10 Filling Rules: ALA Filing Rules and Ranganathan’s Filing Rules

Structure of Module: E-Text

1. Introduction

2. Meaning of filing of entries

3. Classified arrangement of entries as given by Ranganathan

4. Alphabetical arrangement and alphabetization

4.1 Basic principles of alphabetization

5. Ranganathan‟s rules for alphabetical arrangement

6. ALA rules for filing catalogue cards

6.1 Basic order

6.2 Alphabetical arrangement

6.3 Special rules

6.4 Order of entries

7. Summary

8. Questions

9. Further readings

1. Introduction

Cataloguing practical may be divided into two broad heads:

1. Preparation of entries

2. Filing of entries

It is not sufficient to prepare entries of documents in a library. It is usually seen that most of the readers either do not consult the catalogue or unable to use it. This all is due to the intricacies of filing of entries. Hence the filing of entries must be convenient and understandable to users. To quote Sharp, “It should be remembered and it is not always remembered – that the catalogue will be used largely by people who have little knowledge of the rules of alphabetization other than those that come to them by instinct or through common usage adopted in such every day books of reference as directories and dictionaries”. Filing rules are given in several codes of cataloguing. The most notable of them are:

1. ALA rules for filing catalogue cards.

2.British Standards Institution‟s Alphabetical arrangement.

3.Indian Standards Institution‟s practice for Alphabetical arrangement.

4.Ranganathan‟s Classified catalogue code also includes filing rules. In this module we shall remain confined to:

1. Ranganathan‟s filing rules given in his Classified catalogue code, 5th ed.

2. ALA rules for filing catalogue cards, 2nd ed.

2. Meaning of Filing of Entries

Filing means to arrange entries in an orderly manner. It is not as simple as it might appears to be. The filing goes on as complicated with the growth of catalogue. In other words, the bigger the catalogue, greater the problems. That is why Cutter, the father of modern cataloguing was quite aware about this part of cataloguing and he included the rules for filing of entries in the last edition of his „Rules for a dictionary catalogue‟ from p. 111-129.

Filing may be divided into two broad groups:

1. Classified arrangement of entries.
2. Alphabetical arrangement of entries.
3. Classified Arrangement of Entries as given by Ranganathan

Ranganathan was the staunch supporter of bipartite classified catalogue.

Classified catalogue has two parts as following:

1. Classified part

2. Alphabetical part

Ranganathan in his CCC has included rules for classified arrangement of books. Since he devised Colon Classification using mixed notation, he has given rules no. 024, 025 and 0251 for the arrangement of class numbers in his Colon Classification. Is his CCC he has given some main suggestions in this connection in the pages 108 to 109.

The entries in classified part should be arranged by means of class numbers given in their leading sections. He has allotted ordinal value to different digits in his Colon Classification (6th rev ed.). These are being given below according to the ascending value of digits:

) ← → 0 „ . : ; , – a b . . . z 1 2 . . . 9 A . . . Z (

The following digits are used in his Colon Classification (7th ed). These are being given below according to the ascending value of digits:

* “← ) & „ . : ; -, = + → a b…z 0 1 2… 8 9 A…Z (

He has given additional rules for arranging entries having the same class number in their leading sections. Quite a good number of rules have been included in CCC for arranging such entries. Some important rules are being quoted below:

CCC     EG21: Among the entries with the same class number in their respective leading sections, those with one or more book numbers are to have precedence over those without them.

According to CCC two kinds of entries are arranged in classified part in a single classified order:

1. Main Entries

2. Cross Reference Entries

Entries with book numbers are main entries and entries without book numbers are cross reference entries. As per above mentioned rule, the main entries i.e. entries with book numbers will get precedence over cross reference entries i.e. entries without book numbers. It is being illustrated with the help of following example:

Out of these two entries, the first one with a book number will get precedence over the second one.

CCC  EG22: Entries with book numbers in their respective leading sections are to be arranged among themselves by the book numbers.

CCC  EG31: Entries with the same class number and without book numbers in their respective leading sections are to be arranged among themselves by the book numbers, if any, in their respective third sections.

Example

These two entries having same class number in their leading sections will get arranged according to the book numbers given in the third section. Hence the order will be the same as given above.

CCC   EG32: Such of the entries coming under Rule 31 of this chapter as have the same book numbers in their third sections, are to be arranged among themselves by the class numbers, occurring in their respective third sections.

4.  Alphabetical Arrangement & Alphabetization

There are several problems connected with alphabetical arrangement and there is difference of opinion also between different experts about alphabetization. In many American and British libraries the rules are framed in this connection and followed by them. But there is no unanimity in them. Hence the readers feel inconvenience.

4.1  Basic Principles of Alphabetization

There are two basic principles of alphabetization:

1. Letter by letter arrangement: It is also named as „All – through arrangement‟. In this arrangement a letter is taken as an entity for the arrangement and no importance is given to any other point.

2. Word by word arrangement: It is also named as „Nothing before something‟. In this arrangement the word is taken as an entity for the order of arrangement.

 These two principles may be understood by the following example:

Example:

Letter by letter arrangement                  Word by word arrangement

Hindu                                                                                               Hindu

Hindi Civilization                                                 Hindu Civilization

Hindukush                                                                   Hindu Law

Hindu Law                                                                  Hindu Law Digest

Hindu Law Digest                                                Hindu Philosophy

Hindu Philosophy                                                Hindu Pilgrimage

Hindu Pilgrimage                                                  Hindu Service Organization

Hindu Service Organization                                       Hindu Society

Hindu Society                                                                          Hindu State

Hindu State                                                                Hindu Temple

Hindu Temple                                                          Hindukush

Note: In the above mentioned example the term „Hindukush‟ comes third in order according to „letter by letter arrangement‟, while according to „word by word‟ arrangement it comes at the end.

Alphabetization is of following two kinds:

1. Gestalt alphabetization

2. All through alphabetization

In Gestalt alphabetization, ordinal values are given to „word space‟, „sentence space‟ and „paragraph space‟. Different ordinal values also given to „capital letters‟, „small letters‟ and „letters in italics‟.

In All through alphabetization all the above mentioned things are ignored. But special rules are to be provided for the occurrence of different species of conventional symbols.

Ranganathan in his CCC has prescribed the midway position between these two basic principles. He mechanized the arrangement of entries by specifying the rules of alphabetization and rules of writing in Chap ED of CCC in an integrated manner.

5.  Ranganathan’s Rules for Alphabetical Arrangement

Ranganathan in his CCC has adopted „Letter by letter‟ arrangement. In his opinion many persons write one word of their names in two or more words. As per „Word by word‟ principle in this condition entries pertaining to same name will get scattered in the catalogue which will be inconvenient to the users. He will not be able to know as under what form of name he has to search a particular author. It may be clarified by the following example:

Jagjiwanram

Jag-jiwan-ram

Jag Jiwan Ram

Ranganathan has given rules for arrangement of entries in his CCC in Chap. EG and EH. Some of the important rules for the arrangement in alphabetical part are being quoted below:

EH1: The entries in the alphabetical part are to be arranged strictly by the alphabets, as in a dictionary …

EH2: In an alphabetical arrangement no attention is to be paid to initial articles (i.e. a, an, the).

EH31: German words spelt with the vowels, „a‟, „o‟ and „u‟ are to be arranged as if they were spelt a, o and u respectively.

EH4: Scottish names with the prefix „Mac‟ and its abbreviated forms such as „Mc‟ and „M‟ are to be arranged according to their apparent alphabetical make up.

EH5: Similar treatment should be given to names beginning with „St‟ and „Ste‟. Use cross references to connect the names.

EH70: The following ascending scale of ordinal values be borne in mind in arranging the entries in the alphabetical part:

1. Section space;

2. Full stop;

3. Comma;

4. Numerals in their natural sequence;

5. Bracket;

6. Words in Roman (alphabets);

7. Words in italics or underlined words;

8. The word „and‟ or its substitute semi colon; and

9. Etc.

This rule may be understood with the help of the following example. The word „JABALPUR‟ has been improvised to serve as example:

JABALPUR

LABOUR ASSOCIATIONS

JABALPUR

See also

JABBALPORE

JABALPUR, BIBLIOGRAPHY

JABALPUR, PUBLIC WORKS (Department of-)

JABALPUR 1

JABALPUR 2

JABALPUR 3

JABALPUR (City)

JABALPUR (District)

JABALPUR (Division)

JABALPUR RELIGIOUS ASSOCIATIONS

JABALPUR RELIGIOUS ASSOCIATIONS, DONATION (Section)

JABALPUR RELIGIOUS ASSOCIATION, Ed.

JABALPUR RELIGIOUS ASSOCIATION AND BHOPAL RELIGIOUS ASSOCIATION

JABBRLPORE

6.  ALA Rules for Filing Catalogue Cards

ALA rules for filing catalogue cards are in two parts: Part 1. Apathetical arrangement Part 2. Order of entries.The number of rules in this code are quite many. It is not possible to quote all of them. Some selected rules are being discussed in this module.

6.1  Basic Order

    (1) The basic order is alphabetical „Word by word‟ except in certain areas where numerical or chronological arrangement is preferable (P. 1).

(2) When the same word, or combination of words are used as the heading of different kinds of entries, the entries are to be arranged alphabetically „Word by word‟ disregarding kind of entry; form of heading, and punctuation marks except that personal surname entries are to be arranged before of the entries beginning with the same word or combination of words (P. 1).

6.2  Alphabetical Arrangement

1B. Use „Word by word‟ order. Apply the principle of „Nothing before something‟ considering the space between words as „nothing‟. Initial articles and articles at the beginning of certain proper names are disregarded (P. 2-3).

1C. In a dictionary catalogue, interfile all types of entries and their related references, in one general alphabet (P. 3).

3.  Disregard punctuation marks that are part of title or corporate name (P. 8).

4A1: Disregard an initial article in the nominative case in all languages and file by the word following it. This applies to the all types of entries with two exceptions … (P. 9).

6.3  Special Rules

5A: Arrange initials, single or in combination, as one letter words, before longer words beginning with the same initial letter. Interfile entries consisting of initial plus words, with entries consisting of initials only (P. 13-14).

A.

A.A.

A.A.A. Foundation for Traffic Safety.

A.B.

A was an archer.

5B: Disregard variations in spacing and punctuation and arrange initials in one straight alphabetical file (P. 14). For example XYZ; X Y Z; X.Y.Z… all file as if written XYZ.

5K: Arrange acronyms… as words, unless written in all capitals with a space or period between the letters (e.g. UNESCO or U.N.E.S.C.O.) (P. 19-20).

6A1: Arrange abbreviations as if spelled in full in the language of the entry, except Mrs. … If the meaning of an abbreviation is uncertain; file it as written (P. 22).

6B: Arrange initials and other abbreviations for geographical names in author and subject headings as if written in full, whether at the beginning or at the end of the heading. Follow the same rule when they occur in titles and other entries if the full name of the place for which they stand is commonly known (P. 24).

9A: Arrange numerals in the titles of books, corporate names, cross references etc. as if spelled out in the language of the entry (e. g 1100 eleven hundred, 3½ three and a half). (P. 38-39).

Rule No. 10 and 11 recommend interfiling of the same words spelled differently and of the same compound words written differently.

Two words (or hyphenated) forms are always filed under the one word form (P. 49).

When there is an established subject heading or subject cross reference under one of the spellings, choose that spelling. In other cases, generally choose the most commonly accepted current usage. Consult the latest edition of standard general dictionaries. Also take into account the preponderant form in the entries (P. 49).

Choice between American and English spellings, should be based on the basis of the country. In an American library, American spellings and in British and Indian libraries, English spellings should be used. For example in British and Indian libraries „honour‟ and in American libraries „honor‟ should be used. Explanatory references should be made from the form or forms not chosen.

6.4  Order of Entries

Here the order of different kinds of entries beginning with the same word has been described. Cutter was aware with this problem and he has suggested as following in his „Rules for a dictionary catalogue‟:

1. Collection of all or almost all works of an author.

2. Collection of selected works of an author.

3. Single works of an author

In works written by other persons on that author Brown has suggested a different order of:

1. Single works of an author arranged in chronological order.

2. Collection of works of an author in chronological order.

Some selected rules of „ALA rules for filing catalogue cards‟ are being quoted below for the order on different kinds of entries beginning with the same word.

19A. When the same word or combination of words is used as heading of different kinds of entry, arrange the entries in two main groups as follows:

1. Single surname entries, arranged alphabetically by forenames.

2. All other entries, arrange alphabetically „word by word‟, disregarding kind of entry, form heading, and punctuation (P. 93).

19B1: Single surname entries. Arrange different kinds of entries under the single surname heading in groups in the following order:

1.  Author (main and / or added entry)

2. Subject, without subdivision

3. Subject, with subdivision

19B2: All other entries

(a) Personal name entries (compound names, given names). Arrange different kinds of entries under the same compound or given name heading in three groups the same as under single surname headings.

(b) Corporate entries (corporate names, place names, uniform titles). Arrange different kinds of entries under the same corporate name in the groups in the following order:

1. Author (main and / or added entry) without subheading.

2. Subject without subdivision and identical title added entries; interfiled and subarranged alphabetically by their main entries.

3. Name with corporate name and/or subject subdivisions, the subdivision interfiled alphabetically with each other and with titles, etc., disregarding punctuation; each corporate author heading followed by its non subject entries (P. 93-94).

Example:

Indian Political Science Association (Corporate author without subheading).

INDIAN POLITICAL SCIENCE ASSOCIATION (Subject without subdivision).

INDIAN POLITICAL SCIENCE ASSOCIATION-HISTORY (Subject with subdivision).

Indian Political Science Association Conference (Title).

19B2c: Title and subject entries identical. Interfile title added entries and subject entries that are identical and subarrange alphabetically by their main entries. Title main entries precede identical entries with an author (P. 94).

Example:

Longman, Arthur M. (Author heading)

LONGMAN, ARTHUR M. (Subject heading)

Longman, Margaret, F. (Title heading)

LONGMAN, WILLIAM JOHN (Subject heading)

20D1: Arrange entries under the same surname followed by the designations, forenames or initials, alphabetically by the designation, forenames, or initial that follows the surname, all in one group, disregard any designation, such as title of nobility, honor, or address, or distinguishing phrases, that may precede or follow forenames unless it is necessary to distinguish between names that would otherwise be identical (P. 97).

Example:

Corbett

Corbett, J.

Corbett, Hunter

Corbett, Mr.

Corbett, Mrs.

Corbett, Nicholas

Corbett, Pseud

Corbett, William

20D2: An initial precedes a fully written forename beginning with the same initial letter. Treat initials the same whether followed by open space (for later completion of name) or a period.

Example:

   Mikes, G.

Mikes, G.R.

Mikes, G. Richard

Mikes, G. Lambard

Mikes, Gerald

Mikes, Gerald L.

Mikes, Gerald Erose

Mikes, Gerald Lamb

28C. Corporate entry arrangement. Arrange different kinds of entries under the same corporate names in groups in the following order:

1. Author (main and / or added entry) without subheading, subarranged by titles according to Rule 26.

2.Subject without subdivision, and identical title added entries, interfiled and subarranged alphabetically by their main entries.

3.Name with corporate and/or subject subdivisions, the subdivisions interfiled alphabetically with each other and with titles, longer corporate names beginning with the same words, etc. disregarding punctuations; each corporate author heading followed by its own subject entries.

Example:

World Health Organization (Author heading)

WORLD HEALTH ORGANIZATION (Subject heading)

World Health Organization and its activities (Title heading)

WORLD HEALTH ORGANIZATION, LIBRARY (Subject heading with subdivision)

World health Organization, Administrative Division (Author heading with subdivision)

7. Summary

The classified arrangement is based on ordinal value allotted to the digits by the classificationist in a particular scheme of classification. It is quite simple with the classification of pure notation like Decimal Classification but a bit difficult with the classification scheme adopting mixed notation like Universal Decimal Classification and Colon Classification. Since here we are concerned with Ranganathan‟s CCC, the rules given in this code for Colon Classification have been discussed in the preceding pages.

Alphabetization requires a set of rules. Classified catalogue suggested by Ranganathan is a bipartite catalogue having another part as alphabetical part. Hence the rules given in Ranganathan‟s CCC for alphabetical arrangement are discussed in brief. It follows the midway position between Gestalt alphabetization and All through alphabetization.

ALA rules for filing catalogue cards is available in two editions. For big libraries full edition containing detailed rules must be adopted. The abridged edition suffices the needs of medium sized and small sized libraries. Alphabetization is a difficult task and not so simple as it seems to be.

With the application of computer and adoption of automation in information centers and libraries, large information centers and libraries may convert their catalogues into machine readable catalogue (MARC). The existing filing rules are being found to be insufficient and inconsistent to apply. International Standards Organization has published an international filing standard. It should not be inappropriate to say that filing rules must be simple and easy to apply for most of the existing libraries.

Further Readings

1. ALA Rules for filing catalogue cards. 2nd ed. Chicago: American Library Association, 1968.
2. British Standards Institution. Alphabetical arrangement. London, 1951 (B.S. 1749:1951).
3. Indian Standards Institution. Rules for making alphabetical indexes. New Delhi, 1959, (15:1275-1958).
4. Ranganathan, S.R. Classified catalogue code with additional rules for dictionary catalogue code. 5th ed. Bombay: Asia Publishing House, 1964.