for local events, like the Fayette County Fair.

Several of the people profiled are veterans who reminisce about their wartime experiences. I’ve learned that honouring vets is important, in a way that seems more strongly emphasized than in Canada. I include several arrays for the different branches of military; the military bases where these veterans served, especially those nearby within Texas; and the wars, which is mostly WWII, along with a few mentions for the Korean and Vietnam wars. 

Basically, if someone or something happened or existed within Fayette County, I index it. Elaine and I want local readers to be able to find their family and friends, and places and events, that are significant to them.

Structure

With so many details, structuring the index is also important, to ensure that the index is easy to search.

I build the index structure around the book’s structure. Stories I’ve Been Told, Vol. 3 contains 30 profiles, with each profile about 8 pages, give or take. This includes 1-3 pages of photographs. Because it is these people who form the core of the book, I use subheadings for each person, focusing on what that person chooses to discuss. I also include a range, at the top of the array, for the whole profile. Photographs are indicated in italics. 

Kea, Arleas Upton, 1–9

career with FDIC, 1, 7

childhood, 2–3

education and desegregation, 3–4, 9

family, 3, 7, 8, 9

photographs, 7–9

prayer and worship, 3

reflections on life and success, 6

at University of Texas, 5–6

I also do a lot of double-posting. All of the churches, for example, are both indexed as standalone entries and are gathered together in a single array. Gathering together does mean that the index will be longer, but I think it is helpful to provide a place for readers to scan if they can’t remember the name of a specific church or if they want to see which churches are mentioned. It is also generally a good practice to provide multiple access points, if there is space, to accommodate how different readers choose to search. If the community that the church is in is not obvious from the church’s name, I also include that detail in parentheses. (I also include the community in parentheses for main headings if the community is not obvious from the name of the church, school, or business.)

churches

Bethlehem Lutheran Church (Round Top), 189

Big Spring Hill Baptist Church, 79

Elm Creek Baptist Church (Seguin), 179

Holy Cross Lutheran Church (Warda), 143, 147, 149

Prairie Valley Lutheran Church, 181

prayer and worship, 3

Queen of the Holy Rosary Catholic Church (Hostyn), 89, 92, 217

Sacred Heart Catholic Church (La Grange), 36, 91

St. James Missionary Baptist Church (Plum), 79

St. James Missionary Baptist Church (Schulenburg), 3

St. John the Baptist Catholic Church (Ammannsville), 83

St. Mary Catholic Church (High Hill), 40

St. Mary’s Catholic Church (Ellinger), 125

St. Paul Lutheran Church (La Grange), 27, 220

St. Paul Lutheran Church (Serbin), 97–98, 99

St. Rose of Lima Catholic Church (Schulenburg), 54, 56–57, 101

Sts. Peter and Paul Catholic Church (Plum), 32

Swiss Alp Lutheran Church, 112

Trinity Lutheran Church (Black Jack Springs), 12, 154

I also double-post for significant events and memories that have enough entries to warrant subheadings, such as Christmas:

Christmas

Alvin J. Anders’ memories, 101–2

Christmas trees, 54, 57, 138, 143, 153

Frances Pietsch Schumann’s memories, 143–44

gifts for WWII soldiers, 51

Gracie Loessin Taylor’s memories, 153

Kahlich family traditions, 54–57

mail delivery and, 134

Santa Claus, 54–55

St. Nicholas (St. Nicholas Day), 53–54, 58

For military arrays, such as the wars and branches of the military, I suspect that some readers would like to see who else served, and so I double-post names in these arrays as well, in addition to double-posting military bases. For example,

U.S. Air Force

Bien Hoa Air Force Base (Vietnam), 225, 227–28

Eugene J. “Gene” Wessels, 177, 178–79, 183

Fort Francis E. Warren Air Force Base, 178

Harry Richard “Dick” Peck, 223–28, 231, 232

Lackland Air Force Base, 61

Laredo Air Force Base, 223–24

For Stories I’ve Been Told, Vol. 3, thanks to a suggestion from Elaine, I’ve also included cross-references from the various towns to the people profiled who are from those towns, so that readers can more easily see the connections between people and places. I should have thought of this for the earlier volumes, and I’m glad Elaine noticed this possibility. For example,

Rutersville (TX), 69, 89–90. See also Dixon, Richard; Fietsam, Lydia Eberenz

Working with the Author

Especially if you are not familiar with the area or history, take advantage of the author’s knowledge. When I first started indexing this series, Elaine’s insights were invaluable as I made my plan for how to index, as well as helpful feedback on the draft index. This can be a fruitful collaboration to serve the readers.

Indexing local history can often be more work than it initially appears. All of those details and entries can add up, and then you need to decide how best to organize. Indexing local history can also be satisfying, helping readers remain engaged with their history and community, as well as the reminder that each of us live extraordinary lives, if only we can see ourselves, and each other, from the right angle. 

If you would like to see the full index for Stories I’ve Been Told, Vol. 3, you can find it on Amazon, using the “Read Sample” feature. The indexes for the first two volumes are also available for viewing.If you would like to buy a copy, proceeds are being donated to assist struggling students at Blinn College, Schulenburg campus. Elaine also writes a lovely blog, Stories From the Slow Lane, where you can enjoy more stories about the past.

Article
October 25, 2023
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by Stephen

Persevering Through the Dip

It’s tough becoming established as a freelancer.

In my last two posts, I’ve written about marketing and money. Today I want to acknowledge that it also takes time to become established as a freelancer. And that time can feel painfully slow and leave you wondering if you are ever going to succeed.

The time and space on the way to being established can be described as the Dip. This is a concept I learned from Seth Godin, from his book The Dip: A Little Book that Teaches You When to Quit (And When to Stick). The book is indeed little, and I highly recommend it.

The idea is that there is always a Dip on the way to mastery and success. The Dip comes after the fun and excitement of learning a new skill or beginning a new venture. The Dip is the long slog towards success, wondering if anyone will hire you, wondering if your skills are good enough, wondering if your business is a failure. 

When it comes to indexing, I think the Dip can include the struggle to market and find work.  It is discouraging when you don’t know who to contact, no one seems to want to hire you, or when there are large gaps in your schedule between projects. The Dip can also include struggling to improve your skills. It takes practice to gain proficiency. If you are still struggling after the fifth or tenth index, doubt can creep in on whether you will ever get the hang of this. The Dip can also involve a project or client relationship blowing up in your face. Do you really have what it takes to run a business? Do you dare try again and accept a new project?

I want to assure you that yes, it is possible to get through the Dip. I also want to acknowledge that getting established is hard. I’ve often heard the rule of thumb that it takes about three years to become established as a freelancer. That was true for me. I noticed that the number of queries I was fielding seemed to pop in my third year, as did my income and the number of indexes I wrote. Though I also know other indexers who have found full-time work sooner, and others who are in the Dip for longer. The Dip varies from person to person, though everyone faces it one way or another. 

Godin writes that when in the Dip, you are faced with two choices. Do you quit, or do you persevere?

Quitting isn’t always bad. I knew an indexer, who started about the same time I did, who later quit indexing to focus on being an editor. They realized that they were better at editing, earned more from editing, and found editing more enjoyable, and so it made sense for them to quit indexing. Similarly, a few years ago I made the decision to quit proofreading, as indexing is a better fit for me. If indexing is not a good fit for you, or if freelancing is not meeting your needs and goals, then quitting might be the right decision. Quitting strategically is not failure. What I don’t want you to do is to quit because the Dip just feels too hard.

The trick to getting through the Dip is to keep moving. As Godin writes, “The Dip is flexible. It responds to the effort you put into it.” Keep practicing your skills and accepting new projects, knowing that each index is an opportunity to learn and improve. Keep marketing, reaching out to authors and publishers who might want to hire you. You never know who is going to write back. Keep networking with other indexers and editors, attending conferences and participating in online events and forums. You may gain a referral or advice for a sticky problem, or at least feel less lonely in the profession. Move through the Dip rather than being stuck at the bottom.

Lastly, be realistic about the fact that the Dip exists and that you may be in it. Whether it takes a year or three or more to get out of the Dip, it will be a stressful time, with a lot of uncertainty and doubt. It will take a lot of work to get out of the Dip. And that’s okay too, because the work you do now is laying the foundation for your future success.

It is possible to succeed as a freelance indexer. You can build the business that you desire. I believe that you can do it.

Article
October 11, 2023
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by Stephen

Money Advice to Make Freelancing Easier

In my last post, I wrote about my two golden rules for marketing and building a client base. Today, I want to write about money.

If you are a freelancer, or are thinking of becoming a freelancer, I assume at least part of your motivation is to earn an income. Even if an income is not your primary goal, money is still likely to be involved, unless you plan to work pro bono. Some basic financial planning and understanding is crucial, though don’t worry, you don’t need to be an expert.

As a disclaimer, I am not a financial expert either, so by all means please do your own research or consult actual experts.

These are a few things which I have found helpful in my own business, and which I wish I understood better when I first started. I hope this helps set you on the right path too.

Outsource Tasks, Not Responsibility

You don’t need to handle all of your bookkeeping and taxes by yourself. If you are not comfortable doing so, lack the time, or know that a professional can do it faster than you can, then you can certainly hire a bookkeeper, accountant, or other assistant to help you with your finances. You don’t need to do this alone.

What you can’t outsource, however, is responsibility for your finances. This is your business and you need to understand what is happening. Schedule a regular time, maybe once or twice a month, to review your finances. Even if you are not doing the work yourself to create invoices, record payments, or record expenses, understand how the process works. You don’t want to be in the red because a client failed to pay and you never noticed. 

Plan Ahead

For me, a key part of managing my finances is being organized and planning ahead – which can be hard. How I manage my finances continues to evolve as my needs change and I learn better methods to be organized. For you, try to set up a good system from the start, while also know that it is possible to change as you go along. 

Here are a few tips for planning ahead and organizing your finances that I’ve found useful.

  • Plan for an unpredictable cash flow. One of the downsides of freelancing is that no one is paying you a regular salary. How frequently you issue invoices will vary. The amounts on each invoice will be different. Clients may also pay early or late. This can sometimes lead to a cash flow crunch when you need money to pay your bills and payments have not yet arrived – which is why it is important to keep a reserve fund. Set money aside from each payment so that you can still pay yourself and meet your financial obligations when payments are late and cash is short. There are different ways to do this. I’ve found the Profit First system, by Mike Michalowicz, to be helpful (I recommend his book by the same name). Or can you find or develop a different system.
  • Set financial goals. It can be easy to drift along in your business without some kind of goal. Without a target income, you may even earn less than you need to to stay afloat. So set some goals for yourself. If you are just starting out, maybe aim to increase next year’s income by ten or fifteen thousand dollars. If you’ve reached a comfortable yearly income or have all of the work that you want, I recommend still setting a minimum income that you want to reach. I find it helpful for gauging my progress throughout the year and for ensuring that I have enough money coming in for my budgeted expenses and savings. Once I reach my goal, I can either continue to earn extra or I can give myself permission to take time off. 
  • Decide how to track the numbers. Will you use bookkeeping software? There are several options. Or track expenses and income in Excel? It doesn’t really matter so long as it is accurate and works for you. When I first started, I bought a program to handle invoices and I kept track of everything else in spreadsheets. Now that I have a somewhat larger business, with more invoices, expenses, and also now royalties from my book, I find it more convenient to use an all-in-one bookkeeping program.
  • Use templates for invoices. If you plan to be in business for a while, then you are going to be sending out a lot of invoices. Save yourself some time and use a template. This could be using a template within your bookkeeping program or it could be a template that you create in Word or Excel. 
  • Track expenses. Have someplace where you record expenses immediately, and have a place where you keep receipts. For physical receipts, consider also taking a photograph of the receipt and keeping that photograph in a dedicated folder on your computer. You can claim business expenses on your taxes, but only if the expense is documented.
  • Add bookkeeping to your schedule. When it comes to creating and sending invoices, recording payments and expenses, and reviewing my finances, I find it much easier to remember and to do when it is a regular part of my schedule. So, I do my bookkeeping twice a month. Find a time that works for you.

Taxes

As with planning ahead for an unpredictable cash flow, plan ahead to pay taxes. Set money aside from each payment in a separate account so that you aren’t caught short at tax time. Depending on your jurisdiction and income, you may also need to pay quarterly installments.

It can be difficult to know how much to save. I suggest plugging some estimated figures into a tax program or tax calculator, taking into account any tax credits or deductions you anticipate claiming. The goal is to save a ballpark figure so that you at least have most of the money set aside.

Depending on where you live and how much you earn, you may also be responsible for collecting sales tax, as well as complying with other business regulations. This may also depend on the type of business you have (for example, a sole proprietorship versus incorporation). As a one-person business, requirements shouldn’t be too complicated, but still do your research for the jurisdiction you live within and proactively abide by the rules. 

To sum up: have a plan, as I have repeated throughout this post. If you understand what is happening financially with your business, if you have a place for recording and tracking all of the numbers, and if you have a schedule for keeping all of that information updated, then I find it is fairly easy to keep the whole system moving along and to remain financially healthy. It doesn’t need to be a lot of work, so long as it is done regularly.

Article
August 23, 2023
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by Stephen

East Asian Names, Deep Dive

If you’ve been reading this blog for a while, you are probably aware that indexing can get pretty technical. Details matter. Creativity works best when interwoven with the rules and conventions that make an index tick.

All that to say, today’s reflection is going to get geeky.

East Asian Names

I just finished indexing a book within the field of Asian studies and literary criticism. Asian studies—especially East Asia and history—is one of my favorite areas to index in. I grew up in Taiwan and I still speak and understand Mandarin and Taiwanese to varying extents.

I have also, in the past, fielded questions from other indexers on how to index Chinese names. Chinese names, as well as Korean and Japanese names, follow a different naming convention than English or other Western names. If you are not familiar with these names, they can be confusing to index. I was reminded of that on this index I just finished, so I thought I’d write a quick primer.

To start, be aware that there may be more than one naming convention at play in the book. The Western convention is to write names in the format of First name Surname (or, using different terms, Given name Family name). In China, Korea, and Japan, that format is reversed. To use my own names as an example, in English my first name is Stephen and my surname is Ullstrom, written as Stephen Ullstrom. In Mandarin, my surname is Ou 歐 and my given name is Shijie 士傑, written as Ou Shijie 歐士傑.

My experience with the English-language books that I index is that both formats can appear in the same book. People discussed who are from within China, Japan, or Korea—such as historical figures, politicians, or scholars—are often presented with their names in the traditional format, with the surname first. People who are Korean American or Japanese Canadian, for example, or scholars who are published by Western presses and journals, will probably have their names written in the Western format.

Don’t assume that all of the names in the book follow the same naming convention. They might, if the author and/or press made that decision. But there is also a good chance that the names reflect how those people prefer to be known or are typically known.

Identifying the Surname

Since names are typically sorted in the index by surname (assuming the name has a surname), the key to correctly indexing East Asian names is to first identify the surname.

This is not always easy, especially if you are not familiar with the language or what constitutes a typical surname. But, if you can identify the surname, most of your work is done.

If I see a name that I am not sure about, I do a few minutes of research using one or more of the following methods.

  • I look to see how the author refers to the person, especially in subsequent mentions. The usual convention for subsequent mentions is to use the surname, so look to see what the author uses.
  • If a scholar, I also try to find the person in the bibliography, as the bibliography should also be sorted by surname.
  • I try to find the person online. If a scholar, I look for their faculty webpage or for citations to other books or articles they have written, which may indicate to me their surname. If a cultural, historical, or political figure, Wikipedia often states, at the top of the page, which part of the name is the surname.
  • I also look at the name itself. Chinese and Korean names, for example, are often written, in roman script, with a space between the surname and the given name. This doesn’t help for a name like Hao Wang (Chinese American mathematician and philosopher, surname Wang), but does for the Taiwanese writer Pai Hsien-yung (surname Pai).
  • If I am still not sure, I ask the author.

Comma Necessary?

Once the surname is identified, it is time to add the name to the index.

Because Western names are written in the format First name Surname, names are inverted, with a comma, so that the name can be sorted by surname. But what if the name does not need to be inverted?

I have seen indexes and bibliographies where a comma is inserted anyway. Pai Hsien-yung is written as Pai, Hsien-yung. But to me that implies that the name is properly written as Hsien-yung Pai, which is incorrect. I much prefer to omit the comma. Since the name already leads with the surname, I simply index it as Pai Hsien-yung.

Alphabetical Sort

The last consideration—and this is getting geeky—is how to sort the names.

Most of my clients prefer letter-by-letter alphabetical sort, which can cause some problems. Having some names with a comma and some names without interferes with the sorting. Surnames can also be short and can intersperse with other entries, which makes the list of names difficult to scan. This is especially true when there are several people with the same surname, which is fairly common.

So, if letter-by-letter sorting is specified, I force-sort to make these names easier to scan. This means both ignoring the comma when alphabetizing and making sure that like surnames stick together.

In this example from the index I just finished, without force-sorting, the names with commas rise to the top and there are a couple of other subject-matter-related main headings mixed in.

Liu, Jianmei
Liu, Lydia
Liu Denghan
Liu Jiang
Liushou nüshi (Those Left Behind; film)
Liu Weihua
liuxuesheng
Liu Yiqing

Force-sorted, with the commas ignored and the names brought together, this series of main headings makes more sense alphabetically and is much easier to scan.

Liu Denghan
Liu Jiang
Liu, Jianmei
Liu, Lydia
Liu Weihua
Liu Yiqing
Liushou nüshi (Those Left Behind; film)
liuxuesheng

Indexing names from another language can be intimidating. The key is to understand how those names work, and to not assume that they follow Western conventions. For Chinese, Japanese, and Korean names, first identify the surname. From there, determine if the name needs to be inverted. When editing the index, consider whether the names need to be force-sorted for alphabetization and ease of reading.

The goal, as always, is an index that is easier for its user.