FOREWORD

Publication of this handbook represents a particularly significant milestone in the Senate's efforts to improve the quality and accessibility of its historically valuable records. Fifty-one years ago, the Senate established the initial milestone through its decision to transfer its permanent records to the newly opened National Archives Building. Ever since Congress moved to Washington in 1800, Senate clerks had followed the practice of sending noncurrent records to the Capitol's attic and basement storerooms and promptly forgetting about them. Over the years, war, vermin, and souvenir hunters ravaged these documents. In 1927 a young clerk in the Office of the Secretary of the Senate discovered old records stacked in boxes and strewn across the floor of a basement storeroom. Realizing that he was standing on an official-looking document, he later recalled that it bore two important markings-the print of his heel and the signature of Vice President John C. Calhoun.

During the following decade, personnel in the Office of the Secretary of the Senate searched the Capitol Building, finding in more than fifty separate locations records dating from the First Congress. Early in 1937, an appraiser from the National Archives examined the resulting collection and found that many records were dirty, water-damaged, and brittle. In spite of their poor condition, the examiner concluded: "From the standpoint of historical as well as intrinsic interest, this is perhaps the most valuable collection of records in the entire government. It touches all phases of governmental activity and contains a vast amount of research material that has never been used."

Since 1937, under provisions currently set forth in Senate Rule XI, the Senate has directed its Secretary to "obtain at the close of each Congress all the noncurrent records of the Senate and of each Senate committee and transfer them to the National Archives and Record Administration, subject to the orders of the Senate." The Secretary's responsibility includes the establishment of standards to ensure that permanently valuable records are identified and that only records of this enduring quality are preserved for future generations.

The past fifteen years have brought major challenges for the management of the Senate's permanent records. In the mid-1970s, the Senate significantly expanded staff resources available to its more than one hundred committees and subcommittees.

The growth of minority party staffs and the addition to each committee unit of members' personal staff representatives vastly increased the number of persons creating potentially valuable records. The introduction of office automation systems, with their efficient capacity to eliminate noncurrent documents, further complicated efforts to retain files of permanent worth. In 1981 party control of the Senate shifted for the first time in twenty-six years. This event stimulated a fundamental reevaluation of Senate records management and disposition procedures, as well as a major transfer of long-held records from committee storerooms to the National Archives.

In response to these developments, the Secretary of the Senate established the position of Archivist within the Senate Historical Office, and recruited Karen Paul from the National Archives to undertake the responsibilities of this challenging assignment. In 1985 Karen Paul produced Records Management Handbook for United States Senators and Their Repositories, which has since become an indispensable reference source for senators and the libraries to which they donate their office files and personal papers.

The present volume is intended as a companion to the 1985 publication. Special thanks are due to the dozens of committee staff members and staff of the Senate Computer Center Education Services who have constructively reviewed earlier drafts and have generously shared their insights. I particularly appreciate the assistance of the National Archives' Legislative Archives Division, under the able direction of R. Michael McReynolds, and the Machine-Readable Archives Branch under the direction of Edie Hedlin. Barry Wolk and John Steen in the Senate Office of Printing Services, Liz McAlhany, Special Assistant for Information Systems in the Office of the Secretary, and John Hamilton in the Senate Historical Office, generously contributed their expertise to this project. Elizabeth Hornyak Morrison skillfully prepared the automated format from which the volume was published. Finally, I extend deepest appreciation to Karen Paul. I am certain that, in the years ahead, those involved in the creation, management, and use of permanent Senate records will be grateful for the high professional standards that she brought to the conception and writing of this important handbook.

Walter J. Stewart Secretary of the Senate

EXECUTIVE SUMMARY

Records Management

A Committee Responsibility

Committee records document the Senate's role in formulating legislation, performing oversight, reviewing nominations and treaties, and conducting investigations. Because these records are the property of the Senate under Senate rule and statute, committee members and staff will want to establish office regulations and procedures that ensure the preservation of historically valuable material. To achieve this goal, each committee and subcommittee office should establish sound records management practices and require conscientious implementation on the part of all staff.

Effective records management leads to the creation of well-defined office files, timely and systematic removal of transitory records, and the designation and control of permanently valuable material. It both enriches a committee's total information resources and determines the overall level of office efficiency. In fact, given the increased volume of records acquired by committees and the fragility and transitory nature of electronic documentation, astute records management is essential to a well-run office.

Getting Started

An Office Policy

Ideally, committee staff should establish an office policy at the beginning of each Congress, before subsequent activities limit the opportunity for careful records preservation planning. But it is never untimely to initiate records management, and offices without regulations should consider devising a policy and implementing a program immediately. If this task is left to the end of a Congress, staff will find themselves overwhelmed by its magnitude and the quality of final documentation will assuredly suffer.

An office policy should remind staff of Senate Standing Rules (XI and XXVI(10)) governing ownership and disposition of committee records, emphasize the importance of records management, authorize implementation of specified records maintenance routines, and set forth guidelines for staff who wish to make either electrostatic or microform copies of their files to take with them when they leave committee employment.

A solid records management program requires early identification of permanently valuable files so that they may be filed separately from transitory material. In the case of electronic records, administrative controls must be implemented to guarantee the preservation of permanently valuable information stored on magnetic media. Guidelines for identifying valuable files are provided in the following chapters. Individual assistance is available from the Senate Historical Office and the Senate Archivist who also assists with all aspects of records disposition and transfers of material to the National Archives.

Management of Automated Records

Automated records represent an increasingly important part of the materials created and maintained by committee offices. Because such records are stored in a form that is easy to modify and update, they are sometimes mistakenly considered to have temporary or transitory informational value. On the contrary, certain information stored on these systems will have permanent value for the office and for future research. It is the responsibility of the staff to identify this information and ensure that it is systematically retained. Consultation with the Senate Archivist is recommended.

Every office using automated systems should compile written guidelines that specify:

instructions for compiling an inventory of automated files and information

☐ a list of subject (index) terms to be used for indexing documents

documentation to be saved with each automated record

disposition statement for each information file guidelines for deleting and reusing magnetic media

physical maintenance requirements

Office automation poses unique information retention problems which require careful records management planning. Staff who recognize and accept this responsibility are fulfilling the requirements outlined by Senate rules regarding preservation of committee records. By so doing, they are contributing in a unique and lasting way to the Senate's documentary heritage.