CHAPTER VII:

The Senate sergeant at arms provides scanning and microfilm services at the document imaging center at Postal Square. Documents may be scanned into a document management system called OnBase. The OnBase system generates both CD-ROM (for short term use) and microfilm (for long term storage) simultaneously, and allows offices to index records for better retrieval. The system also provides the capability for key-word searching across files.

These services are available to Senate offices that want to achieve better physical management of large volumes of documents, to create duplicate security copies of important files, and to preserve historical records. Scanning is used to speed access to large volumes of documents via CD-ROM. Microfilm is used to improve file management by reducing the size of the permanent collection, by facilitating handling and reproduction, and by creating a "bound" order for better control of information. Archival quality microfilm can be used to preserve information stored on a less permanent medium, such as scrapbooks, newsprint, and irradiated mail. Despite the advent of new imaging technologies, microfilm remains the preferred format for archival storage. CDs are made for shortterm, ca. five- to seven-year use, assuming that software changes at about that rate.

Neither scanning nor microfilm is a substitute for comprehensive records management. They will not speed up office paper flow or eliminate the need for systematic filing. They require a substantial amount of staff effort to be done properly and are best employed as complements to an overall information management scheme.

DETERMINING WHAT TO SCAN AND
MICROFILM

Many offices have scanners which are used to convert paper documents to digital form. The sergeant at arms also provides document scanning and microfilming services combined with the indexing benefits of a document management system at the Imaging Center. How does an office decide when to implement use of this technology? What are the considerations for document retention? Has "scanning" replaced microfilm within the Senate office environment? Are both technologies useful? What should an office do with the paper copy?

To answer these questions, one must first determine the retention requirements of the documents under consideration. This is necessary because various formats (paper, microfilm, electronic media) have distinct uses for storage and retrieval needs. Until the National Archives develops and implements the Electronic Records Archive (ERA), it remains important to obtain a microfilm copy of scanned committee documents.

In-office scanning is most appropriate for documents containing information that is quickly needed. The scanned images should not replace the textual document for archival purposes. If the scanned image is intended to replace the textual document for archival purposes, it is a good idea to use the Senate imaging lab where a microfilm version can be produced simultaneously. Electronic images best meet the needs of current research. Microfilm and paper best meet the needs of long-term storage.

Most offices select a mixed media approach to their information retrieval and retention needs. Technology is a means to an end. It is important for office managers to match the appropriate means with the desired end. Paper will exist in Senate offices for the foreseeable future. Chief clerks have the following options and must determine which combination best suits the needs of their committee. Some of these services are available within the Senate. Others are available from private vendors.

• Documents can be sent to the Senate Imaging Center for scanning and filming by use of the integrated scanner/camera. This is especially useful for markup transcripts and hearing transcripts.

• Documents can be converted to electronic formats by scanning within the office and the textual version sent to the Archives. This is useful for emergency operating records.

• Microfilm can be converted to CD-ROM by the Document Imaging Center.

• Computer Output Microfilm (COM) technology can produce microfilm from electronic text or images. This is useful for offices that have scanned documents and now need to create an archival version.

Image/microfilm storage and retrieval are most useful as a preservation technique for permanently valuable records. Copying should be done when all files in a series are complete, because an incom

plete file tends to be of less research value. Factors determining effectiveness include the following:

• The information will be used by the office or Archives staff in the future.

• The information is needed at a single location where there is a high reference rate, or at numerous locations having a moderate to low reference rate

• The information might need to be accessed offsite in the event of office closure

COMMITTEE RECORDS APPROPRIATE FOR SCANNING/FILMING

The types of files listed below meet the criteria for effective scanning. In none of the cases listed should the paper files be destroyed unless a microfilm version also is made. It is important not to destroy any papers of historic value.

• Markup, committee business meeting, and hearing transcripts (to allow for archiving of unique records, facilitate access and create a security copy)

• Speeches, press releases, newsletters, columns (to ensure that the files are preserved intact) Investigative documents (to facilitate access, preserve a complete set, and reduce bulk) Analytical briefing memos (to make an archival copy for inclusion with the member's personal papers collection)

DOCUMENT PREPARATION

The Imaging Center provides advice on physical preparations necessary to ensure a good filming job. An appointment should be made with the supervisor to plan the conversion and to design operating procedures. Generally, these steps are necessary to prepare files:

(1) Arrange the items to be scanned/filmed in strict order, either numerical, chronological, or alphabetical. Refile any records that are misfiled. Remember, scanned and filmed documents do not lend themselves to annotation or updating.

(2) Remove and discard duplicates, reference material, and envelopes.

(3) Perform the following steps:

• Ensure that items to be scanned/filmed are of either letter or legal size

• Face all documents in one direction, making sure that any document numbers or titles appear on the first sheet of each individual file • Remove staples

Straighten folds and flatten wrinkles

• Copy torn pages onto new paper

• Indicate by means of attached notes any documents that you do not wish to be scanned/ filmed

• Remove binding from material which is bound (5) If any of the documents to be scanned/ microfilmed are intrinsically valuable in paper form (i.e., letters signed by the president, congressmen, cabinet members, governors, state legislators, famous people, and otherwise important correspondence), remove the items and replace them with a photocopy. Write the file number in pencil on the back of the originals and file them in numerical or chronological order in a specially created file entitled "Historical Letters Worth Saving date." This special file should be forwarded to the Archives.

(6) Prepare index sheets and insert them at points that you want to index, for example at the beginning of each transcript or folder.

(7) Complete a work order and box pickup slip at Customer Service, SD-G82. The documents will be picked up from your office. The CDs and microfilm will be delivered back to you.

(8) When CDs and microfilm are received, check for completeness and accuracy.

(9) Disposition of paper files that are scanned and/ or microfilmed should follow suggestions stated in Chapter III.

INSPECTING THE CD-ROM AND
MICROFILM

The Imaging Center performs quality control on all of its products. However, each CD and roll of microfilm should be carefully checked again by staff for any missing pages, for the sequence of documents, the legibility of each exposure, and the legibility of the index information.

CHAPTER VIII:

This chapter provides information on WHEN, WHERE, and HOW to transfer committee records to the Center for Legislative Archives at the National Archives when they are no longer needed for the current work of the committee.

WHEN

Records normally are transferred at the end of a Congress, and at other times during the year when they become noncurrent. This might be when a staff member departs, when an investigation is completed, or if the material is referred to only occasionally, usually no more than once a month per file drawer. For specific retention and disposition recommendations, see individual entries in Chapter III: Disposition Schedule. Setting up regular archival transfers is strongly recommended. Among the many benefits are the following:

• Adherence to Senate Rules XI and XXVI(10)(a) governing the ownership and disposition of committee records

• Enhancement of the Senate's institutional memory; committee records are retained to fully document staff work on legislation, oversight, nominations, treaties, and the budget process

• Improved protection and control of permanent records; such files will be protected against loss or damage likely to occur in temporary storage sites and they can be easily retrieved for future reference

• Improved committee operations; clutter and backlog is eliminated

• Savings in space and equipment costs; more records can be stored in less space and at lower cost in the Archives than in office space

WHERE

The Senate's records remain the legal property of the Senate and physically are transferred to the National Archives for preservation and reference service. Established in 1934, the National Archives and Records Administration is the repository for the historical records of the United States federal government, including the Congress, the Supreme Court, and the executive agencies. The enabling legislation for the National Archives reads in part, "When it appears

to the Archivist to be in the public interest he may

(1) accept for deposit with the National Archives of the United States the records of . . . the Congress . . determined by the Archivist to have sufficient historical or other value to warrant their continued preservation by the United States government" (44 U.S.C. 2107).

Senate holdings are stored at the Center for Legislative Archives which is located in the main National Archives Building on Pennsylvania Avenue at Eighth Street. These records date from the First Congress in 1789. They amount to more than sixty-five thousand cubic feet, or approximately sixteen million pages, and include items such as George Washington's first inaugural address, the text of the Monroe Doctrine message, antislavery petitions, and election certificates for all senators. In addition, there are records of all significant standing and select committees including files dating back to 1816 for the current committees on Foreign Relations, Judiciary, Finance, and Commerce. In 1936, a National Archives appraiser examined the entire Senate collection and concluded that "from the standpoint of historical as well as intrinsic interest, this is perhaps the most valuable collection of records in the entire United States government." This remains the case today as the Senate continues to add to its rich collections of resources.

HOW

The following procedures should be observed in preparing records for transfer to the Archives:

• To initiate a transfer and to obtain instructions, boxes, labels, and transfer sheets, contact the Senate archivist at 224-3351

• With assistance from the archivist, identify permanent records and determine appropriate disposition of nonpermanent records

• Identify the record series that you wish to transfer, and determine the basic pattern of arrangement and the inclusive dates of the material

• Review records stored on electronic media and archive any that should be incorporated into the textual records being prepared for transfer. With assistance from the Senate archivist, determine the most appropriate archival transfer medium.