APPENDIX J

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', de, 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.

7. 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.)
Filed Management and Budget Office (of).
Filed Great Lakes Naval Training Station.
Filed President Executive Office (of The).
Veterans of Foreign Wars, Portsmouth Post,
N.H.-filed Portsmouth (N.H.) Post, Veter-
ans (of) Foreign Wars.

Andrew Carnegie Library-filed Carnegie
Andrew Library, University of Washington-
filed Washington University (of).
Water Dept. Fairfax County, Va.-filed Fairfax
County (Va.) Water (Dept.).

Suggested Readings

Records Management

Association of Records Managers and Administrators. Readings in Records Management, Vol. II, October 1977-July 1980. Prairie Village, Kansas. 1980.

Baker, Richard A. "Documenting the History of the United States Senate," Government Publications Review 10 (1983): 415-26.

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Barkley, John and Rosenthal, Lynne S. Issues in the Management of Microcomputer Systems. NBS Special Publication 500-125, U.S. Department of Commerce. Washington, DC: Government Printing Office, 1985.

Bauer, G. Philip. The Appraisal of Current and Recent Records. Staff Information Circulars, no. 13. Reprint. Washington, DC: National Archives and Records Service, 1976.

Benedon, William. Records Management. Englewood Cliffs, NJ: Prentice Hall, 1969.

Blegen, August H. Records Management Step-byStep. Stamford, CT: Office Publications, Inc., 1965.

Boles, Frank. "Sampling in Archives." The American Archivist 44 (Spring 1981): 125-130.

Committee on the Records of Government. Report. Washington, DC: 1985.

Diamond, Susan Z. Records Management: A Practical Guide. New York, NY: American Management Association, 1983.

General Services Administration. Information Resources Management Service. Electronic Recordkeeping Handbook. Washington, DC, October 1987

Ham, F. Gerald, "Archival Choices: Managing the Historical Record in an age of Abundance," Archival Choices. Edited by Nancy Peace. Lexington, MA: Lexington Books, 1984.

Hedstrom, Margaret L. Archives & Manuscripts: Machine Readable Records. Chicago, IL: Society of American Archivists, 1984.

Lewellyn, Michael V. The ARMA/ICRM Bibliography on Information Management. Prairie Village, Kansas: Association of Records Managers and Administrators, 1980.

Maedke, Wilmer O.; Robek, Mary F.; and Brown,

Gerald F. Information and Records Management. Beverly Hills, CA: Glencoe Press, 1987. National Archives, Office of Records Administration. Records Management Handbooks: Disposition of Federal Records, 1981; File Stations, 1980; File Operations, 1981; and Subject Filing, 1981. National Study Commission on Records and Docu

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Thomas, Violet; Schubert, Dexter R.;and Lee, JoAnn. Records Management Systems and Administration. New York, New York: John Wiley & Sons, 1983

Senate Committees and Procedures

Byrd, Robert C. "The Records of the United States Senate," Congressional Record, December 4, 1980, pp. S15487-92 (daily edition).

"Senate Committees, 1900-1946," Congressional Record, June 3, 1985, pp. S72917295 (daily edition).

"Congressional Reform: The Legislative Reorganization Act of 1946," Congressional Record, June 17, 1985, pp. S8289-8295 (daily edition).

Library of Congress, Congressional Research Service. Hardy, Carol; Shapiro, Sherry B. and Walser, George H. The United States Senate: A Selected Annotated Bibliography. Report No. 81-268 GOV (August 1985); Siddall, David R., How to Prepare a Legislative History. Report No. 78-48A (May 1978); Schneider, Judy. An Introductory Guide to the Standing Committee System, Report No. 83-165 GOV (August 1983); Rundquist, Paul. Congress: A Selected Annotated Bibliography. Report No. 81-33 GOV (March 1982).

Riddick, Floyd M. Senate Procedure. Sen. Doc. 97-2. Washington, DC: Government Printing Office, 1976.

U.S. Commission on the Operation of the Senate. Legislative Activity Sourcebook: United States Senate. Washington, DC: GPO, 1976.

Toward a Modern Senate. Doc. No. 94-278. Washington, DC: GPO, 1976.

U.S. Congress, Joint Committee on Printing. Congressional Directory. Washington, DC: GPO, compiled each Congress.

U.S. Senate. Committee on Ethics. Interpretative Rulings of the Select Committee on Ethics. S. Prt. 99-193. Washington, DC: GPO, 1985.

U.S. Senate. Committee on Rules and Administration. Committee System Reorganization Amendments of 1977. Hearings on S. Res. 4, 95th Congress. Jan. 5-13, 1977. Washington, DC: GPO, 1977.

Committee System Reorganization Amendments of 1977. Open Markup Sessions on S. Res. 4. Washington, DC: GPO, 1977.

Committee System Reorganization Amendments of 1977. Report together with Additional Views to accompany S.Res. 4, 95th Congress. Washington, DC GPO, 1977.

Expenditure Authorizations and Requirements for Senate Committees. S. Prt. 99-109, Washington, DC: GPO, 1985.

Senate Manual. S. Doc. 98-1. Washington, DC: GPO, 1984.

Standing Rules of the Senate. Printed each Congress.

U.S. Senate. Historical Office. The United States Senate: A Historical Bibliography. Washington, DC: GPO, 1977.

Senate History, a semi-annual newsletter. U.S. Senate. Office of the Senate Legal Counsel. Manual on Senate Committee Rules and Procedure. February, 1981. (currently under revision.) 1987 Rules of Senate Committees. April, 1987. Compiled each Congress.

U.S. Senate. Offices of the Secretary, Sergeant at Arms, and Committee on Rules and Administration. Congressional Handbook. Washington, DC: GPO, 1988

U.S. Senate. Secretary of the Senate. Ast, Harold G. Senate Legislative Procedural Flow. Washington, DC: GPO, 1978.

U.S. Senate. Temporary Select Committee to Study the Senate Committee System (1976-1977). Document Control Systems for Senate Committees. Committee print. Washington, DC: GPO, 1977.

Operation of the Senate Committee System: Staffing, Scheduling, Communications, Procedures, and Special Functions. Committee Print. Washington, DC: GPO, 1977.

Senate Committee System. Hearings, 94th Congress, on Jurisdictions, Referrals, Numbers and Sizes, and limitations on Membership. Committee Print. Washington, DC: GPO, 1976.

The Senate Committee System: Jurisdictions, Referrals, Numbers and Sizes, Limitations on Membership.; First Staff Report. Committee Print. Washington, DC: GPO, 1976.

Structure of the Senate Committee System: Jurisdictions, Numbers and Sizes, and limitations on Memberships and Chairmanships, Referral Procedures, and Scheduling: First Report. S. Report No. 94-1395.

U.S. Senate. Temporary Select Committee to Study the Senate Committee System (1984-1985). Report together with Proposed Resolution. S. Prt. 98-254. Washington, DC: GPO, 1984.

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