APPENDIX H RECORDS MANAGEMENT GLOSSARY ACCESS. (1) The availability of or the permission to consult records, archives, or manuscripts. (2) (U. S. Government) The ability and opportunity to obtain security classified or administratively controlled information or records. APPRAISAL. (1) The process of determining the value and thus the disposition of records based upon their current administrative, legal, and fiscal use; their evidential and informational or research value; their arrangement; and their relationship to other records. (2) The monetary evaluation of gifts of manuscripts. ARCHIVAL VALUE. The determination in appraisal that records are worthy of indefinite or permanent preservation by an archival agency. Sometimes referred to as historical, continuing, or enduring value. ARCHIVES. (1) The non-current records of an organization preserved because of their permanent value; also referred to, in this sense, as archival materials or holdings. See also PERMANENT RECORDS. (2) The agency responsible for preserving this material. (3) The building where such materials are located. ARCHIVIST. A person responsible for or engaged in one or more of the following activities in an archival repository; appraisal and disposition, accession, preservation, arrangement, description, reference service, exhibition, and publication. ARRANGEMENT. (1) The order in which document are filed. (2) A logical plan for organizing records, such as numerically or alphabetically by name or subject. CASE FILE. A file unit containing material relating to a specific transaction, event, person, project, or other subject. A legislative case file may cover one or many subjects that relate to a particular piece of legislation. An investigative case file may also cover many subjects pertaining to one main project. CENTRAL FILE. The files of several staff members physically and/or functionally centralized and supervised in one location. CHARGEOUT. The action of recording the removal or loan of a file to indicate its whereabouts, usually done on a specifically designed card, Optional Form 23. CHRONOLOGICAL FILE. See READING FILE. CLASSIFIED INFORMATION. (1) (U. S. Government) Official records or information requiring, in the interest of national security, protection against unauthorized disclosure. The degree of protection is specified by one of the following: Top Secret, Secret, Confidential, Restricted Data, Formerly Restricted Data, and (prior to 1953) Restricted. (2) in non-government organizations, sometimes used to designate information/records over which the organization desires to exercise a greater degree of security than normal. CLOSED FILE. A file unit or series containing documents on which action has been completed and to which additional documents are not like to be added. CONTINUITY REFERENCE FORM. A form, such as Optional Form 22, used to replace a record that has been moved to another location in a file. In a legislative case file, it often indicates that records have been brought forward from a previous Congress for attachment to material in the current Congress' file. CORRESPONDENCE FILES. See SUBJECT FILES. CROSS-REFERENCE. A finding aid, such a Optional Form 21, that directs the user from one place in the file to another when a particular document may be requested by more than one name, number, or subject. CURRENT RECORDS. Records necessary for conducting the current business of an office, can be maintained at the staff person's desk or in a central location. See CENTRAL FILE and DECENTRALIZED FILE. CUT-OFF. See FILE BREAK. DECENTRALIZED FILES. Files of an administrative unit that are maintained at several locations, but which can be centralized intellectually through administrative controls, such as a files plan. DEPOSIT. Archives or manuscripts placed in the physical custody of a repository without transfer of title. DISPOSITION. The actions taken with regard to non-current records following their appraisal. The actions include transfer to a holding area for temporary storage, reproduction on microfilm, transfer to the Senate's Archives, or destruction. DISPOSITION SCHEDULE. A document governing on a continuing basis, the retention and disposition of the recurring record series of an organization. (See Chapter III) FILE. An accumulation of records maintained in a predetermined physical arrangement. FILE BREAK. Termination of a file at regular periodic intervals to facilitate continuous disposal or transfer of the file series. Also called CUT-OFF. FILES PLAN. A plan designating the physical location at which the committee files are to be maintained, the specific types of files to be maintained there, and the staff person having custodial responsibilities. FILING. The act of putting documents into their place in accordance with an established system. HISTORICAL VALUE. See ARCHIVAL VALUE. HOUSEKEEPING RECORDS. Records of an office that relate to budget, accounting, personnel, supply, and similar administrative or facilitative operations common to all committee offices, as distinguished from program or substantive records that relate to the office's primary functions. See PROGRAM RECORDS. MACHINE-READABLE RECORDS. Records whose informational content is usually in code and has been recorded on media such as magnetic discs, diskettes, drums, tapes, punched paper cards, or punched paper tapes, accompanied by finding aids knows as software documentation. The coded information is retrievable only by machine. NON-CURRENT RECORDS. Records that are no longer required to conduct current business and therefore can be transferred to separate storage, either to attic storage, to the Senate's Archives, or may be sampled, microfilmed, or destroyed following archival appraisal. NON-RECORD MATERIAL. Material excluded from the definition of records, such as unofficial copies of documents that are kept only for convenience or reference, stocks of publications and processed documents, and library material intended solely for reference. (Congressional Reference Service confidential reports are excluded from this category. They are permanent records.) PAPERS. (1) A natural accumulation of personal and family materials, as distinct from records. (2) A general term used to designate more than one type of manuscript material. PERMANENT RECORDS. Records appraised as having enduring value because they document the activities of the committee and the organization and functions of the office that created or received them and/or because they contain significant information on legislation, oversight, persons, things, problems, and conditions with which the office dealt. PERSONAL PAPERS. The private documents accumulated by an individual, belonging to him or her and subject to his or her disposition. The records accumulated by staff in a committee office while performing the duties of the office are the records of the committee, not the staff. READING FILE. A file containing copies of documents arranged in chronological order. RECORD COPY. The official or record document that is so recognized, complete with enclosures or related papers, as distinguished from extra convenience or reference copies. RECORDS. All recorded information, regardless of media or characteristics, made or received and maintained by a committee or subcommittee in pursuance of its legal obligations or in the transaction of its business. RECORDS MANAGEMENT. That area of general administrative management concerned with achieving economy and efficiency in the creation, use and maintenance, and disposition of records. RECORDS MANAGER. The person responsible for or engaged in a records management program. SERIES. File units or documents arranged in accordance with a filing system or function, result from the same activity, or have a particular form. Your files plan lists files by series. SORTING. The process of separating papers into groups for filing according to the classification system outlined in this plan. SUBJECT FILES. Records arranged and filed according to their general information content. Also known as correspondence files or oversight files. Consist mainly of general correspondence with agency officials but may include forms, reports, and other material that relate to office functions and not to specific legislation or committee-related projects. The purpose of a subject file is to bring together all papers on the same topic to facilitate information retrieval. TECHNICAL REFERENCE MATERIAL. Copies of reports, studies, compilations of data, periodicals, journals, etc., that are needed for reference and information but are not made a part of the official files. Such non-record material is to be kept only as long as needed and may be replaced periodically with more current material. TRANSITORY RECORDS. A general term for those types of records that lose their value within a short period of time and that should be separated during filing from records requiring longer retention. APPENDIX I GLOSSARY FOR AUTOMATED RECORDS APPLICATIONS SOFTWARE. Software usually provided by the vendor which allows the user to perform certain data processing or word processing tasks without having to write such software. Systems which use such software are generally multi-purpose, and may not provide a user programming capability. ARCHIVE. A procedure for transferring information from an online storage diskette or memory area to an off-line storage medium. This is distinct from "archives," meaning permanent records. Information transferred to off-line storage must be appraised for historical value. If appraised as permanent, it must be transferred to an archival storage medium. ARCHIVAL STORAGE MEDIUM. Material that data are written and stored on that can be preserved for long-term use when given proper preservation treatment. For records created and stored on magnetic media, the medium is paper, microfilm, or nine-track magnetic tape that meets certain specifications. BACK UP. A method of protecting valuable information. A back up may take the form of 1) duplicating tapes or diskettes on which information is stored; 2) providing a system with an alternative power source to protect information in volatile memory in the event of a power failure; and 3) providing a redundant system. CAPACITY. A term describing the number of bits encoded on a magnetic disk or diskette for the storage of information, usually expressed in number of characters. Capacity is governed by the number of serial bits per inch recorded and the number of tracks on the media. COM. Computer Output Microfilm-microfilmed versions of text containing the same types of information found in paper printouts. COMMUNICATIONS NETWORK. The connection of separate communicating devices through transmission lines. COMPATIBILITY. A characteristic word or data processing equipment which permits one machine to accept and process information prepared by another machine without conversion or code modification. CONFIGURARION. The components which make up a word processing system. Most systems include a keyboard, a monitor, magnetic storage (disks or diskettes), and a printer. Some configurations may also include a minicomputer for processing information. CENTRAL PROCESSING UNIT. The heart of a computer that controls the interpretation and execution of instructions. DATA BASE. A collection of data items processed by one or more applications. The discrete units of information that the computer manipulates. DOCUMENTATION. Records required to convert human readable information into encoded data that the computer can read, and to decode machine readable information into human readable form. Documentation is an organized set of documents needed to plan, develop, operate, maintain, and use machine readable records and to explain the arrangement, content, and coding of the information in a machine readable file. ELECTRONIC MAIL. The generation and transmission of textual information by electronic means. FILE. In records processing, a collection of data items treated as a unit. In word processing, a segment of text that can be retrieved from storage is usually one document long. FILE ORGANIZATION. The manner in which files are arranged or formatted on a storage medium. FORMAT. From the merger of two words-FORM of MATerialdesignating the predetermined arrangement and coding of information in a machine readable record or in the computer's output. HARDWARE. The mechanical or electronic equipment used with a series of software programs. INDEX. A list of documents contained on a unit of storage. INFORMAITON PROCESSING. A term that encompasses both word processing and data processing which is used to describe the entire scope of operations performed by a computer. INPUT. The information to be processed by a computer. MAGNETIC MEDIA. A variety of magnetically coated materials used by word processing systems for text and program storage. Main types of magnetic media include 1) magnetic cards; 2) cartridges; 3) floppy diskettes; 4) hard disks (removable); and 5) Winchester disks (nonremovable). OCR. Optical Character Reader-a machine that can read documents. OUTPUT. Any product of information processing. Output can be directed by a computer to appear on a terminal, a printer, or computer output microfilm. RECORD. A collection of related data elements treated as a unit. RECORD PROCESSING. Refers to the manipulation of files of information, such as selecting from certain fields and resequencing these fields into different categories. SOFTWARE. A term coined to contrast the computer programs with the "iron" of the hardware. Software is a stored set of instructions which operates the physical equipment and manipulates the data. See also Applications Software. SOFTWARE DEPENDENT. Any machine readable file that requires particular software in order to access, retrieve, and process information in the file. TIME SHARING. The sharing of power and costs of a large computer among a number of users, each equipped with terminals. WORD PROCESSING SYSTEM. Refers to the specific hardware, software, and peripheral devices used to perform word processing tasks. APPENDIX J RULES FOR ALPHABETIC FILING 1. PERSONAL NAMES. Rules a. NAMES of individuals are transposed for filing purposes: Last name (surname); first name (given name) or initial; middle name or initial. b. PREFIXES on surnames (Bel, Bon, D', d', de, del, Des, di, du, El, Ger, L', La, Le, M', Mac, Mc, O', St (Saint), Ten, Ter, Van, Vander, Von, Vonder, and others) are considered inseparable parts of the surname and will be filed as though written as one. M', Mac, and Mc are filed in strict alphabetic sequence. c. HYPHENATED surnames of individuals are filed as one complete surname. d. UNDETERMINED surnames. When it is not possible to determine the surnames of individuals, they will be filed as they are written. e. MARRIED WOMEN'S names. The legal name will be used and the husband's name, if known, will be cross-referenced. (The legal name consists of the first name, maiden surname, and the husband's surname (Josephine Adams Laurens) or her first name, middle name and the husband's surname (Josephine Mary Laurens). Cross-reference: f. ABBREVIATED first names are filed as though they were spelled in full. g. NICKNAMES followed by recognizable surnames are filed under the surname and the nickname used as the first name. Nicknames with no recognizable surnames are filed as they are written. h. TITLES or degrees of individuals, whether preceding or following the surnames, are placed in parentheses following the name and disregarded in filing (Courtesy titles, Mr., Madam; military titles, Col., Major; professional title, Dr., Prof.; official titles, governor, mayor, titles of respect, Rev., Hon.; foreign titles, Lord; degrees, LL.D., Ph.D). Titles followed by one or more names not recognizable as surnames are filed in order as written. i. ABBREVIATED DESIGNATIONS, such as Sr., Jr., 2d, 3d, appearing as part of a name are disregarded in filing but are shown in parentheses following the name. 2. FIRMS, corporations, companies, associations, institutions, governments, and geographic names. a. COINED names of firms, including trade names composed of separate letters or a single word, are filed as written, except when they embody the full names of individuals. b. SURNAMES are used for filing when the full name of an individual is embodied in a firm or organization name; surname first, with the first name or initial immediately following and the balance of the name as written. Rules for personal names apply. c. PREFIXES on firm and geographic names, such as Co-, D', d', dé, des, Di, El, L', la, le, los, Mac, Mc, O', San, Ten, Ter, Van, Von, are considered inseparable parts of the name and will be filed as though written as one word. d. HYPHENATED firm names are filed as one complete name. e. COMPOUND names of firms that may be spelled either as one or two words are filed as one word. This rule must be restricted to a few frequently occurring words, such as Inter State; Mid West; South Eastern; South Side; North East. f. COMPOUND GEOGRAPHIC firm names are filed as written. Abbreviations are filed as though spelled in full. g. ABBREVIATIONS representing names or parts of names of firms, of Government agencies, fraternal and similar organizations are filed as though spelled in full. h. APOSTROPHE S ('s) is not considered in filing, but s apostrophe (s') is considered in filing. i. ARTICLE, CONJUNCTION, OR PREPOSITION, such as the, and, &, of, for, on, by, when it is part of a firm name is enclosed in parentheses and disregarded in filing. When "Ye" is used, it is filed as written. Foreign language articles are not translated and are filed as written. j. STATE, COUNTY, CITY, TOWN, or a similar word when appearing as the first word in the name of a firm, institution, association, etc., and not referring to a government establishment, is filed as written. Rules k. NUMERALS of one or two digits that make up a name or the beginning of a name are read in hundreds. Considered only the lowest number in captions beginning with inclusive numbers. Captions beginning with numbers spelled in full or abbreviated are filed as though spelled in full. Numbers of two or more words are filed as one word. I. FIRM names beginning with such phrases as Board of, Bureau of, Commission for, which do not refer to any government establishment or function, are filed as written. m. STANDARD TERMS, such as Bros., Co., Corp., Ltd., Inc., names of states and cities, often abbreviated, affect the filing sequence. When abbreviated they are filed as though spelled in full. In foreign firm names abbreviations of company, brothers, etc., whether they appear before or after the names are filed as written. They are not translated. n. CHANGE of firm name due to successorship should be filed under the current firm name and a permanent cross-reference made under the former name. Cross-reference: o. MULTIPLE names. Firms doing business under two titles are filed under the more active or important name and a permanent cross-reference is made under the other name. This includes firms "doing business as," written "d/b" or "d/b/a." p. PARTNERSHIP AND FIRM names that contain the full names of two or more individuals are filed by the name of the first individual mentioned. q. VARIOUS LOCATIONS. The same firm name appearing at various locations is filed by name of firm and then by city. Consider the State when there is a duplication of city names. r. SUBSIDIARIES OR DIVISIONS. Firms having subsidiaries or divisions, may be filed either by name of the parent organizations or by name of divisions. Whichever is adopted should be followed consistently. Affiliations should be cross-referenced under either method. S. BANKS, BOARDS OF TRADE, NEWSPAPERS, etc. Since the names of many banks, boards of trade, chambers of commerce and newspapers are alike, the city is the identifying word. They are therefore filed by location: city first, the state in parentheses, followed by the name of the bank, board of trade, etc. t. FEDERAL DEPARTMENT NAMES. Federal Government departments and subdivisions thereof are filed by name in the alphabetic name file disregarding the parent organization. U.S. Coast Guard Office of Management and Budget: Great Lakes Naval Training Station: Executive Office of the President 3. FRATERNAL or similar organization name, which is part of a larger organized group, is filed under its name, and the name of the parent organization may be cross-referenced. 4. INSTITUTION names, hospitals, schools, colleges, churches, hotels, cafes, libraries, etc., are filed under the first distinctive word or name in the title. If the title is composed of the name of an individual, rules for personal names apply. 5. SUBDIVISIONS of state, county, municipal or foreign governments, such as departments, boards, bureaus, commissions, etc., are entered after the name of the state, city, county, or country, and filed as the second or third unit. Examples 86 Madison Ave. Realty Co.-filed Eighty-six Madison Avenue Realty Company. 1198 Park Ave. Corp.-filed Eleven Hundred Ninety-eight Park Avenue Corporation. 92-96 W. 18th St. Corp.-filed Ninety-two (96) West Eighteen Street Corporation. Committee for Economic Development-filed Committee (for) Economic Development. Brown Bros.-filed Brown Brothers Cie Generale Transatlantique-filed Cie Generale Transatlantique. Clairo Company formerly Van Ess Products Co.-filed Clairo Company (Formerly Van Ess Products Co.). Van Ess Products Company-filed Clairo Company. Max Jensen doing business as Ace Van Lines-filed Ace Van Lines. Charles Brown & Henry Jones-filed Brown Charles (& Henry Jones). Allied Van Lines, Denver, Colo.-filed Allied Van Lines Denver Colorado. Allied Van Lines, Portland, Me.-filed Allied Van Lines Portland Maine. Truscon Steel Co. Division of Republic Steel Corp.-filed Republic Steel Corporation Truscon Steel Co. Division. Board of Trade Chicago, III.-Chicago (III.) Board of Trade. Filed Coast Guard (U.S.) Andrew Carnegie Library-filed Carnegie |