NAME OF SYSTEM: Automated Name Search ORIGINATOR: Securities and Exchange Commission (SEC) Washington, D.C. 20549

lative features that could help in revealing relationships between individuals and a particular case file. Collectively, about 30 man-years were required to maintain and service the 1.5 million personnel cards, indexes, and case records. The index cards contained from one to six items with information such as name, file number, and cross-references. Based on the findings of the survey, the Office of Records Management recommended establishment of an automated information storage and retrieval system. In addition to the personal index data needs, the equipment would also be used to effectively handle other file maintenance requirements within the SEC. T H E N E W M E T H O D . The new system is oriented around the name search file, which is an automated index collection of information extracted from the various documents and files of the Commission. The file collection is used primarily for developing association and relationship data between individuals and companies. The initial conversion of the index card file collection was to punched cards. After data validation and necessary corrections, a computer-oriented alphabetical magnetic tape index file was produced, which serves as the principal data source for the name search process. Name and case number inputs to the automated, master index file are extracted from selected cases and transcribed on a transcript sheet form. Keypunch operators convert the information to punched card format. After alphabetical batching, the punched cards serve as the computer input for merging the information into the index file master tape. Computer name searches are initially processed in the same sequence as is the input source data. The computer searches each name entry for matches or near matches against the master index file. In instances where matches or near matches occur, an

OBJECTIVE. To operate an automated name index search system that will eliminate data duplication, reduce timelags in processing of cases, and thus increase the effectiveness of the Commission's clerical and professional personnel. B A C K G R O U N D . The Securities and Exchange Commission (SEC) is a regulatory agency of the Government responsible for protecting the interests of the public and investors against malpractices in the Nation's securities and financial markets. In performing these varied duties, the Commission is interested in such matters as company registrations, corporate financial statements, stock exchange activities, and brokerage house operations. As an adjunct to regulating these financially oriented institutions and activities, a large file on individuals associated with these enterprises is maintained. Several years ago, due to an increase in workload and prospects of an expanded area of subject matter interest, the SEC requested the Office of Records Management, National Archives and Record Service, to conduct an in-depth study of its paper handling activities. The survey conclusions, among other suggestions, recommended that the various widely dispersed record collections be centralized. For example, index cards created and maintained by operating divisions as aids in processing their work totaled 20 separate files. A contributing factor to the workload problem was the limited amount of data that could be recorded on the index cards. For example, because social security numbers were not contained on the cards, it was often impossible to identify particular individuals from a listing of apparently identical names. Further, the card file system had no manipu122

additional computer program causes case file numbers of such names to also be identified. The retrieval of the information is in the form of a computer printout and is used by the searcher to identify and obtain the appropriate case documents for possible relationships or association purposes. R E M A R K S : The magnetic tape file system was selected because of the quality, repetition, and the diversity of data characteristics needed by the SEC's examiners, attorneys, and other personnel. The data is needed in a quick, accurate, and usable form and at a

reasonable cost. The former system of manually maintained records was too costly in terms of manpower, quality of results, and timeliness of action. The computerized magnetic tape file provides quick and accurate responses to name checks, and is the most effective way of developing individual relationship and association data. By proper scheduling of inputs the computer search program can perform this type of search requirement in a matter of hours, in contrast to the manual effort which often took days to complete.

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INPUT PROCESSING STORAGE SEARCH AND R E T R I E V A L

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1. Input c o n s i s t s m a i n l y of n a m e s of people a s s o c i a t e d with f i n a n cially oriented activities. 2. I n f o r m a t i o n is e x t r a c t e d f r o m s o u r c e m e d i a and p l a c e d on p a r t i a l l y coded f o r m . 3. Keypunch o p e r a t o r c o n v e r t s i n f o r m a t i o n into punched c a r d format. 4. Punched c a r d s a r e batched and s e r v e a s input t o c o m p u t e r . 5. C o m p u t e r p r o g r a m m e r g e s new i n f o r m a t i o n into p r o p e r s e q u e n c e in m a s t e r i n d e x f i l e .

M a s t e r index file c o n t a i n s m o r e than one m i l l i o n e n t r i e s .

1. N a m e s e a r c h r e q u e s lts a r e e n t e r e d on s e a r c h f o r m . 2. Keypunch o p e r a t o r c o n v e r t s i n f o r m a t i o n into punched c a r d format. 3. P u n c h e d c a r d s a r e b a t c h e d and run t h r o u g h c o m p u t e r for n a m e m a t c h i n g and a s s o c i a t e d information. 4. R e t r i e v e d i n f o r m a t i o n is r e c e i v e d a s a h a r d copy p r i n t o u t of m a t c h e d n a m e s and file i d e n t i fications.

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