There are a relatively small number of rules, each is stated briefly.
Exceptions and optional rules are avoided.

Note:
The rules are in two parts:

1.  General Rules
2.  Special Rules--which are extensions of, rather than exceptions to, the General Rules

The rules reflect a file as IS principle (how something looks) rather than how it sounds or its meaning.  That is, Mr. is NOT filed as though spelled out as mister.

Thus, similar elements that differ in form (e.g., 2 versus two) are filed in very different positions.
These rules are meant to simulate Machine or Computer filing for obvious reasons.  Most libraries are now, or are moving toward, automated cataloging systems and OPACs (online public access catalogs), i.e., computer catalogs.

Rule 1:  Order of Characters
1.  The basic order of filing is word by word
2.  Filing is nonhierarchical (order only that which is implicit in the entries themselves)
3.  Punctuation NOT considered or ignored in filing.
4.  Omission of distinction for filing purposes among persons, places, things and titles when same character
1.  Spaces, dashes, hyphens, periods, diagonal slashes, etc. go first.  All have equal value.
Apply the principle of "nothing files before something" with spaces and their equivalents (as above) being considered as nothing, i.e., treated as if they did not exist; not treated as spaces.
2.  Numerals 0 through 9 go next.
3.  Letters A through Z of the English alphabet go next.
Upper and lower case letters have equal value.
See Filing Rules examples on p. 9.
4.  Next file letters of nonroman alphabets.
5.  Punctuation and nonalphabetic signs and symbols are ignored for filing purposes.
See Filing Rules examples on p. 11.

Remember:  The basic arrangement is word by word alphabetically.

Note the difference in alphabetizing depending on which system you use in the example below.

Notice how different the same list of titles appears when alphabetized differently:

Word by Word                                                       Letter by Letter

Book                                                             Book

Book collecting                                              Bookbinding

Book of English essays                                   Book collecting

Book of famous ships                                     Bookish

Book scorpion                                                Book of English essays

Bookbinding                                                   Book of famous ships

Bookish                                                          Books

Books                                                             Books and reading

Books and reading                                           Book scorpion

Books that count                                              Booksellers and bookselling

Booksellers and bookselling                             Books that count
 

Rule 2:  Access Points, Headings, Entries (which are identical)
Study page 14 in the Filing Rules very carefully.
Basically they are saying that:
Identical headings that have different functions (e.g., title entry, subject heading, etc.) ARE distinguished for filing purposes.

Function of the identical access point is considered first.  Records are ordered by the following categories into what amounts to Two Basic Groups:

Group I:
1.  Explanatory (see, see also, etc.) references for main and added entries first
2.  Main and added entries interfiled

Group II:
3.  Explanatory (see, see also, etc.) references for subject heading entries
4.  Subject headings themselves

Study the following example very carefully.  It shows how these headings, both title, main entry, and subjects would be filed using these rules in a manual catalog.

Example:

Philadelphia as it is        [title entry]
Philadelphia.  Athenaeum        [corporate author main entry]
PHILADEPHIA.  ATHENAEUM            [subject heading entry--note:  comes
                                                                 after same main and title added entries]
Philadelphia.  Centennial Exhibition, 1876        [corporate main entry]
PHILADELPHIA.  CENTENNIAL EXHIBITION, 1876        [subject heading entry]

See other examples on page 15 Filing Rules.

Rule 3:  Abbreviations
Abbreviations are filed exactly as written.
Examples:
...et ce fut la guerre
Et cetera; a collector's scrapbook
Et in Arcadia ego
Etc.
Etch proofs

Rule 5:  Initials, Initialisms and Acronyms
Filing is governed by Rule 1.
Initials, initialisms, and acronyms separated by spaces, dashes, hyphens, diagonal slashes,
or periods are regarded as separate words.
Where these characters are separated only by other marks or symbols, or which are not
separated in any way, are regarded as single words.

Examples:
I.R.E. P.G.C.S.
IAMPA Symposium on Long-term...
I***B
IBM

Rule 4:  Initial Articles
4.1  In Name Headings
If form an integral part of place name and personal name headings, initial articles are
regarded for filing purposes.
4.2  In Title and Subject Headings
Initial articles in titles and subject headings are ignored for filing purposes.
Articles at the beginning of subdivisions of access points (e.g., subject subdivisions) are
regarded in filing.
Examples:
TREES--THE WEST
TREES--UNITED STATES
THE WEST
West African bounty
THE WEST--ANTIQUITIES
 West, William

Rule 6:  Names and Prefixes
A prefix part of the name of a person or places is treated as a separate word, unless it is
joined to the rest of the name directly, or by an apostrophe
without a space.
Examples:
Darby, William
D'Arcy, Ella
Dard, Alfred
De Alberti, Amelia
Note:  Macs filed as spelled.  See p. 28.
 

Rule 8:  Numerals
Rule 8.1:  General Rule
Numeric character strings are filed according to numerical significance from lowest to
highest, except:
Rule 8.2  Punctuation
Punctuation used to increase readability (e.g., commas, periods) are ignored in filing.
Punctuation used in other ways is treated as a space.  Spaces, dashes, hyphens, slashes,
and periods, are equivalent mark the beginning and end of character strings (i.e., words).
Examples:
5.000 anos de historia
The 5,000 fingers of Dr. T
5000 Jahre Bier
$5,000 reward

8.7  Dates
Dates in fields like titles are filed in order by numerical significance.

Practice the rules you have just learned by doing the following exercise.  The key is provided.

Filing Problem Exercise
LIB 5030:  Cataloging and Classification

Arrange the entries below according to ALA Filing Rules studied in class.  This is a
dictionary catalog.  Headings in upper case are subject headings.  A key is attached.
 

1.  Martin, John Joseph, ill.
        Everything you always wanted in a garden

2.  HAIR GRASS

3.  1864 revisited

4.  Mr. Jones tells it all

5.  Masques to make

6.  Mass communication

7.  Massenet, Jean

8.  Mass as a worship form

9.  Havenât you heard?

10.  Have nots and haves

11.  MARSH GRASS

12.  MASS COMMUNICATION

13.  Martin, John Joseph, trans.
                Le chat rojo

14.  Martin, James Avery
 

1.  1864 revisited

2.  HAIR GRASS

3.  Have nots and haves

4.  Havenât you heard?

5.  MARSH GRASS

6.  Martin, James Avery

7.  Martin, John Joseph, trans.
        Le chat rojo

8.  Martin, John Joseph, ill.
        Everything you always wanted in a garden

9.  Masques to make

10.  Mass as a worship form

11.  Mass communication

12.  MASS COMMUNICATION (subject)

13.  Massenet, Jean

14.  Mr. Jones tells it all