RECORDS MANAGEMENT HANDBOOK INFORMATION RETRIEVAL

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020030-9
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 137
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 30
• Publication Date: January 1, 1972
• Content Type: REPORT

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HANDLE OOK
Iging Information Retrieval
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Federal Stock Number
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GENERAL SERVICES ADMINIS
NATIONAL ARCHIVES AND RECD
OFFICE CAF RECORDS MANA
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RECORDS MANAGEMENT HANDBOOKS are de-
veloped by the National Archives and Records Servlice as
technical guides to reducing and simplifying pape,work.
Managing correspondence: Plain Letters .............. i 1955 47 ;.?.
Managing correspondence: Form Letters .............. 1 1954 33
Managing correspondence: Guide Letters ............... 1955 23 n.
Managing directives: Communicating Policy and Procedure) 1967 62 p..
Managing forms: Forms Analysis .................... ~ 1960 62 ~.,
Managing forms : Forms Design ..................... ~ 1960 89 p.
Managing forms: Forms Management ................ 1969 34 ~..
Managing mail: Managing the Mail .................. 1971 94 o.
Managing current files: Files Operations ............... 1964 76 x
Managing current files: File Stations ................... 1967 52 Vii.
Managing current files: Subject Filing ................I 1966 40 p..
Managing information retrieval: Information Retrieval ... f 1972 132 p.
Managing information retrieval: Information Retrieval
Systems ......................................i. 1970 150 p.
Managing information retrieval: Microform Retrieval
Equipment Guide .............................. 1970 64 p.
Managing emergency preparedness files: Federal Vital Rec-i
ords Program ..................................I 1968 16 >.
Managing noncurrent files: Applying Records Schedules .. 1961 23 p.
Managing noncurrent files : Federal Records Centers ....... 1967 39 p.
Mechanizing paperwork: Source Data Automation ......I 1965 78 p.
Mechanizing paperwork: Source Data Automation Equip
ment Guide .................... 11 1970 122 p.
Mechanizing paperwork: Source Data Automation SystemA 1963 183 p.
General: Bibliography for Records Managers ...........1 1965 58 p.
General: Copying Equipment ......... ...............j 1966 82 p.
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FOREWORD
Management at every level is being subjected to increasing pressure to automate
the files of the office-to adopt new, nonconventional methods and equipment to
improve the dissemination, storage, and retrieval of information. Professional
journals, trade magazines, and agency publications are constantly reporting how
management is solving its information problems through the use of these new
systems. But today's manager knows that the new systems usually represent a
sizable investment, and he is also aware that the investment has not always
paid off.
It is the purpose of this handbook to provide the manager and those who assist
him with guidelines for determining where these new systems might profitably be
employed in Government offices and with criteria for selecting the right methods
and equipment. While the main objective is to encourage greater use of modern
information retrieval techniques, the guidelines should also help prevent the
installation of ill-advised or unprofitable systems. For those offices that have
already installed modern information retrieval systems, the handbook may prove
helpful in analyzing and evaluating existing system performance or in revising
an ineffective system.
This handbook is intended primarily for the use of management analysts,
systems personnel, middle management, and any others who may be directly
involved in conducting information retrieval studies or in designing and installing
an information retrieval system.
Although this handbook is issued as one of a series of Records Management
Handbooks produced by the National Archives and Records Service, General
Services Administration (GSA), the United States Air Force shared in its
development. It was produced under a contract jointly funded and administered
by the Air Force and GSA.
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1. WHY NEW INFORMATION RETRIEVAL Prerequisites for a Successful Machine In-
SYSTEMS ARE NEEDED dexing or Retrieval System ........... 41
What Is Information Retrieval? ......... 1 Factors Affecting the Choice of the Type
Summary of Conventional Methods ...... 1 of a Machine Indexing or Retrieval
Summary of Nonconventional Methods ... 3 System ............................. 42
Limitations and Advantages of Conven- Types of Machine Indexing and Retrieval
tional Methods ...................... 5 Systems ............................ 42
Advantages and Limitations of Nonconven- Other Machine Indexing and Retrieval
tional Methods ...................... 9 Systems ........................... 50
Coordinating Indexing-Key to Many Non-
conventional Systems ................ 10 VI. HOW TO DECIDE IF A NEW SYSTEM
IS NEEDED
II. HOW COORDINATE INDEXING SYS-
TEMS WORK
Principles of Coordinate Indexing ........ 11
Types of Indexing Terms ................ 12
Index File Arrangements ............... 13
Major Advantages of Coordinate Indexing
Systems ........................... 13
III. MICROFORM SYSTEMS
How Microforms Help Solve Typical Infor-
mation Problems .................... 14
Prerequisites for a Successful Microform
System . ......................... 18
Types of Microfilm and Cameras ......... 18
Factors Affecting the Choice of the Type of
Microform System .................. 21
Types of Microform Systems ............ 22
Microform-Computer Combinations ...... 31
Special Considerations ................. 32
IV. MANUAL NONCONVENTIONAL INDEX-
ING SYSTEMS
The Preliminary Survey ................ 51
Where to Look ........................ 51
Examining User Needs ................. 51
Fact-Gathering Forms .................. 53
Decision Tables ....................... 53
Summary ............................ 59
VII. HOW TO DETERMINE SYSTEM
REQUIREMENTS
Data Collection Techniques ............. 60
Suggested Questionnaires ............... 60
Data Summarization Techniques ........ 65
Final Review and Analysis of Findings ... 71
Users' Briefings ........................ 71
Use of General Analysis Techniques and
Tools .............................. 71
VIII. SELECTING THE RIGHT METHODS
AND EQUIPMENT
Types of Situations Where Nonconven- Step 1, Selecting the Applicable Functional
tional Indexing Systems Are Used ...... 33 Category ........................... 72
Prerequisites For a Successful Manual Non- Step 2, Selecting the Right Methods and
conventional Indexing System ......... 33 Equipment ......................... 73
Factors Affecting the Choice of the Type
of Manual Nonconventional Indexing IX. DESIGNING A COORDINATE INDEX
System ............................ 34 Economics of Coordinate Indexes ........ 76
Types of Manual Nonconventional Systems 35 Steps in Developing a Coordinate Index .. 76
Special Considerations ................. 40 Staffing .............................. 85
V. NONCONVENTIONAL MACHINE IN- Current Awareness Services ............. 85
DEXING RETRIEVAL SYSTEMS Quality Control ....................... 88
Types of Situations Where Machine Index- Setting Quality Standards .............. 88
ing and Retrieval Systems Apply ....... 41 Conclusion ........................... 89
APPENDIX A NONCONVENTIONAL METHODS AND EQUIPMENT GUIDE ....................... 90
APPENDIX B INFORMATION RETRIEVAL EQUIPMENT AND SUPPLIES SOURCES ................ 102
APPENDIX C INFORMATION RETRIEVAL-RECOMMENDED PRIMERS AND
SELECTED RESEARCH SOURCES ................................................ 108
APPENDIX D FORMS FOR EVALUATING A POTENTIAL INFORMATION
RETRIEVAL APPLICATION ....................................................... 111
APPENDIX E SAMPLE DIRECTIVE (AIR FORCE) COVERING DOCUMENT
MINIATURIZATION SYSTEMS ................................................... 113
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I. WHY NEW INFORMATION RETRIEVAL
SYSTEMS ARE NEEDED
Conventional methods for storing and retrieving
information have been doing an effective infor-
mation handling job for some 50 years, and in
many situations today are still the best answer.
However, during and since World War II more
and more people have been questioning these
conventional methods and looking for new and
better ways to satisfy their information needs.
The three main reasons for this exploratory re-
search have been the information explosion, the
trend toward a much higher degree of specializa-
tion in all technical fields, and the advent of the
new technologies of electronic data processing
and document miniaturization.
has become known as "information retrieval."
Stated in other ways :
? Information retrieval employs methods
and equipment that depart in one way or
another from the conventional methods we
find in most offices and libraries.
? Information retrieval means there are now
available methods and equipment for dis-
seminating, storing, and retrieving infor-
mation that make it possible, and often
quite practical, to do things that no one
considered doing before.
The information explosion is now overtaxing
conventional methods and equipment for index-
ing and storing the thousands of new documents
being prepared each year. The trend toward
greater specialization is resulting in preparation
of documents that deal with increasingly narrow
aspects of subject topics. New classes of infor-
mation are constantly being formed by the emer-
gence of interdisciplinary specialists. Conven-
tional methods for classifying and indexing
information are frequently not well suited to meet
the demands for greater specificity in organizing
and retrieving information nor the need to manip-
ulate information freely.
Information specialists in the scientific and
technical fields were among the first to apply the
electronic computer, microforms, and other non-
conventional methods and equipment to solve in-
formation retrieval problems. This handbook
draws largely on their knowledge and experience.
What Is Information Retrieval?
It is the approach to the problem of information
dissemination, storage, and retrieval that is new-
nonconventional methods and equipment that
have been introduced during the last decade or so.
It is this new, nonconventional approach which
? Information retrieval means simply new
ways for performing old tasks and is used
primarily when conventional methods will
no longer suffice.
Perhaps one of the best ways to define noncon-
ventional systems is to first explain what is meant
by conventional methods and equipment-hence,
the things not covered in this handbook. Ex-
amples of these conventional methods are shown
in figure 1, which includes a standard file cabinet,
a reference visible file, a mobile shelf file, a rotary
file, and a mechanized file.
Summary of Conventional Methods
The characteristics of the documents and the
methods used in organizing the information in
conventional files are as follows:
? The documents are largely in paper form.
? The documents are maintained in a struc-
tured file, that is, a file organized and ar-
ranged for direct searching according to
the filing feature (name, number, subject,
etc.) most often known by the user when
looking up the information.
1
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Rotary File
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Appror acogr ~fSg o maintained ~ 7nd~9 find DP7m 0 SR4Q(3 0 @61ROM 9hoey d nn conventio modern nn-
information when users ask for it on a formation retrieval systems and these, with a
basis different from that by which the numbers of others, are described in chapters III,
document file is structured. IV, and V of this handbook.
The success of conventional methods depends
largely on the following factors:
? Stability of information and language con-
tained in the documents.
Edge-notched cards. Edge-notched cards
have been available for many years and em-
ploy a technique that is superior to conven-
tional filing methods in numerous applica-
tions.
? Simplicity and shortness of the documents.
? Predictability of users' needs and the way
in which they will ask for documents.
? Simplicity of users' needs.
? Availability of space close to the users to
store the documents.
The following GSA-Records Management Hand-
books relate primarily to conventional systems
and should be carefully reviewed before any in-
formation retrieval study is undertaken :
Files Operations-FSN 7610-985-6973-1964
Subject Filing-FSN 7610-926-2128-1966
File Stations-FSN 7610-926-2129-1967
Summary of Nonconventional Methods
Nonconventional methods for storing and re-
trieving information have one or more of the
following characteristics:
? The information is disseminated and
stored in miniaturized form.
? The document file is largely unstructured-
the documents are filed by a simple iden-
tifier such as an accession number or ma-
chine location address.
? The contents of the documents are de-
scribed in detail by means of a separate,
highly manipulative index file, or the
entire contents are maintained in machine-
readable form.
Optical coincidence cards. The optical co-
incidence of "peek-a-boo" cards is useful in
special applications for organizing and re-
trieving information.
Microforms. Microfilm was conceived as a
recording medium about 100 years ago, and
recent developments have made microforms
a vital link in solving many of today's infor-
mation problems.
EAM punched cards. EAM (electrical ac-
counting machine) punched cards have been
used extensively for processing numerical
data, and they can be used readily for storing
and retrieving information.
Computers. The most important of the non-
conventional tools is the electronic computer,
which is playing an increasingly important
role in storing and retrieving information.
Nonconventional methods can often help when
one or more of the following conditions exist:
? Types of information and terminology
contained in the document collection are
constantly changing.
? Individual documents are lengthy and
contain information on a wide variety of
subjects or include large quantities of data.
? Users ask for information in a variety of
ways and their needs are continuously
changing.
? Users' needs are complex in that they re-
quire precise information and often must
be able to correlate or manipulate it.
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Edge-Notched Cards
Optical Coincidence Cards
Computers
4
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maintained in multiple sets to facilitate methods as folder files and printed listings
dissemination, storage, and retrieval. for maintaining the data may make this a
time-consuming and tiresome chore.
Limitations and Advantages of
Conventional Methods
To fully appreciate why nonconventional meth-
ods and equipment are needed and where they
can best be used, one must first understand the
sort of retrieval problems that cannot readily be
solved by conventional methods. The three broad
types of problems r'e :
? Location of specific information. Many
times today the information the user needs
is deeply embedded in a lengthy document
-perhaps found in one paragraph of a 50-
page research report. If this situation is
commonplace and if there are a large num-
ber of documents in the collection, re-
trieval of needed information can be very
difficult.
? Location of individual items of data. In
some work situations it is frequently neces-
sary to look up individual items of such
data as names, numbers, dates, and
? Conducting coordinate-type searches. In
many work situations it is necessary or
desirable to conduct coordinate-type
searches to identify those documents, per-
sons, places, or things which meet a partic-
ular set of criteria. For example, manage-
ment may have an urgent need for locating
employees who can speak a certain lan-
guage, have had certain types of experi-
ence, and are willing to travel. Conven-
tional methods usually make it impracti-
cal, if not impossible, to conduct searches
of this type.
Four general types of systems may be used for
organizing information by conventional methods.
The following is a description of each, together
with an explanation of why each may sometimes
fail.
1. Subject document files (fig. 3).
Definition: Documents arranged by subject
categories, as in hierarchical subject classification
SUBJECT DOCUMENT FILE
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Vegetables
Poultry
systems for correspondence folder files, library
books, and other written material.
Significant problem : Developing a classification
scheme that will satisfy the viewpoints, terminol-
ogy, and needs of individual users in instances
where the users have a wide variety of interests.
Why the system may fail: A hierarchical subject
classification scheme needs to be directly related
to the background and thinking processes of the
users served. It is, therefore, virtually impossible
to construct a classification scheme that will
ideally serve the needs of a wide variety of interest
groups.
Significant problem : Modifying the system in
situations where the fields of knowledge or work
functions are constantly changing; or redesigning
it to take advantage of a new understanding,
gained through additional experience with the
system, of how the information should be or-
ganized.
Why the system may fail: Many times, the ex-
perience gained by using the system reveals short-
comings in the first arrangement that could be
eliminated by reorganizing the classification
structure. The rigid structure of a hierarchical
classification scheme makes adjustments of this
sort very difficult.
Significant problem: Classifying, filing, and re-
trieving individual documents in situations where
they are often lengthy and involve numerous sub-
ject categories.
Why the system may fail: If an individual docu-
ment relates to only one topic represented in the
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it. But if the document has more than one subject,
then cross-referencing becomes necessary. When
such a situation is commonplace, the conven-
tional system will tend to break down. A complex
search involving several subjects can become a
jungle of cross-references which makes the search-
ing process very difficult, time consuming, and
possibly unsuccessful.
Definition: Manual card files arranged by sub -
ject topics, as in a library's 3- by 5-inch subject
heading card file.
Significant problem: Selecting subject terms that
will be meaningful in the future.
Why the system may fail: Selecting subject topic
terms that will always be meaningful and useful
in the future is not only difficult but at times im-
possible. The problem is particularly thorny when
conventional methods are employed.
Significant problem : Card preparation and up-
dating costs.
Why the system may fail: Just the initial prep-
aration and filing of manual index cards can be
quite costly, especially if it is necessary to prepare
and file several cards for each document; but to
update a large file may be so costly that in actual
practice it could not be done.
Significant problem: Detailed (deep) indexing of
documents involving a large number of subject
topics.
Why the system may fail: The physical limita-
tions of index cards are a problem if a document
must be indexed in depth. Detailed (deep) index-
ing of documents involving a large number of sub-
ject topics is difficult because of the size of-the
file that this practice would create. A card. must
be prepared for each subject in the document and
a cross-reference prepared to all other related
subjects. The structure of the card and the size
of the file create barriers to fast and efficient
searching. Collating these cards in a search is also
very tedious and time consuming.
Definition : Documents arranged by case name
or number, as in a personnel folder file.
Cows Incorporated
Figure 5
Significant problem : Searching large numbers of
folders in situations where it is often necessary to
correlate, compare, or analyze data, as in person-
nel selection and placement.
Why the system may fail: A case file containing
large numbers of folders is very difficult to search
if information must be correlated, compared, or
analyzed. The physical problem of handling the
folders prevents quick and easy reference. Every
folder must be thoroughly analyzed from front to
back before a complete job is done.
Significant problem : Locating or extracting spe-
cific items of data appearing at various places
within the folder, in situations where the data is
frequently needed for such purposes as answering
inquiries and preparing reports.
Why the system may fail: The items of data in a
document are usually not arranged for retrieval
purposes but for easy preparation. When individ-
ual items must be located in a large number of
case folders, the problem of pulling the folder
and finding the item on the form becomes very
tedious. A search of this type takes a lot of time
and is subject to a large amount of human error
in locating and transcribing information.
Significant problem : Locating precedent or pol-
icy material scattered among the case folders.
Why the system may fail: If material on prece-
dent or policy matters must be located, usually it
can be done only by making a search of the file
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Adams, Ruth
or calling upon the memories of employees who
have had long experience in the subject matter
field. Seldom is this type of information readily
accessible in a separate section of the folder. The
problems of interpreting precedent or policy mat-
ters are large enough; but in addition, the typical
case file has the disadvantage of requiring a tire-
some, page-by-page, folder-by-folder search of
the file for this type of information. Many organ-
izations that depend upon the memories of long-
time employees for such information are right-
fully becoming, as these older employees retire,
concerned with methods and techniques for cap-
turing their knowledge in a permanent, readily
accessible form.
Definition : Manually prepared cards arranged
by case names or numbers, as in a personnel data
card file.
Significant problem : Cost of updating and pre-
paring cards.
Why the system may fail: Card preparation and
updating costs can be very high for such files.
Each card must be manually prepared and indi-
vidually inspected. As the size of the file grows,
the point is reached where the cost of manually
maintaining and updating the cards becomes
exorbitant.
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Why the system may fail: Manual case index
card files must be properly designed and con-
trolled to prevent loss of information. If the card
for a certain item is lost, then the whole record of
activity for that item is lost. Although methods
of color coding, grooving, tabbing, and sequential
numbering can make refiling so easy that even a
newcomer to the system can do the job well, most
systems are not this refined. Therefore, this pos-
sibility presents a severe limitation-particularly
if the information is valuable.
Significant problem: Losing vital information
through illegible hand postings and errors.
Why the system may fail: Whenever a file is
manually maintained, a certain loss of informa-
tion results no matter how many precautions are
taken to prevent it. This is particularly significant
in case card files because of the uniqueness of the
information placed on each card. Preparing cards
in this way makes verification for accuracy a very
time-consuming and costly job. The best that can
be hoped for is that most of the important mis-
takes are found and corrected.
Conventional systems always offer certain ad-
vantages, and if they will satisfy the needs of the
users, they are often preferable to nonconven-
tional systems. Chapter VI provides guidance on
how to determine which of the two methods
should be used. The following are the major gen-
eral advantages of conventional systems :
? Usually simpler to design and operate.
? Require no special equipment.
? Permit direct access and often facilitate
browsing.
? Input costs are usually lower.
Advantages and Limitations of
Nonconventional Methods
A cost-benefit study should always be made be-
fore converting from a conventional to a noncon-
ventional system. Nonconventional methods can,
under the proper circumstances and application,
result in one or more of the benefits described
below.
which a user gets the exact information he
needs to perform a task. Fast retrieval can be
the significant element of a system when
need is measured in seconds or minutes. For
instance, if a child has swallowed poison and
the antidote must be known immediately to
save a life, speed is the most essential char-
acteristic. Or if a policeman chasing a speed-
ing automobile calls the station to identify
the license number, again fast retrieval is
essential.
Better information. This means information
that is more complete, more accurate, and
more current. For example, modern informa-
tion retrieval systems can be designed that
will reduce the chance that any pertinent in-
formation will be overlooked-a most impor-
tant consideration in situations such as those
facing the patent attorney or physician.
Modern information retrieval systems make
it practical to store and correlate more infor-
mation and data since they usually have the
capability to reduce masses of information to
a manageable proportion more quickly than
conventional systems.
Conserving users' time. How much time is
spent searching for information through fold-
ers, reports, card files, book indexes, and
other document files in an agency or field
station? No one knows exactly, but in many
situations it is far too much time. In some
legal offices, for example, attorneys spend as
much as 75 percent of their time searching
for precedent decisions and the like. Modern
information retrieval methods can save valu-
able users' time by reducing the man-hours
spent in looking up, searching for, and corre-
lating information needed to complete their
tasks. Retrieval may be simple yet time-
consuming, as in looking up individual social
security numbers many times each day;
or again it may be as complex and time con-
suming as in a one-time correlation of data to
determine the possible cause of a missile
failure.
Improve service. This refers to providing
better agency service for the general public
rather than to improving service within the
agency for the direct users of the information
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si a to render service never before thought
possible or to improve the service far beyond
that which was possible when only conven-
tional methods were available.
The full extent of the disadvantages and limita-
tions of a nonconventional system may not be-
come evident until the system has been in oper-
ation for some time. This is one of the reasons that
a feasibility study is needed and that careful at-
tention must be given all aspects of the system
design. (For guidance in these matters, see chap-
ter VII.) When compared with conventional sys-
tems, nonconventional systems generally have the
following disadvantages:
? Require specially trained personnel to de-
sign and operate the-system.
? Usually require special equipment.
? Often require use of special procedures and
techniques to retrieve information.
? Input costs are usually higher.
Coordinate Indexing-Key to Many
Nonconventional. Systems
The concept of coordinate indexing-or concept
pect indexing, as it is variously called-has been a
major factor in removing the restraints imposed
by earlier classification and indexing systems. All
coordinate indexing systems have one feature in
common: No attempt is made at time of input to
limit the description of a document by classifying
or indexing it under a major subject heading of
two. Instead, large numbers of highly definitive
indexing terms or data elements are employed,
and the document is indexed under all entries that
are pertinent. To retrieve information, the user
selects those indexing terms or data elements that
describe the items he is looking for, and the sys-
tem quickly identifies all those that fit his descrip-
tion.
The key to the success of coordinate indexing
is that all the descriptive information in the sys-
tem is freely accessible, and no structuring of in-
formation takes place until a query is received.
This permits an endless variety of on-demand
searches to be made, each tailored to the precise
interests and needs of the user.
Various types of equipment may be employed
in coordinate indexing systems, as discussed in
chapters IV and V; additional information on
this subject is also included in chapters II and IV.
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SYSTEMS WORK
Through the years, two traditional methods have
been employed for organizing information by
subject-hierarchical subject classification sys-
tems and manual subject indexing systems. The
disadvantages and limitations of each were dis-
cussed in chapter I.
In hierarchical classification systems, the doc-
uments themselves are organized and arranged by
primary subject categories and then further
broken down by secondary categories, and so
forth. Figure 7 illustrates two examples of hierar-
chical subject classification systems:
The manual subject index file-such as the 3- by
5-inch card file found in most libraries-is often
employed as a supplementary finding aid. Broad
subject headings that are complete unto them-
selves are normally used, and the headings are
arranged in alphabetical sequence. Typically, the
card includes the title, date, author, and similar
identifying information, perhaps plus a very
brief description of the document. If the docu-
ment is a book, usually several subject heading
cards are prepared and filed alphabetically.
Author and title cards may also be prepared and
interfiled among the subject cards. The following
are some examples of possible subject headings:
EXAMPLES OF HIERARCHICAL
SUBJECT CLASSIFICATION
SYSTEMS
Subject Numeric Filing
System (office type)
ACCOUNTING
1 Accounts Current
2 Allotments
2-1 Symbols
2-2 Obligations
3 Disbursements
3-1 Loans
AUDIT
1 Assignments
2 Contract Audits
Dewey Decimal Classification
System (library or office type)
600 APPLIED SCIENCE
610 Engineering
611 General Engineering
611.1 Equipment and Supplies
611.11 Tools
611.111 Cutting Tools
611.111.1 Stroke
611.111.11 Depth of Cut
Automatic data processing
Correspondence management
Forms management
Information retrieval
Records retirement
Source data automation
Survey techniques
Work measurement
Principles of Coordinate Indexing
Coordinate indexing systems can be used to re-
place either or both of the hierarchical subject
classification systems described above. The doc-
uments are identified and arranged by number,
name, author, storage location address, or some
other simple identifier. The index is usually a
separate, highly manipulative, often mechanized
file.
In a typical coordinate index, large numbers
(sometimes thousands) of short terms are em-
ployed, most of which are not intended to be
used alone but rather in any desired combina-
tion-"coordinated" to describe the various top-
ics, concepts, aspects, characteristics, features, or
attributes of the document or other item being
indexed. These terms range from precise words
and quantitative or qualitative data to abstract
concepts or ideas. Both broad and narrow terms
are used in the same system.
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 APP6%l( 1 46rc f g,2APgllpyi~cl~ ap&fDPThaPQ 9q'ijW W,4P-Pre any documents
terms as those illustrated in figure 8 in his vo- that would satisfy the search question, the
cabulary of indexing terms: searcher would look for particular document
SAMPLE VOCABULARY OF INDEXING TERMS
perception
Africa
fish
population
albatross
food
preserve
Antarctic
fright
price
Arctic
Asia
reproduction
rescue
bear
black
habit
research
blue
horse
respiratory
housebreaking
rodent
capture
hunting
shelter
cat
size
color
South America
conservation
leg
speed
deer
life span
strength
lion
defense
temperature-over 100?
diseases
temperature-80'-1001
dog
domestic
1900 AD-present
temperature-60?-80?
dorsum
1500-1900 AD
temperature-32'-60'
duck/goose
1000-1500 AD
temperature-under 32?
Before 1000 AD
whale
eagle
white
ear
worm
egg
obedience
elephant
zebra
offense
Europe
zooid
exercise
exterior
eye
When indexing an individual document, all those
terms that are pertinent are used to describe it.
Thus, it can be seen that the description of the
document consists of a group of interdependent
terms that together comprise, in effect, a very
brief abstract of the document.
In searching a coordinate index, one selects
those indexing terms in the vocabulary that best
describe the desired information. The index file
is then searched to find any documents indexed
under those terms.
numbers that have been entered on all pertinent
cards.
As in the indexing process, the searching
process permits free coordination of a large num-
ber and wide variety of terms. For example,
when desirable one can narrow the search by
using more specific terms, or broaden the search
base by dropping the more specific terms, or
form new combinations of information or data
by changing the configuration of the terms used
in the search.
Figure 9 illustrates the principles involved in
searching a coordinate index. The cards repre-
sent indexing terms considered pertinent to a
particular search question; the numbers on each
card represent those documents indexed under
Types of Indexing Terms
Two types of indexing terms that may be used
are as follows:
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 Approved For Release 2001/07/
SEARCHING A
COORDINATE INDEX
Keyword. The index terms consist of key
words selected from the title or text of the
documents. The indexing vocabulary is a
by-product of the indexing process, and
some form of control is usually exercised to
keep the system manageable. The indexing
of individual documents may be accom-
plished either by manual or machine (auto-
matic) indexing methods.
Descriptor. A specially prepared vocabulary
of indexing terms developed through a con-
tinuing process of analysis of the documents
being indexed. The descriptors are usually
formalized and controlled by means of a
thesaurus. Indexing terms are manually as-
signed to individual documents from the ap-
proved list. Some of the terms selected to de-
scribe a particular document may coincide
with keywords appearing within the docu-
ment, while many will not.
Index File Arrangements
The index file is arranged in either of the two fol-
lowing ways:
By Document Numbers. A card or machine
record is prepared for each document stored
in the system, with all indexing terms de-
scribing the document recorded thereon. This
is usually in coded form. Retrieval of infor-
mation from the file involves sequential or
serial searching, since the searcher must
examine all the index records in the system to
identify those documents that are assigned
the terms used in the search.
By Indexing Terms. A card or machine
record is established for each indexing term.
When the indexer has decided which terms
will be assigned to a particular document, the
index records for those terms are selected and
the document number is recorded thereon.
Retrieval involves selective or parallel
searching, since the searcher or the machine
selects and examines only those records rep-
resenting the terms used in the search.
Major Advantages of Coordinate
Indexing Systems
? More Specific. Coordinate indexing makes
it not only possible but practical to de-
scribe documents or other items in greater
detail (depth) than conventional methods.
? More Adaptable. Coordinate indexes are
far more adaptable to changing situations
and unanticipated events than conven-
tional methods.
? More Manipulative. Coordinate indexing
makes it possible to quickly correlate and
manipulate information and data in an
endless variety of ways to achieve the de-
sired search results.
Those desiring to install a coordinate indexing
system have a wide variety of equipment choices.
These include such manual types as the colum-
nar, optical coincidence, and edge-notched card
systems covered in chapter IV. Also, certain types
of microform equipment, electrical accounting
machine punched card systems, and electronic
computers, described in chapters V and VI, may
be used. For information about designing a coor-
dinate indexing system, see chapter IX.
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III. MICROFORM SYSTEMS
Microform is the general name for the various
types and formats of microfilm and other media
used for recording information in miniaturized
form. In the past microform was used mainly for
space-saving purposes; but numerous studies
have shown that it is often less costly to place the
records in the low-cost storage facilities provided
by the Federal records centers. Today, however,
microforms are assuming a new and far more im-
portant role in solving problems relating to infor-
mation dissemination, storage, and retrieval.
cate sets could be placed in various locations in
the users' work. areas. A second choice, which
solves the competition problem only, is to make
film-to-film copies for multiple users who need to
see the documents.
Problem: Document Servicing and Control
? Man-hour requirements for pulling folders
and preparing document chargeouts.
How Microforms Help Solve Typical
Information Problems
The following are some typical problems that can
sometimes be solved or partly solved by the use
of a microform. Moreover, it is not likely in any
given situation that only one of these problems
prevails, which largely explains the growing in-
terest in microforms,
Problem: Document Accessibility
It is usually possible, to keep near the users small
collections of documents that occupy a file cab-
inet or bookcase. But the larger document collec-
tions, by necessity, are usually located at some
distance from the users' area. This means that
either the document or the user has to travel back
and forth to the storage site.
Further, there are times when the same docu-
ment is needed by more than one user, and each
must wait his turn. These problems of course
cause work delays. They also tend to reduce the
usefulness of the information contained in the
documents, since the users are inclined to try to
do without unavailable documents if they can.
Both problems could be solved through the
use of a microform system. Once the documents
are converted to a microform, inexpensive dupli-
? Man-hour requirements for filing returned
documents.
? Man-hour requirements for following up
on unreturned documents.
? Man-hour requirements for routine docu-
ment maintenance.
If a microform ;system is used, inexpensive diazo
copies of the documents can be made and given
to the user instead of loaning the file copy. The
user disposes of the duplicate copy when he is
through with it. Thus there is no document
chargeout and refile problem, and file mainte-
nance is reduced to a minimum.
Because personnel costs are rising constantly
and it is sometimes difficult to obtain file clerks,
situations will be increasing where records man-
agers must turn to microform to solve their
problems.
Problem: Retrieval Speed and Costs
? Random lookup of individual items of
data.
? Scanning; and retrieving information in
textual documents and indexes.
In situations where a large volume of data
can be readily converted to a microform, retrieval
speeds sometimes can be increased for a very
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 s'3 ~~~ ~ IC @fe"d 17"1'Po ur I DP7` ' O~PtM 9'0? Odd~ument preparation,
is rticularly true of instances where retrieval editing, index preparation, formatting, and Com-
involves random lookup of individual items of
discrete data such as a social security number,
date of birth, or street address.
If there is a continuing need for examination
of graphic information-such as large maps, engi-
neering drawings, or photographs-microform
often will make the job faster as well as easier.
Similarly, scanning or browsing through large
collections of textual material and indexes is
sometimes easier and faster if they are available
in microform.
Overall retrieval speeds and costs often can be
improved because a microform system makes it
possible to store needed documents and data at
the user's work station, rather than keeping them
at a remote location.
Problem: Document Printing, Distribution,
and Stocking
? High costs for printing, collating, and
packaging of paper documents.
? Transportation and handling costs.
? Stock control and replenishment costs.
? Time-delay problem.
Many Government agencies discovered some
years ago that the most economical and efficient
way to reproduce, distribute, and fill individual
requests for unpublished reports is by means of
the microform. Federal agencies, within the De-
partment of Defense in particular, are saving
thousands of dollars each year by using the
microform for reproduction and distribution of
engineering drawings of military equipment.
Not only is it sometimes possible to reduce the
initial printing costs, but significant savings can
often be realized in handling and transporting
documents. Stocking usually can be eliminated
altogether, since the microform stored at the orig-
inal source or at any distribution point can be
used to reproduce on demand low-cost, film-to-
film copies or enlarged paper copies. The original
microform can be produced readily by photo-
graphing paper documents. However, with the ad-
puter-Output Microfilm (COM) equipment, di-
rect publication of documents in microform is
now possible. The computer output magnetic
tape also can be used to automatically print pa-
per copies. For many agencies, these new tech-
niques offer the means for a substantial reduction
in the time lag between document drafting and
receipt by the users.
Problem: Computer Data Storage and
Accessibility
? Storage and retrieval of machine language
backup data.
? Storage and retrieval of static or semistatic
data.
It doesn't take long for a computer to fill a reel of
magnetic tape with data. If it is kept busy all day,
the computer may have produced dozens of tape
reels to add to the tape library. It is little wonder,
then, that some computer installations have
thousands of tape reels or millions of punched
cards in their file and must often restrict the com-
puter master files to summary data. While this
backup data resulting from input processing and
other machine runs is usually essential to system
documentation, due to its great volume it is often
too costly to retain the data in machine language
and search it by computer. The Social Security
Administration was among the first to use the
microform and the first to procure a COM device
to solve this problem.
While the computer provides the fastest and
most accurate means for compiling, updating, and
organizing static and semistatic data, the size
and cost limitations of mass memories and time
requirements often make it impractical to use the
computer to retrieve data from these files. Often,
the best current solution to the problem is to con-
vert data recorded on magnetic tape to a micro-
form by means of COM equipment. A special op-
tical mark reader, called the "Foto" Optical Sens-
ing Device for Input to Computer (FOSDIC), has
been developed to read and process Hollerith-
coded data on a microfilm copy of punched cards.
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 Aggcr]pved computer as s
a eba2001 a0s7117 : orAiesR, DP usse0Qoco loRi~.q9c~~99cr KT-We instances where a
transportation schedules, rates, and special tables
can be converted periodically to microfilm and
then searched by means of standard microfilm
readers. Where static information ties in with dy-
namic data maintained "on-line" with the com-
puter, special remote terminals have been de-
signed to permit the users to interrogate both data
bases at the same time.
By necessity most large Automatic Data Proc-
essing (ADP) systems must use batch-processing
techniques and access the master file on a cyclical
basis-perhaps once or twice a day, once a week,
or possibly less frequently. During the interim,
the data is locked up in the tape reels and in-
quiries must wait until the next processing cycle
comes around to be answered. By converting the
data to a microform by means of COM equip-
ment, inquiries and requests can be handled
quickly and efficiently by nonskilled personnel
equipped with microfilm readers.
Problem: Updating and Maintenance of
Directives, Manuals, and Catalogs
? Total costs for individual updating of di-
rectives, manuals, and catalogs kept at
numerous locations.
? Errors and delays in individual updating.
? Maintaining large, frequently used man-
uals and catalogs intact and in good condi-
tion.
The updating of maintenance and procedural
manuals, catalogs, and similar publications can
be a time-consuming and difficult problem if
there are numerous publications and if they are
maintained at numerous locations. Errors are
made in entering the changes, while the insertion
of some changes is delayed or never made at all.
If the manuals and catalogs receive heavy use, as
they often do in a maintenance shop, the pages
are likely to be torn and lost. When detailed in-
formation is needed at the job site, the mechanic
may have to copy the information by hand or re-
move a page.
In most agencies, no one knows exactly what
this is costing or is aware of the full effects of not
having current, accurate data on hand at each
detailed study was made, such as at some of the
airlines, the savings were sufficient to pay for the
cost of the microform system in a comparatively
short time.
One of the ways to solve these problems
through microform is to maintain a single master
copy in cut-sheet form at a central point. Changes
are entered in this master copy as they occur. The
entire master copy is periodically rephoto-
graphed, reproduced in microform, and distrib-
uted to the users; whereupon, they simply dispose
of the entire old copy. The microform readers are
often equipped with a paper copier so that me-
chanics can make disposable copies to take back
to their job sites when needed. In some situations
the microform might also be produced through
the use of the computer and COM equipment, as
described earlier.
Problem: Procedural Bottlenecks
? Collection and transportation of large vol-
umes of data.
? Verification of data on documents passing
through the system.
Collection and transportation of large volumes of
data such as questionnaires and reports can be a
knotty problem if they are retained in their origi-
nal paper form.
The U.S. Census Bureau, Department of
Commerce, solves this problem by having the
census questionnaires microfilmed at various lo-
cations in the field. The microfilm is then shipped
to the headquarters office at Suitland, Md., where
it is placed upon a FOSDIC microfilm optical
mark reader. It converts the data to machine lan-
guage code for processing by computers.
Several Government agencies receive large
volumes of checks from the public. The checks
can be microfilmed while being processed through
the system in order to verify any data that may
later be questioned. For similar reasons, organiza-
tions using Optical Character Recognition (OCR)
equipment for computer input sometimes micro-
film incoming documents.
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 AppfPhvffII[ o15rW@; 4t7,/'t'7ea BQP74-00095 QQt@AO1gWcVzgstruction of informa-
partment, must maintain a record of each of the
1.5 million checks it issues each day. In the past,
this was done by preparation of a paper record.
Using COM equipment, the record is now pro-
duced directly from magnetic tape, making it pos-
sible to place the issue record for 102,000 or more
checks on a single roll of microfilm. Duplicate
microfilm copies of each month's veterans' bene-
fit check issues are sent to Veterans Administra-
tion regional offices throughout the United States
where the microfilm is used to answer thousands
of inquiries a month, conduct postaudit opera-
tions, obtain a historical record of payments in
specific cases, and locate addresses.
If it is necessary to log incoming and outgoing
documents, microfilming is usually a much sim-
pler and cheaper method than keeping records by
hand. Many libraries use this technique for charg-
ing out books. Equipment manufacturers have
developed lightweight portable cameras, includ-
ing some that are battery operated, that add to
the practicability of using a microform.
Problem: Storage and Handling of Large
and Nonstandard-Size Documents
? Special equipment needs.
? Folding and unfolding of oversize docu-
ments.
? Storage of documents with irregular sizes
and shapes.
Oversize documents such as tracings, drawings,
and maps can be recorded on microfilm to elimi-
nate the problems of special equipment require-
ments and the need for unfolding and folding the
documents each time they are used. However, the
original documents must conform to certain qual-
ity standards in order to produce a satisfactory
microfilm substitute.
Documents having irregular sizes and shapes
can be reduced to a uniform size through micro-
film. Improved color microfilm is available if
color is a significant factor.
Problem: File Integrity
Errors in filing occur in spite of the best efforts of
file supervisors. If the file is a large one, it may be
days, months, or years before a missing docu-
ment turns up. Whenever a document is removed
from a file and forwarded to a user, it might be
lost in transit, accidentally destroyed, damaged,
or not returned. These, of course, are serious risks
when dealing with important documents such as
those affecting individual rights and claims.
Often the best way to insure absolute file in-
tegrity is to convert documents to a microform
system. The user is provided access by furnishing
a film-to-film copy or an enlarged paper copy for
his use.
Problem: Document Acquisition
? Rising cost of hard copy publications.
? Acquisition of rare or unique documents.
The rising costs of publications printed in paper
copy are making it necessary for many libraries,
offices, and others to curb their document-acqui-
sition programs. In those instances where a docu-
ment is available in either paper copy or micro-
form, savings of 70 percent or more can usually
be realized by purchasing microform.
There are also times when desired documents
are out of print. If such documents are needed
urgently, the simplest and generally cheapest way
is to make microform copies.
Problem: Document Preservation and
Protection
? Prevention of wear and defacement of val-
uable, irreplaceable documents.
? Protection of indispensable operating rec-
ords against a disaster.
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 TheAMPfMgfF*n as d2@AlfWt4XXal CAfl-RDFr7{ ROQd`MQQ1QiQ2AWi9 color, size, and
chives use microfilm extensively for preservation thickness of documents; intermingling of one-
of important documents. The microfilm copies are sided and two-sided documents; the need for re-
made available to scholars and researchers, not moval of staples, pins, and other fasteners; and
the original documents. the need for sequence checking and screening to
remove extraneous material.
Microfilm is used by many agencies for pro-
tection of indispensable operating records against
a fire or national disaster. The film is usually kept
in a remote, protected depository that in most in-
stances is equipped with machines and supplies
for making film-to-film copies or paper enlarge-
ments. The original copies of classified documents
may be microfilmed so that either the original or
copy of the document is always secure.
Problem: Equipment and Space for
Document Storage
Within the next 10 years it can be expected
that many of the existing large-folder file systems
in the Federal Government will be converted to
microform. Steps should be taken as soon as pos-
sible, therefore, to clean up and revise such sys-
tems so that the essential papers will be suscep-
tible to low-cost, high-quality microfilming.
Careful attention should also be given to the plan-
ning and maintaining of any new, long-term pa-
per document files so that they too may be readily
converted to a microform should this later be-
come desirable.
? Availability of adequate space to house
documents.
While space and equipment savings are often an
important factor in a microform cost-benefit
analysis, microfilming can seldom be justified for
this purpose alone.
Prerequisites for a Successful
Microform System
For a. microform to serve as a satisfactory substi-
tute for paper copy, it must be as legible and easy
to use as its paper counterpart. Microform sys-
tem success depends upon such factors as condi-
tion of the original documents, the film, the cam-
era, the camera operator's work, the quality of
film processing, the suitability of the microform
type, proper storage and handling of the micro-
form, the adequacy of viewing equipment, and
the ability to quickly locate information within
the microform record. A weakness in any of these
areas may cause the system to fail.
The single most critical factor is the condition
of the document. Not only does this largely gov-
ern the quality of the finished microform, but it is
a major cost factor in the filming operation. Typi-
cal problems are poor contrast between the read-
ing matter and the paper; extremely fine lines or
Types of Microfilm and Cameras
Normally, the initial step in any microform sys-
tem is the recording of document images on roll
microfilm having a silver base. This master film,
in which images appear in a negative mode, is
then used to produce duplicate reference copies
as needed. The copies may also be silver films, but
if widespread duplication is necessary the lower
cost ammonia-developed diazo films are com-
monly used. A third type, thermally developed
vesicular films, may also be used for producing
reference copies.
While the original microfilm master is nor-
mally in roll form of 16 mm, 35 mm, 70 mm, or
105 mm width, the reference copies are often cut
into small pieces for use in systems employing
unitized microform media. These include strips,
chips, microfiche, microfilm jackets, and aperture
cards, which are described later in this chapter.
Four main types of cameras are used in the
original filming; operation. See figure 10. These
are as follows:
Planetary cameras are employed for obtaining
high quality microfilm of engineering drawings,
maps, and assorted other documents that cannot
be satisfactorily filmed by a rotary camera.
Step-and-repeat cameras are used for direct film-
18
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 Approved For Release 2L%Y/ 'i V7MQ]db$ RBM30-9
I,~' i Y' VIII II~V
i? <
mr
Planetary Camera
Rotary Camera
Step-and-Repeat Camera
COM (Computer-Output Microfilm Device)
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 Approved Forl.R"eM7147R6ftPMN twOA2Aq3-9
Washington Scientific Industries
Model RH Portable Reader
The University Microfilms
Model 1212 Reader
DASA Corporation's Mark I Model U Reader
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 Approved For Rl~/D-7~?~OO~~IM
The Information Handling Services
Satellite IIW Reader
ing of documents in the multiple-row microfiche
grid format. (Microfiche may also be constructed
by cutting 16 mm or 35 mm film into strips and
placing the strips in microfilm jackets or arrang-
ing them in rows on a special frame or sheet of
clear film.)
Rotary cameras are used for filming printed and
other documents of uniform size and color where
ordinary film quality will suffice. They are largely
automatic, thus permitting higher input speeds
and use of unskilled operators.
Computer-Output Microfilm (COM) devices re-
cord computer-produced data directly onto
microfilm, thereby bypassing the preparation of
The Recordak Motormatic
Reader, Model MPG
paper documents altogether. These devices can
also add automatically to the microfilm copy the
bars or code lines, image marks (blips), or photo-
optical binary codes often employed to assist in
the retrieval of documents or data.
Factors Affecting the Choice of the
Type of Microform System
The choice of which microform system to select
is governed by many factors. Mainly, these are
the height and width of the documents, the num-
ber of pages per document, the total volume of
documents or data, organization of the file, na-
ture and extent of changes and additions to the
file, number and location of the users, nature of
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 Approved--o?- eta se 0~'1/ /1~iA r 9M-Xo9&XYA9j6'd '8-HEADERS
the reference activity, reference rate, retrieval
speed requirements, and requirements for produc-
ing film or enlarged paper copies. Information on
gathering the necessary data for system require-
ments, analyzing user needs, and selecting the
right method and equipment class is provided in
chapter VII.
Guidance on selection of particular manu-
facturer's equipment is contained in the records
management handbook, Microform Retrieval
Equipment Guide. A description of a number of
systems employing microforms is included in
the records management handbook, Information
Retrieval Systems.
Types of Microform Systems
The following are descriptions of the various
types of microform systems, together with a brief
summary of the main advantages and limitations
of each. Most of the microform readers mentioned
are also available in reader-printer models that
can produce full-size paper copies of the docu-
ments.
Conventional Roll Microfilm. These include
systems using hand-driven microfilm readers and
standard microfilm reels, as illustrated in figure
11. Flashcards or flash targets are used to separate
file segments or pages. (Figure 14 depicts a sam-
ple of a flashcard used on roll microfilm.) Con-
ventional roll microfilm systems are well suited to
storage or protection of documents for archival,
administrative, legal, or security purposes, and
other situations where there is a very low refer-
ence activity. The main limitations of conven-
tional roll microfilm systems are slow retrieval
speeds and inconvenience to the user. The micro-
film must be hand threaded through the reader, a
slow and tedious operation. The user must then
hand crank the film and scan the reader screen
image by image until he finds the desired docu-
ment.
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 *pr6(g&FR6#gWp RQP UqN1k, aBW74-00005 0ApORe3 .g~g09 view. He enters this
Image Locator Aids. In both this and the sys-
tem that follows, most of the microfilm reading
equipment has been improved in three ways.
First, a motor usually with both high and low
speeds has been added; second, film cartridges or
cassettes have been substituted for standard
microfilm reels, and the reader has been made
self-threading; and third, new techniques or de-
vices have been employed to aid in locating de-
sired film images.
Except for conventional roll microfilm sys-
tems, the motorized roll microfilm systems with
mechanized image locator aids are generally the
lowest in overall costs. They offer particular ad-
vantages for lengthy documents or record series.
They can be successfully employed for the repro-
duction, dissemination, storage, and retrieval of
catalogs, manuals, and publications, in which
event many of the advantages described below for
microfiche apply.
Figure 12 shows some typical motorized
(mechanized) roll microfilm readers and reader
printers while figure 13 provides examples of the
various types of cartridges or cassettes employed.
The mechanized image locator aids are of three
types, as follows:
? Bars or code lines superimposed between
images on the film that, when matched
with a corresponding scale on the reader
screen, can usually localize the search to
within ten images or less, in a sequentially
arranged numerical or alphabetical file.
? Film pull-down (linear location) aids that
employ microfilm readers incorporating an
odometer-like device for finding images on
the basis of their linear location on the film.
As in the system using image counting,
this one depends upon the user's knowing
or separately looking up the location of the
desired image.
? Image count aids, which consist of marks
(blips) superimposed beside each film im-
age for use on a reader that has a photoelec-
tric counting device. To locate an image,
the user must know or separately look up
the image location number for the docu-
number on the reader keyboard, and the
film automatically moves through the
reader and stops when it reaches that
number.
Figure 14 depicts examples of roll microfilm em-
ploying these three mechanized locator aids.
The use of the cartridges and cassettes with
self-threading motorized microfilm readers has
substantially improved the ease and convenience
in the use of roll microfilm. The image-finding
aids are a real boon to retrieval speeds in situa-
tions where they can be satisfactorily applied. Of
the three techniques, the film pull-down (linear
location) is usually the least costly and can be in-
corporated into a system quite easily. The bar or
code systems are the next least costly and some-
what more difficult to incorporate into a system.
All three image-finding techniques have cer-
tain limitations. Bar or code line systems can be
used only where the file is sequentially arranged
by numerical or alphabetical identifiers and the
user is conducting his search on the same basis.
While the film pull-down (linear location) and
image count techniques permit the documents to
be in random sequence, a separately maintained
list or index may be required for use in determin-
ing the proper microfilm roll and image location.
Systems employing the image count technique
require microfilm readers that are more complex
and hence normally more costly than those used
in the other two.
Special Note on Changing or Adding to Roll
Microfilm
Most roll microfilm systems have one problem in
common-changing or adding to previously
filmed records. There are three methods for do-
ing this, and none may prove entirely satisfactory.
However, under certain circumstances, one or
more might prove practical. The first and least
likely method (except for publication of catalogs,
manuals, listings, and COM produced items) is to
retain the original documents, make the changes,
and periodically refilm the entire file. A second
but not always practical choice is to film the
changes or additions and splice the new film onto
the old film. A third method is to film the changes
23
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INDEX METHODS USED IN 16 mm FILM
Image Count
Photo-optical Code
Figure 14
24
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 App&&yMgsF&qrtWe1ff a el gkVQO 7
113 thg DP sfrypgogRNo0 g0 o900200 or
30;Reet containing full-
a
to the microfilm collection, and maintain a
separate index or locator record (preferably com-
puter maintained and produced) showing the lo-
cation (microfilm roll and possibly image num-
ber) of both the old and new images. This re-
quires the user to make a double lookup, but this
may prove to be only a minor handicap.
Roll Microfilm with Photo-optical Binary
Code. This type of coding system can be used
to conduct computer-like searches. Figure 14 de-
picts a sample of photo-optically coded roll
microfilm. Such document descriptive data as
titles, names, dates, numbers, and subject topics
can be recorded in photo-optical binary code for-
mat on the film, thus permitting the user to auto-
matically conduct both simple and complex or
coordinate-type searches. Depending upon the
features of the particular equipment, search entry
is made through a keyboard, dials, or a machine
record such as edge-punched cards.
The major advantage of the motorized roll
microfilm system with photo-optical binary code
is that it permits the user, while conducting the
computer-like search, to simultaneously see the
documents involved.
The major disadvantage of these systems is
the cost. Except where COM equipment is em-
ployed for preparing the microfilm, the input
costs are usually greater. The retrieval equipment
costs more than that used in most other micro-
film systems and is somewhat more difficult to
operate. Unlike computer systems, the binary op-
tical code, once recorded on the film, cannot be
changed. Further, unless the file can be broken
down into separate autonomous groups and the
individual searches confined to a single group, the
time required to conduct individual searches will
increase as the file grows. This could result in a
need for additional equipment and personnel, and
thereby tend to offset the initial advantages of
the system.
Microfilm Strip Systems. Microfilm strip sys-
tems employ roll microfilm cut into segments for
storage of multipage documents. Three general
manual methods used for storage and retrieval of
the strips are: (1) maintenance in separate small
metal or plastic containers; (2) attachment of the
size written information; and (3) attachment of
the strips to plastic sticks about a foot long main-
tained in horizontal racks for rapid removal and
refiling. The first two have received limited use
for dissemination, storage, and on-demand repro-
duction of lengthy documents, while the third has
been used primarily for storing and retrieving in-
formation and data contained in such listings as a
directory or catalog. Figure 15 depicts a microfilm
strip attached to a plastic stick, and the special
storage rack and reader used for this type of strip
system.
All three techniques provide a means for unit-
izing microfilm so that the individual documents
or parts thereof may be independently selected,
viewed or copied, and refiled. The third technique
facilitates storage and retrieval of lengthy listings
by making it possible to keep them in a very small
space while at the same time permitting random,
fast access to the information. However, an actual
test is always needed to determine comparative
retrieval speeds.
The major problem with the first type is that
of physically handling the strips-opening the
container, hand threading it through a reader or
splicing it onto another length of film, and return-
ing it to storage. The main problem with the sec-
ond type is that it, too, is somewhat awkward to
handle and can only be used in certain microfilm
readers. The main limitation of the third type is
the cost of preparing and mounting the film and
purchasing the special reader required to view
the film.
Microfilm Chip Automated Systems. These
systems, as illustrated in figure 16, usually em-
ploy small pieces of cut microfilm that are often
stored in cartridges or cells and manipulated by
means of electronic circuitry and electromechan-
ical devices. A keyboard or other device is used to
conduct searches. These systems have been used
primarily to meet the need for high-speed re-
trieval of short documents (one to three pages,
generally) from extremely large files.
In some systems, a considerable amount of
photo-optical binary coded data can be entered
on the chip, while in others only a document num-
ber or address can be recorded. In one system
25
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 ,"
Approved For PjR I O(3#7A '8 0 ogg2
Special Storage Rack and Reader
Figure 15
there is an iron oxide coated strip for recording
data by means of a magnetic binary code, as on
the magnetic tape used on computers. Microfilm
chip systems are quite complex, usually involv-
ing rather high equipment costs, and thus have
not been used as extensively as some of the other
systems. The hardware is generally not available
off the shelf but must be custom engineered.
production, dissemination, storage, and retrieval
of documents or records having a total length of
20-98 pages or having chapters, sections, or parts
of that length; they can also be used for longer
documents, of course. Microfiche are sometimes
used for storage of case-type material, such as
hospital records.
Microfiche. Microfiche, as illustrated in figure
17, are sheets of microfilm containing multiple
rows of micro-images arranged in a grid pattern.
Microfiche are particularly well suited to the re-
The two most commonly used microfiche for-
mats are both about 4- by 6-inches in size. The
formats shown in figure 17 (60 pages per micro-
fiche) was adopted in 1965 as the Government
standard for reproduction of scientific and tech-
26
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 Approved For Release 2001/07/17
AUTOMATED MICROFILM
CHIP SYSTEM
nical documents. Another format (98 pages per
microfiche) has recently been increasingly used
by both industry and Government. Figure 18 de-
scribes some of the wide variety of microfiche for-
mats and reproduction ratios in use today, in-
cluding high reduction (HR) ratios.
One of the major advantages of the microfiche
is a possible savings of 70 percent or more to the
user in acquisition costs in instances where a docu-
ment is available in both microfiche and paper
form. Another advantage is the elimination of
document warehousing problems, since low-cost
SAMPLE OF
A MICROFICHE
copies of microfiche can be produced at any point
on demand. In many situations the most signif-
icant advantage is the savings in time and costs
for packaging, shipping, storing, and retrieving
documents.
Probably the major disadvantage of the
microfiche is the relatively high input cost, which
may make this type of microform uneconomical
for internal application within a single office.
However, if the documents are widely distributed,
input costs can become quite insignificant. An-
other disadvantage is that there has been no prac-
APPLICATION OF PERCEPTRONS TO PHOTOINTERPRETATION.
AD 605 442 FINAL REPT. FOR 1 JUN 63-1 JUL 64. CORNELL AERONAUTICAL
LAB., INC., BUFFALO N. Y. VE-1446-0-4. T. R. BABCOCK,
ET AL. CONTRACT NONR-3161-00. 76P
UNCLAS JUL 64. U-2-3
I OF I
AD
603442
NOS RESOLUTION CHART
END
DATE
PLMED
4,1349
2 3 4 5 6 1 8 9 10 11 12
27
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 COMMON MICROFICHE
FORMATS AND
REDUCTION RATIOS
tical, inexpensive method for changing or adding
to individual microfiche (up to the time this
handbook was prepared). If updating is required,
the alternatives are similar to those described
above under the heading, "Special Note on
Changing or Adding to Roll Microfilm."
Still another factor limiting the use of the
microfiche is that special readers are required at
every point of use ; and even though inexpensive
readers are available, the overall equipment in-
vestment may be substantial. However, as the
use of the microfiche is extended to more and
more document series, the readers may eventually
become standard office equipment. Another pos-
sible disadvantage is that some users feel that
further improvements are needed in the readers
in order to make the viewing more convenient
and comfortable.
Microfilm Jackets. Microfilm jackets are trans-
parent carriers with one or more sleeves or
pockets for holding strips of microfilm, as shown
in figure 19. The entire jacket, with the microfilm
inside, is placed in a reader for viewing. Film-to-
film copies and paper enlargements may be made
without removing the film from the jacket. To get
the best results it is necessary to use one of the
newer "thin film" jackets.
SAMPLE OF A.
MICROFILM JACKET
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 Approved For Release 2001/
SAMPLE OF AN
APERTURE CARD
The major advantage of the microfilm jacket
is that new images may be added, thus making it
particularly suitable for active case-type records.
It is compatible with the microfiche and can be
used in the same types of readers and film-to-film
copiers, and thus has many of the advantages
noted above for the microfiche.
The major disadvantage of the film jacket is
the time required for inserting individual micro-
images into the sleeves of the jacket; however,
special equipment has been developed for this
purpose to make the task much easier.
Aperture Cards (Microfilm Electric Ac-
counting Machine Punched Card). These
cards, illustrated in figure 20, are standard
punched cards (or edge-notched cards) with win-
dows containing micro-images. The window is
usually designed to accommodate one large docu-
SUPERMINIATURE
(HIGH REDUCTION)
MICROFORMS
ale&ii=i]Itl
W 5 F4e,,,;y
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Ld? 437fi2S3i 3...I.: 2,2 .'1is733,13:I, 3t .z~u i,3 xz x. s
317133333333113 a 321 a 3333131333313374 i731,73:19738d353
7it 141t14i1 11 11 4 1 4,1 1 S 4 A 44444114414 J 14444,44, 44j
6 i~80i S5i5.3 ij 3555 i i 1446415..I.._. 1-5 15 5 5
66i65ssi1: 566 iii 1166 i 1 i i i 666 k 6s S S 1.6695sea bs
ment, such as an engineering drawing, or as many
as eight or 10 letter-size pages, which in the case
of the punched card, would require 22 card
columns of space. This leaves over 50 columns for
recording data such as the document number,
description, and date in machine-coded form.
There are also aperture cards containing sleeves
as in microfilm jackets for inserting and adding
images.
One of the major advantages of the aperture
card is the convenience in filing, retrieving, and
adding to the file. Another advantage of aperture
card systems is the capability for using mechan-
ical devices for sorting and selecting individual
cards, while at the same time permitting manual
filing and selection of cards. Still another impor-
tant advantage is the savings in time and cost for
duplicating, shipping, handling, storing, and re-
trieving documents. Further, there is available a
29
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 Approved IDEO RECORDING SW'1 K 4-000058000100020030-9
Image Storage
Desktop Viewing Equipment
wide variety of equipment to satisfy the needs of
the smallest to the largest user.
The major disadvantage of the aperture card
system is the relatively high input cost involved in
the filming, keypunching (or edge-notching) of
the cards, and mounting of the micro-images in
the apertures. Therefore, as in the case of
microfiche, the cost may make such systems un-
economical for internal application within a single
office. Further, extensive machine sorting and se-
lection of the aperture cards may not be practical
if the file is a very large one. When punched card
equipment is used for card sorting and selecting, it
is usually modified in order to minimize damage
to the micro-images; or a duplicate "slave" deck,
which does not contain the micro-images, is
created for use in the punched card machines.
Superminiature (high reduction) Micro-
forms. Superminiature microforms and those
referred to as ultraminiature microforms (ultra-
fiche) employ a reduction ratio much higher than
those used for ordinary microforms. (See figure
21 for an example of a book of more than 1,000
pages reduced. to one ultrafiche, and the special
reader required for viewing the images.) The
standard reduction ratios in use today readily
permit the recording of 2,000 to 2,500 letter-size
pages on a 100-foot roll of microfilm (and in
some systems, up to 4,000 pages per 100-foot roll).
Reduction ratios as low as 10 to 1 (10X) are used
for newspaper's and as high as 42 to 1 (42X) are
used for COM produced listings and cancelled
checks. Superminiature microfilm, on the other
hand, employs reduction ratios of approxi-
mately 200 to 1 (200X) and higher.
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 ulaiui. auvantage of superminiature
microforms is the further savings in space and
shipping costs resulting from the greater com-
pactness of the micro-images. Superminiature
microforms make it possible to store an ex-
tremely large collection of documents close to the
users, or possibly within the viewing equipment
itself.
The major disadvantage of the superminia-
ture microforms is the initial cost of preparing the
master copy. However, as in the case of the micro-
fiche and the aperture card, this cost may not
prove excessive if there are a large number of
users at various locations who use the same in-
formation over and over again. Another disad-
vantage is the lack of compatibility between this
and any other microform media. Special readers
with optics compatible with the very high photo-
graphic reductions are required.
Video Recording Systems. These systems em-
ploy the basic techniques and equipment used in
recording television programs, as illustrated in
figure 22. Documents are placed under a camera
and magnetically recorded on video tape or other
media. There is a separate track for recording the
document's number or other identifier. Retrieval
is accomplished through a keyboard or by prepar-
ing a machine record such as a punched card that
is fed into the retrieval device. Images of the re-
trieval documents may be viewed on remote ter-
minal cathode ray tube (CRT) screens, or en-
larged paper copies can be produced.
The major advantages of the video recording
systems are the instant recording and inspection
of document images; the ability to add or delete
documents; the ease of use; and the relatively fast
retrieval speeds. Video recording systems have
not been in use long enough to fully evaluate
their performance and potential. However, the
major disadvantages appear to be the relatively
high systems cost; the need for special skills in
planning, operating, and maintaining the system;
and the need for special work procedures and
routines to compensate for the lack of a practical
means for gaining random access to the file.
Special note on mechanized devices (miscellane-
ous card selectors) for storage and selection of
microfiche, microfilm jackets, aperture cards, and
other unit records.
There are numerous electromechanical devices
that permit selection of individual unitized micro-
forms by means of a keyboard. The smaller ones
have trays holding approximately 1,000 items
each, which can be interconnected and operated
through a single keyboard. Typically, the individ-
ual items are notched along the bottom edge, and
the selected item pops up when its identifying
number or location address is entered on the key-
board.
There are also very large units, some of which
can be accessed through remote terminals
equipped with keyboards and CRT displays.
Some also have the ability to perform limited co-
ordinate-type searches.
The major advantages of these devices are
that they reduce physical strain, eliminate the
need for interfiling as microforms are returned
to the file, and make possible an increase in re-
trieval speed.
The major disadvantage is cost. To justify the
purchase of such equipment the file must be very
active, but not more so than one person per key-
board could handle. Thus, the limited access to
the file could pose a serious problem in times of
peakloads, expanded reference activity, or ma-
chine breakdown.
Microform-Computer Combinations
The motorized roll microfilm systems with photo-
optical binary code and the microfilm chip sys-
tems combine in a single medium both machine-
readable data and document images for simul-
taneous searching and viewing of the micro-
images. Further, it is possible to use any of the
various types of microform methods and equip-
ment described earlier in combination with a com-
puter. There are, however, an increasing number
of microform devices specially designed for direct
use with the computer.
Computers, as explained in chapter V, can
perform complex coordinate and other types of
logical searches, as well as other forms of data
manipulation, at fantastically high speeds. How-
ever, storage of very large volumes of data on-line
can be extremely expensive; and since computers
can only work with information that has been
converted to a machine language code format,
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their capability for storage and presentation of puter to quickly identify t e ocation of needed
graphics and large masses of data is rather lim- information and perform related ADP operations,
ited. The situation is much the reverse for micro- new solutions are provided for both today's and
forms, of course. Consequently, the computer and tomorrow's problems.
the microform can often be used to complement
each other very effectively by maintaining the
low-volume index data (or dynamic data) on-line
with the computer and the large volume of infor-
mation and graphics (or static data) in micro-
form. Finally, a communications link-either hu-
man or part human and part machine-or all
machine-is provided to permit the two to work as
a team.
Roll microfilm and various forms of unitized
microfilm such as microfiche, microfilm jackets,
aperture cards, and chips are often employed. In
any event, the microform portion of the system's
work station includes a microfilm reader or
copier that is mechanized to some degree. Com-
munication with the computer portion of the sys-
tem may be accomplished by either of two meth-
ods: One uses a remote terminal with a keyboard
and possibly a CRT display; the other uses a
punched card or punched paper tape equipment
for sending messages to and from the computer.
There is also equipment available that permits
use of a single keyboard to communicate with
both the microfilm and computer portions of the
system. It employs a split viewing screen for
simultaneously displaying information produced
by both parts of the system.
If a person serves as the communication link
between the computer and the microform storage
unit, he is responsible for retrieving the appropri-
ate micro-images upon receipt of the message
from the computer. In other systems the computer
message is used to automatically activate a
microform reader that finds and displays the re-
lated micro-images for the user. In still another
system, the computer message is used to control a
mechanism that locates the proper microfilm
image and makes a film-to-film copy of it.
The advantages of combined microform com-
puter systems include an increase in the useful-
ness of the computer, reduction of computer stor-
age costs, faster retrieval of information, and im-
proved access to information. By using micro-
forms to store close at hand large masses of pre-
viously acquired information along with current
static or semistatic data and then using the com-
The disadvantages are mainly that such sys-
tems usually require highly skilled designers and
a rather substantial initial investment.
Special Considerations
It should be quite clear by now that microform
systems do not offer a panacea for all of an
agency's document dissemination problems. A
cost-benefit study should always be made and
pilot tests conducted before deciding to go ahead
with a system.. A major obstacle in any microform
system is gaining user acceptance, and nothing
should be left to chance. Appendix "E," (De-
partment of the Air Force Regulation 12-40,
March 5, 1971) provides a good example of the
types of management controls required to insure
the successful application of document miniaturi-
zation techniques.
When designing a microform system, serious
consideration. should also be given to capturing
and maintaining key identifying data in machine
language. Using source data automation tech-
niques, this can be done for a small additional
cost at the same time the labels are typed. The
machine-language record should prove highly
useful as a means for automatic preparation of
finding aids, inventory lists, and new labels, and
purging of the file.
Attention should also be given to subpart 101-
11.5 of the Federal Property Management Regu-
lations (41 CFR 101-11.5). While this regulation
primarily applies to situations involving micro-
filming of permanent records in order that they
can be destroyed, many of the safeguards pro-
vided therein should be observed in all microform
systems.
The National Archives and Records Service,
General Services Administration, operates micro-
filming service centers throughout the country.
Government officials interested in these services
or desiring assistance in microfilming and other
paperwork management matters should contact
the manager of the nearest GSA Regional Office
or Federal Records Center.
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IV. MANUAL NONCONVENTIONAL
INDEXING SYSTEMS
The methods and equipment described in chapter
III, "Microform Systems," were developed pri-
marily to solve the problems associated with the
physical handling and storage of documents. It
was also explained in that chapter how microform
systems can sometimes prove helpful in solving
problems involved in looking up data in such
voluminous listings as payrolls, directories,
schedules, and price lists. If, for example, the
user's problem is simply to look up the social se-
curity number, address, or telephone number of
individuals with whom he deals, a microform sys-
tem, or perhaps a conventional tool such as a
printed directory or card file, is usually all that
is needed.
If, on the other hand, retrieval involves
searching for documents or information on the
basis of subject topics or a variety of characteris-
tics, attributes, or other features, the problem is
quite a different one. The problems and limita-
tions in using conventional methods and equip-
ment in situations of this type are described in
chapter I, "Why Information Retrieval Systems
Are Needed." Chapter I, as well as chapter II,
"How Coordinate Indexing Systems Work," ex-
plains how the nonconventional information re-
trieval systems may be employed to solve these
problems. This chapter (IV) and the next one (V)
describe the specific methods and equipment used
in these nonconventional systems. This chapter
covers manual methods and equipment, while tie
one that follows describes those employing mech-
anized equipment.
Manual nonconventional indexing systems,
for the purpose of this handbook, include those
where the search is conducted by manual meth-
ods. The tool or device may have been prepared
manually, but some are, and most could be pro-
duced and updated by computers and other ma-
chines. Further, some of the tools could be con-
verted to a microform format for ease in duplica-
tion and dissemination.
Types of Situations Where Non-
conventional Indexing Systems
Are Used
There are two basic types of situations where the
methods and equipment in this and the next chap-
ter are applicable. The first type involves organ-
ization of information mainly on the basis of sub-
ject topics for retrieval of textual documents or
information. The second type is concerned with
organizing information (data) on the basis of
characteristics or attributes (also referred to as
indexing terms in this handbook) for use in iden-
tifying and retrieving information or documents
relating to individual people, places, or things.
An example of this second type is a personnel
skills inventory describing employees in terms of
their education, experience, languages spoken,
etc., for use in selecting people for promotion, re-
assignment, special projects, or other purposes.
This second type of system is far less complex to
design and operate than the first, mainly because
it is relatively simple to develop and define the
characteristics, attributes, or features to be used
as indexing terms, while the task of selecting and
defining subject topics is difficult and imperfect
due to the ambiguity of the human language.
Prerequisites for a Successful Manual
Nonconventional Indexing System
The most important prerequisite for a successful
indexing system is to obtain the right people for
the job. In all but the smallest and simplest of
systems, special talents of two types are required.
The first requirement is for the services of a
skilled person to design the system and then re-
turn periodically to revise it, since there is no such
thing as a finished design for an indexing system.
If the system involves indexing documents by
subject, the individual should have a thorough
knowledge of both the subject matter field and
indexing. If no such person is available, it may be
necessary to use the team approach; that is, to
bring together an individual who has a thorough
33
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i
knowledge of indexing but only a limited knowl-
edge of the subject matter with a person of the
opposite qualifications.
The second type of talent needed is qualified
personnel to operate the system. Again, if the
system is used for indexing documents by subject,
the indexers and searchers or indexer-searchers
(and abstracters, if any) should have a thorough
knowledge of the subject matter field and be
properly trained in performing their duties.
Of next or perhaps equal importance is the
need for an operating manual or rule book. The
operating manual should include a vocabulary of
indexing terms or a thesaurus, as it is commonly
called, listing all indexing terms and defining how
they are used in the system, supplemented by
cross-references for synonyms and incorporating
one or more devices for showing relationships
among indexing terms. The operating manual
should also include any other rules, guidelines,
and reference aids needed for indexers, searchers,
and users.
Another prerequisite for a successful system is
close coordination between the operators and
users of the system in all matters, including selec-
tion of documents or data entered into the system
and continuous feedback on the effectiveness and
value of the system. All users need to be kept in-
formed about the new accessions, and new users
should be oriented in regard to the contents and
use of the system.
Another possible prerequisite, or at least de-
sired feature of the system, is compatibility with
other systems with which it may be interfaced
now or in the future. This compatibility is of two
kinds-system vocabulary and physical aspects.
Today, it is seldom that any given collection of
documents or data is of interest or value to a sin-
gle organizational element. Somewhere within an
agency, another agency, or the private sector,
there is likely to be one or more groups of people
collecting, storing, and retrieving similar if not
identical information. System compatibility can
therefore be of mutual benefit, possibly contribut-
ing through sharing arrangements to lower costs
for all systems involved, while increasing the level
of service to users.
Another important prerequisite is that there
ng the new
should be a minimum of delay in enter
items into the system and making them available
to the users. Not only should a search of the index
reveal the presence of the item, but it should also
be possible for the user to quickly obtain
of it.
Other prerequisites for providing good service
to the user include ready access to the system and
satisfactory performance of the system. A highly
desirable but not necessarily essential feature
would be that the system be readily convertible
to an automated system.
Factors Affecting the Choice of the Type
of Manual Nonconventional Indexing
System
The major factors to be considered in choosing
the most suitable type of manual nonconven-
tional indexing system are as follows: (1) the
present file size, growth rate, and estimated fu-
ture size of the collection; (2) if the system is to
be used for retrieving information by subject, the
average number of indexing terms that will be
assigned each document and the total number of
indexing terms for the system; (3) if the system
is to be used for retrieving information or iden-
tifying people, places, or things on the basis of
characteristics, attributes, or features, the number
that will be used to describe each item entered
into the system; (4) physical form, format, cost,
and source of the input; and (5) the extent to
which the documents or data will have to be
changed, updated, or deleted.
Other important factors to be considered in
selecting the type of system include: (1) the aver-
age number of indexing terms to be used per
search, the average number of searches per day,
and the extent of workload fluctuations and peak-
loads; (2) the number and types of users and
their physical location; (3) the physical form,
format, and nature of the output required by the
users; (4) service speed requirements; (5) special
features required, if any, such as abstracting and
evaluating documents and selective dissemina-
tion of information (SDI) ; (6) accuracy and re-
liability requirements; and (7) agency resources
including availability of funds, personnel, and
equipment for operation of the system.
Further information regarding the significance
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 Approved For Release 2001/07
CLUE-WORD EXTRACT
CARD SYSTEM
of these factors and guidelines on gathering the
data, analyzing user needs, and selecting the
right method and equipment are included in
chapters VI and VII. A description of a number
of systems employing manual nonconventional
indexing methods and equipment is included in
the records management handbook, Information
Retrieval Systems.
Types of Manual Nonconventional
Indexing Systems
The following are descriptions of the various
types of manual nonconventional indexing sys-
tems, with a brief summary of the main advan-
tages and disadvantages or limitations of each.
Clue-word Extract Card Systems. These sys-
tems are subject indexes consisting of 5- by 8-
inch cards arranged alphabetically by "clue-
words" (keywords) taken from the titles and
text of the documents. Each card contains an ex-
tract of the document in which the keyword ap-
peared. The extract is marked to indicate other
keywords contained in the document, thus pro-
viding built-in "clues" as to other places to look
in the file when conducting a search. Figure 23 il-
lustrates how the "clue-word" principle operates.
Information specialists, or preferably users of the
system, evaluate incoming documents for rele-
vancy. They underline the keywords in each se-
lected document and place brackets around the
portions to be extracted. They also assign addi-
tional indexing terms, if needed. Typically, tables
of contents, author-prepared abstracts, and key
illustrations are included in the extract.
Typists then prepare a 5- by 8-inch dupli-
cating master containing the document number,
title, author, other standard descriptive headings,
and the extract with all keywords underscored.
A sufficient number of cards are made of each
document to permit the filing of one card under
each of its keywords and the standard headings.
Various colored cards, colored stripes, and corner
cuts are employed to code the cards as to date,
source, type of document, etc. The incoming ma-
terial is maintained in a separate file.
The user begins his search by choosing a key-
word he thinks should be helpful in identifying
documents that may contain the information he
is seeking. If, after scanning the cards filed under
that particular term, he is still unable to find what
he wants or needs further information, he takes
note of other underlined keywords appearing in
the body of the cards for "clues" as to where else
to search for the needed information. He then
refers to the other cards and thus proceeds with
the search until he finds the desired information
or until he has satisfied himself that the docu-
ment collection contains nothing significant on
the subject.
The major advantages of the clue-word ex-
tract card system are that no complicated input
and output equipment is required; no precon-
structed index vocabulary is needed (system is
self-organizing) ; no special training is needed for
conducting searches; it is highly browsable; and
the extract cards are self-sufficient (it is usually
not necessary to refer to original document).
Further, this technique offers a simple, effective
means for compacting text. The system concept is
35
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SAMPLE PAGE FROM KWIC indexes have successfully applied
A PERMUTED (KWIC) INDEX in indexing operating procedures and directives,
forms catalogs, the Controller General's deci-
INVESTMENTS-LESS DEVELOPED COUNTRIES 0954 04
00
INVESTORS EXPENSES 0212 03
00
INVOL. CONVERSIONS PROPERTY US 1231 00
00
INVOLUNTARY CONVERSION 1231 10
00
INVOLUNTARY CONVERSION -RECOGNITION- 1033 00
00
INVOLUNTARY CONVERSIONS UNDER SEC 10 0381 12
00
INVOLUNTARY LIQUIDATION OF LIFO INVE 1321 00
00
SEC 482 ISSUES INVOLVED 0260 06
00
CLAIMS AGAINST U.S. INVOLVING ACQUISITON OF PROPERTY 1347 00
O0
0HERASSEOSMENT INVOLVING EXCESS PROFITS' 6214 DI
04
OTHER THAN CONT IN THE IRC ISSUES RELATED TO STATUTES 9999 92
00
SUSPENSION UNDER IRC 6503 -B-' 9104 18
03
SAL OF COAL OR DOMESTIC IRON ORE DI SPO D272 00
00
TIMBER COAL OR DOMESTIC IRON ORE GAIN OR LOSS IN CASE OF 0631 00
00
IMPERFECT OR I RR=GULAR ORGANIZATION 6012 03
02
ELECTION I RREVOCADLE 1361 02
00
RUSTEE OR BENEFICIARIES IRREVOCABLE TRUST 8 IN HANDS OF T 1015 03
01
MUTUAL DITCH OR IRRIGATION COMPAR IES 0501 12
01
IAB INCURRED TO THE VIR ISL 8 ON REDUCT IN INC TAX L 0934 00
00
C ISL-GUAM-CAN ZONE-VIR ISL ADM PUERTO RICO-TRST TER PA 4735 00
00
UERTO RICO-TRST TER PAC ISL-GUAM-CAN ZONE-VIR ISL ADM P 4735 00
00
VIRGIN ISLAND RESIDENTS 0932 01
00
ISCLAT ION OF PROPERTY-GENERAL 2035 05
07
LAT ION ISOLATION-FEAR OF LOSS THROUGH SPECU 2035 05
OB
ISOLATION-HAZARDS OF BUSINESS 2035 05
09
D ISOLATION-MARITAL STATUS CONTEMPLATE 2035 05
10
ISSUANCE OF STOCK TO VOTING TRUSTEES 4321 04
01
LIMITATIONS OF ISSUANCE TAX 430? 01
00
BAILEY ISSUE -1939 CODE- 2042 06
00
FOREIGN CENTRAL BANK OF ISSUE FROM U S OBLIG & INC DERIVED DY 0895 00
00
ISSUE NOT PROPERLY PLEADED' 7453 18
02
SIGNER ISSUE RAISED V. NOT RAISED BY COMMIS 7453 35
01
JOINDER OF ISSUE' 7453 I6
00
OBLIGATIONS ISSUED AT A DISCOUNT 0454 D0
00
WHEN ISSUED TRANSACTION 1223 12
D3
TAX ON ORIGINAL STOCK ISSUES 4301 01
00
SEC 482 ISSUES INVOLVED 0269 06
00
susceptible to application of computer techniques
for information dissemination, automatic search-
ing, and preparation of special finding aids. There-
fore, anyone establishing a manual clue-word ex-
tract card system today should capture and retain
the input data in machine language format for
possible conversion to a computerized system at a
later date.
The major disadvantages of the original clue-
word extract card systems are the bulkiness of the
files and the lack of a practical means for con-
verting the file to an automated system.
Permuted Indexes. Permuted indexes are spe-
cially printed and organized printed manual in-
dexes usually prepared by a computer from docu-
ment titles, full text, a catalog, or index entries, as
illustrated by the format of the KWIC (keyword-
in-context) index shown in figure 24. There are
various other formats, many of which are an im-
provement over this one. Some of the better
known other permuted indexes are KWOC (Key-
word Out of Context), WADEX (Word and
Author Index), and SPINDEX (Special Per-
muted Index). To obtain these indexes a com-
puter is programmed to alphabetically arrange
the entries so that: each document or other thing
being described in the index is listed under each
of its keywords.
sions, and in numerous other situations. In cases
where permuted indexes are used for indexing
procedures and directives, a special dividend may
be expected-the index will highlight inconsisten-
cies, duplications, and omissions. With the in-
creased usage of permuted title indexing, authors
are giving more attention to selecting meaningful,
useful titles; and this, together with the improved
formats and low costs, is enhancing the use of
permuted title indexing. The retrieval capability
of permuted indexes can be increased by inclu-
sion of additional indexing terms selected from
an index vocabulary such as the Thesaurus of
Engineering and Scientific Terms used by the
Department of Defense and other Government
agencies.
The major advantages of permuted indexes
are the following: (1) the relatively low overall
cost (in some situations the index can serve as a
low cost substitute for manually prepared indexes
or can make it :practical to provide an index where
none existed before); (2) speed and ease of prep-
aration (computer printouts that serve as final
copy for offset: printing of the index can be ob-
tained in a matter of hours) ; (3) ease of revision
(the speed of a computer makes it possible to
print out an entire new index including any revi-
sions, rather than trying to manually patch up a
printed copy as revisions are made) ; (4) more
meaningful and browsable than conventionally
printed indexes (the one or two word entries do
not normally provide an entire concept) ; and (5)
reduction in the time required to announce new
documents and enter them into the system.
Permuted indexes can also serve as a means
for developing in-house capability in the use of
computers for information processing, and in at
least some instances will result in the establish-
ment of a computer data base that may serve
even more important purposes in the future.
The major disadvantage of the permuted in-
dex is that it does not provide cross-references for
synonyms; therefore, it is subject to searching
problems created by the author's inconsistencies
in word usage and the normal ambiguity of hu-
man language. Further, if limited to document
titles only it becomes a shallow index; if applied
36
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to the entire text, it may become too cumbersome The major advantages of the columnar card
to be practical. systems are that the costs for supplies and equip-
An ideal permuted index for procedural man-
uals and similar publications would include a per-
muted listing of titles for the parts, chapters, sec-
tions, the paragraph or other headings, and any
abstracts or other summaries of the contents of
the documents.
Columnar Card Systems. These systems, as
shown in figure 25, are coordinate indexes in
which one card is p: epared for each indexing term
used in the system. The numbers of all documents
indexed under each term are entered on its term
card, Each term card is divided into ten columns,
0 through 9, and the document number is posted
in the column corresponding to its terminal digit.
Searches are conducted by selecting those term
cards that seem pertinent, and then matching doc-
ument numbers column by column to locate any
numbers that appear on all the cards. The cards
are usually prepared and maintained manually,
either by hand or typewriter; the basic data, how-
ever, could be maintained in machine language
form and the cards produced by a computer.
ment are extremely low; they permit parallel
searching of the index file (rather than requiring
a card-by-card serial search) ; and they are simple
and easy to maintain and use, being highly ma-
nipulative and browsable.
The major disadvantages or limitations of the
columnar card systems are that it is usually neces-
sary to refer to a second document, such as an ab-
stract or even the document itself, to obtain a
document description or to determine a docu-
ment's relevancy; and if the system is used exten-
sively, searching can become slow and tedious
should the columns of numbers become long and
individual searches involve several indexing
terms.
Dual Dictionary Systems. These systems, il-
lustrated in figure 26, are similar in design and
use to columnar card systems, except that all the
indexing terms and document numbers are
printed on two identical lists mounted side by
side in a binder. Instead of matching cards during
the search process, the user looks up the first term
SEARCHING WITH COLUMNAR CARDS
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in its alphabetical location on the left side of the
dual dictionary and then locates the second and
other terms on the right side (or vice versa),
checking for coinciding numbers at each step until
the search is completed. Usually many copies of
the dual dictionary are made and distributed to
individual users.
The disadvantages of the dual dictionary are
also essentially the same as those for the colum-
nar cards, with one exception-they are far more
costly to maintain; however, if the number of
users is sufficient the overall systems costs could,
by comparison, be relatively low.
The dual dictionary is best suited to those sit-
uations where there are many users in different
locations. The dictionary's usefulness can be in-
creased by furnishing with it abstracts of the doc-
uments and a copy of the thesaurus or other vo-
cabulary of indexing terms.
The data for the dual dictionary may be man-
ually maintained; however, more often it is main-
tained and updated by computer and then peri-
odically printed out, duplicated, and distributed
to the users.
The major advantages of dual dictionary sys-
tems are the same as those for the columnar card
system, plus an important, additional one-these
systems permit numerous individual users or
groups of users to do their own searching, thus
reducing the workload at the main information
center and giving the user direct access to the
system.
Edge-notched Card Systems. These systems,
as illustrated in figure 27, are cards containing
punching positions, represented by pilot holes
along one or more of their edges, used in recording
in coded form such data as indexing terms, dates,
and numbers. The data is recorded by punching
out the area in front of the pilot hole. The edge
notching may be done manually by a hand punch
or semiautomatically by special equipment. The
interior of the cards, which are printed in various
sizes and formats, may be used for written infor-
mation or graphics. Typically, one card is pre-
pared for every document or item being indexed.
To search the file, needles are passed through
the appropriate pilot holes in the deck of edge-
notched cards. The selected cards (those that are
notched) fall out, while the others remain on the
needle. Searching usually involves numerous
needle passes. Other devices and equipment, in
addition to the standard needles, are available for
assisting in the search process.
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EDGE-NOTCHED
CARDS
The major advantages of the edge-notched card
systems include low cost, simplicity, the ease with
which users may browse, immediate access to the
description of the documents or things involved
in the search process, and in many situations,
elimination of the need to maintain the cards in a
precise sequence.
The major disadvantages of the edge-notched
card systems include limitations on the amount of
coded data that may be recorded on the card;
slowness and awkwardness in the search proce-
dure if the cards are used extensively for complex
searches (due to the system requirement of serial
searching) ; limitations on the size of file (many
information specialists consider 5,000 cards to be
the upper practical limit) ; the somewhat compli-
cated code patterns; and the possible difficulty in
detecting coding (edge-notching) errors.
OPTICAL COINCIDENCE CARDS AND VIEWER
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 Opt Aoo oand.For R eatse 2001/07/17 :CIA-RDP74-0( 005R000100020030-9 n c.e ys ems. ese systems, ment o browsing by t e user; rapid searching
as illustrated in figure 28, employ cards (or speeds (partly because these systems permit
sheets) with a fixed number of dedicated positions parallel searching of the index file rather than re-
or address locations for drilling (or punching) quiring a serial card-by-card search) ; low cost for
holes representing the individual documents or supplies and equipment; simplicity; and fast, easy
items being indexed. A separate optical coinci- read-out of the search results.
dence term card is maintained for each indexing
term. After each incoming item has been indexed
and assigned a serial number or optical coinci-
dence card address location, all related term
cards are removed from the file and machine
drilled or punched in the appropriate position.
Searching is accomplished by first selecting
the optical coincidence term cards pertinent to the
query. The selected cards are then stacked and
are placed in front of a light source to visualize
the existence of coinciding holes. The position of
the matching holes on the cards indicates the
number or address locations of any documents or
items that fully satisfy the search question.
In addition to identifying documents or other
items pertinent to a query, the cards may also be
used as a data manipulation and tallying device
for compiling statistics; or, through the use of
transparent overlays, as a means for presenting
statistical data in a visual manner. Although in
most optical coincidence systems the cards are
drilled, manipulated, and interrogated manu-
ally, there is equipment available for machine
controlled drilling of the cards, machine counting
of holes, and automatic printout of numbers. In
the system developed by the National Bureau of
Standards, the user can see an enlarged micro-
film image of the related document abstract
during the interrogation process.
The optical coincidence cards most com-
monly used are about 9 inches in size and can
accommodate up to 10,000 documents or items
and 1,000 indexing terms. Prescored punched
cards that can accommodate 480 items are also
sometimes used.
The major advantages of optical coincidence
systems are manipulatory ability; encourage-
The major disadvantage of optical coinci-
dence cards is that it is usually necessary to refer
to a second information source to obtain a de-
scription of the document or item, or to determine
its relevancy. Another possible problem is in error
correction; however, some types of input equip-
ment help keep errors to a minimum by prevent-
ing redrilling in the same hole.
Special Considerations
This chapter reveals that there are many simple,
rather inexpensive nonconventional indexing sys-
tems which, although manually operated, offer
significant advantages over conventional systems
for organizing and retrieving information. In
many situations today, one of these manual sys-
tems may be all that is needed to solve the infor-
mation retrieval problem. However, in most situ-
ations it will some day become desirable to con-
vert the system to one that takes advantage of
computer capabilities for maintaining, reorgan-
izing, reformatting, merging, updating, and purg-
ing of information in the file, and manipulating,
selecting, and presenting the information.
In order to do these things the data contained
in the index file must be in machine language.
Consequently, when developing and installing
any manual nonconventional indexing system,
serious consideration should be given to recording
the index data in machine language as a by-
product of the input operations. Such devices as
paper tape and magnetic tape or card typewriters
are ideally suited to this purpose. Further, as
mentioned earlier in this chapter, the machine
language data base, with the aid of a computer,
can be used to produce many of the nonconven-
tional manual indexing tools.
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V. NONCONVENTIONAL MACHINE
INDEXING AND
RETRIEVAL SYSTEMS
The significance of nonconventional machine in-
dexing and retrieval systems rests not in the num-
ber of basic types of equipment that are available,
but in the wide variety of tasks these systems can
perform, their flexibility, and their future poten-
tial. In numerous instances the indexing, storage,
and retrieval operations are, or could be, a satel-
lite of a larger integrated automatic data process-
ing (ADP) system. Today, there are many in-
stances where the data base maintained for an
ADP system could, with slight modification and
expansion, serve as the nucleus for a highly use-
ful information retrieval system. On the other
hand, there are situations where machine non-
conventional indexing and retrieval systems could
largely pay for themselves by solving logistical
and other problems involved in the preparation,
stocking, distribution, replenishing, and control
of documents.
Obviously, the equipment used in machine
nonconventional indexing and retrieval systems is
usually more expensive than that used in the
manual systems. Further, the machine systems
are generally more difficult to design and operate.
However, these conclusions can be misleading,
and in practice they prove to be but a slight bar-
rier in installing a machine system. The first rea-
son for this is that instead of acquiring your own
equipment, you could more than likely obtain
machine time on equipment already installed in
the agency or available through a service bureau.
The second reason is that there are available
many standard and special machine programs
(machine instructions and procedures) that, with
slight modifications, can be adapted to the job at
hand. When one considers these possibilities, and
the indisputable move toward automation in all
areas, it becomes increasingly clear that any in-
formation retrieval system study should include a
thorough investigation of machine methods for
doing all or part of the job either now or in the
future.
Types of Situations Where Machine
Indexing and Retrieval Systems Apply
There are two basic situations where the methods
and equipment described in chapter IV and in
this chapter may apply. In the first situation, i.e.,
retrieval of textual documents or information on
the basis of subject topics, machine systems are
proving highly satisfactory; and in addition,
many of the systems can automatically furnish
the user with a complete description of the docu-
ment or permit him to view the document or-per-
haps immediately-to obtain a copy of it. In the
second type of situation, i.e., retrieval of informa-
tion or documents on the basis of characteristics
or attributes, machine systems have the addi-
tional capability of being able to automatically
retrieve selected data about a person, place, or
thing, or a complete description or image of it.
There is also an additional type of situation where
only nonconventional machine information re-
trieval systems apply-the storage and retrieval of
large masses of data in what are commonly called
data banks. Machine methods and equipment can
be used to update these files, to automatically and
selectively transfer data from one file to another,
and, on demand, to selectively retrieve data and
perform data manipulations.
Prerequisites for a Successful Machine
Indexing or Retrieval System
All the prerequisites cited in chapter IV for a
successful manual nonconventional indexing sys-
tem are also important to the success of machine
systems, and therefore should be carefully noted.
An additional prerequisite for machine systems is
the ready availability of personnel, either on a full
or part-time basis, who are trained and experi-
enced in the operation of the equipment. Another
important prerequisite is the accessibility of
equipment being able to have access to it at the
right time and frequency required by the users.
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 EAM PUNCHED
CARDS AND
COLLATOR
Another important but not necessarily essen-
tial feature is that the data elements and codes be
compatible with other computer data banks in the
same field of interest so if it should later become
necessary or desirable the data can be readily ex-
changed, compared, or combined on a machine-
to-machine basis.
Factors Affecting; the Choice of the Type
of Machine Indexing or
Retrieval System
In addition to the factors cited for manual sys-
tems in chapter IV, which also apply here, ma-
chine systems are concerned with machine record
lengths. Machine record lengths involve: the
number of data elements (for example, date of
birth) per record; the, number of data items (for
example, year of birth) within the data element;
and the total number of characters (alphabetical,
numerical, and special) per record.
Types of Machine Indexing and
Retrieval Systems
The following are descriptions of the various
types of machine nonconventional indexing and
retrieval systems, together with a brief summary
of the main advantages and disadvantages or lim-
itations of each.
EAM (electrical accounting machine)
Punched Card Systems. These systems em-
ploy cards divided into vertical columns, with
each column then divided into 12 punching posi-
tions. Each column can be used to record, by
means of one or more punched holes, a single al-
phabetical, numerical, or special character. The
cards are divided into segments (fields) of various
lengths for recording such individual data ele-
ments as the following: titles, segments of text,
names, dates, addresses; and code numbers repre-
senting names of organizations, forms, products,
or indexing terms. A wide variety of equipment is
available for punching, sorting (including elec-
tronic high-speed sorters), collating, interpreting
(card printing), selecting, and analyzing the
punched cards, in addition to equipment for per-
forming arithmetic operations and preparing
printed listings. Figure 29 illustrates a punched
card and a special collating machine.
Punched card systems were originally in-
tended for use in performing statistical and ac-
counting operations. In using punched cards as a
medium for recording and retrieving data for in-
formation retrieval, the system designer has to
adjust his methods to the capabilities and charac-
teristics inherent in punched card equipment.
In organizing a punched card file for a coordi-
nate index, there are two general ways for record-
ing the index data and arranging the punched
card file. One way is to prepare one or more
punched cards, as needed, for each document or
other thing being indexed and record thereon a
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 p I% VV OSignei~an eei H. X g i7n/i ~Cst7lijec~t ; P7~it'c~~ti 49n~a4~?9$e~qe9archeprocess and (2)cthe
characteristics or attributes). The file is arranged limited accessibility of the punched card system,
in document number sequence. The second way including a restriction upon the freedom of the
to organize the index file is to prepare a separate
punched card for each indexing term assigned
each document. Each card usually contains only
the document number and the assigned index
term; the cards are arranged in groups according
to the indexing terms. This is commonly referred
to as an inverted file.
The first way of organizing the file has the dis-
advantage of making it necessary to pass the en-
tire punched card file through the equipment each
time a search is conducted; however, it has the
advantage of furnishing the user at least a brief
description of the document. The second ap-
proach has the advantage of making it necessary
to process only those punched cards representing
the indexing terms involved in the search, which
is conducted by comparing the punched cards
representing any two of the indexing terms to de-
termine coinciding document numbers, and re-
peating the matching process for the remainder of
the term cards involved. This second method has
the disadvantage of providing the user with the
document numbers only, thus making it necessary
for him to refer to a second source or to the docu-
ment itself to obtain a description of the docu-
ment and determine its relevance to the search
question.
Another method of recording the indexing
terms on the punched cards is to use super-
imposed coding, which offers greater data com-
paction but requires considerably more skill on
the part of the system designers and operators.
The major advantages of punched card sys-
tems, when used for information retrieval, are
their ease of manipulation; their relative simplic-
ity (when compared with computers) ; their ease
in reformatting, transferring, extracting, updating,
and duplicating data; their capability for produc-
ing low-cost duplicate sets and printed listings;
the ability of the cards to also be manually se-
lected, read, and refiled; and their ready convert-
ibility to computer systems.
The two major disadvantages of punched
cards used as information retrieval systems are
(1) the relatively slow searching speeds and the
user to browse, due to the fact that card files and
equipment are usually maintained in a machine
room and their use requires trained machine
operators.
Most systems employing punched cards for
coordinate indexing consist of less than 20,000
cards; however, if used primarily for simple data
lookups and only occasionally for coordinate-
type searches, a file of 50,000 or more may be
feasible. Therefore, punched cards, due to this
reason and the advantages described above, are
particularly well suited to personnel skills inven-
tory and other systems that usually entail a large
volume of manual data lookups and recurring or
special printed listings of various types and for-
mats, but only a limited number of coordinate-
type searches. Punched cards may also be used
for selective dissemination of information (SDI)
systems, but since today computers are more
often used for this purpose, selective dissemina-
tion of information systems are included in the
latter category.
Computers. Computer equipment is of two
basic types: analog and digital. Analog computers
may be likened to a slide rule or an automobile
odometer, since they work with physical quan-
tities and compute by measuring. Digital com-
puters, on the other hand, work with numbers or
digits and compute by counting. Digital com-
puters are divided into two classes, special and
general; computers in the general class are nor-
mally used for automatic data processing (ADP)
and information retrieval. A typical equipment
configuration is shown in figure 30.
Computers are the most versatile and power-
ful of all the devices used for information re-
trieval, due to their high processing speeds, ac-
curacy, ease of updating, ability to perform com-
plex transactions automatically and to commu-
nicate with each other, and their ability to provide
the user with a wide range of on-line search capa-
bility and off-line services and tools, including
permuted indexes such as the KWIC index de-
scribed in chapter III. Another advantage offered
by the computer used for information retrieval
purposes is its usefulness for administrative and
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logistical tasks. For example, it can be used to
prepare requisitions and announcements of new
accessions, to operate a selective dissemination of
information system (SDI), to bill for user
charges, and to maintain an inventory. These spe-
cial tasks are all accomplished as a by-product of
normal input and output operations. The com-
puter can also be useful in controlling access to
restricted or classified information.
mation retrieval area is still acute, and the only
significant relief available at present is to utilize
existing computer programs and operating sys-
tems developed and designed by others. The prob-
lem of developing low cost, on-line mass mem-
ories is the object of intensive research by many
computer manufacturers and others, and while
the results look promising, none are yet com-
monly available.
Three of the major limitations in using the
computer for information retrieval are (1)
high input costs; (2) shortage of systems analysts
and programmers having experience in informa-
tion retrieval systems; and (3) lack of low cost,
on-line computer mass memories. Solution to the
input problem depends on applying source data
automation (SDA) techniques, including captur-
ing data in machine language as a by-product of
other processing operations and using optical
character recognition (OCR) equipment for auto-
matic document reading and conversion to ma-
chine language.
The problem of the scarcity of experienced
systems analysts and programmers in the infor-
Notable progress has been made in computer-
user communications. While most systems still re-
quire the preparation of a punched card to gain
access to the computer and most of the output is
still in the form of printed forms and listings,
punched cards, or microfilm produced by COM
equipment, there are more and more systems that
permit direct communication between the user
and the computer.
These two-way communications are accom-
plished by means of remote terminals employing
teletypewriters, other types of typewriters, and
cathode ray tube (CRT) devices with keyboards
and light pens, as illustrated in figure 31. By
keying in the proper user identification code and
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 folTe i%vRdpFegFrg@hegWiaQOfdiOYI&Zrb di~6LRDP7mIf MooogV92'M3otgpect an increasing
ement to computer-
f
the computer, the user is able to obtain answers
to his questions or possibly update, edit, or delete
data in the computer store. With the addition of
the light pen, he is able to pinpoint numbers,
words, or phrases appearing on a CRT to make
searching easier and faster or to quickly instruct
the computer to delete, change, edit, or transfer
stored data. Data in the computer store can also
be used to produce charts and other graphics.
Significant refinements in computer programs,
which make communication with the computer
more like conversation, plus improvements in the
hardware and reduction in equipment costs, as-
sure that the remote terminal will eventually be-
come commonplace. Since the main use of the re-
mote terminal is to retrieve and manipulate data,
those who manage the agency's records and other
manag
demand on the part o
ize the agency's important data bases, particu-
larly those that are dynamic in nature.
Rather than describing computers in accord-
ance with their size, type, or operating character-
istics, this chapter describes them in terms of the
ways they are most often used for information
storage and retrieval.
Computer index searching systems are those used
to search index files where the indexing itself is
performed manually. Indexers, using a guide such
as a thesaurus of indexing terms, assign the index-
ing terms to the individual documents. The index-
ing terms are then usually coded, that is, con-
verted to a numerical representation, and along
with other pertinent data recorded in machine
A CRT TERMINAL WITH A LIGHT PEN
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g by means of a ey r device such as a searching can be ene cla in numerous
card punch, paper typewriter, or other encoding
device. The output of the machine language re-
cording device is made a part of the computer
As in the case of punched card systems, the
index file can be organized and arranged in either
of two ways-by document numbers or by index-
ing terms. If the index file is arranged by docu-
ment numbers, the file description of the docu-
ment may include the title, author, date, and a
list of indexing terms assigned to the document,
together with other bibliographic data and pos-
sibly an abstract or extract of the document. If
the index file is organized and arranged by index-
ing terms, only the number of each indexing term
and the numbers of all documents assigned that
term are shown on the main computer's index file
(inverted file arrangement). In systems arranged
by indexing terms, a separate auxiliary biblio-
graphic record similar to the main index record
for systems arranged by document numbers, is
often maintained on the computer.
When conducting a coordinate-type search in
those systems where the index file is organized
and arranged by document numbers, it is neces-
sary to make a serial search of the file, which
may necessitate the loading and unloading of sev-
eral reels of magnetic tape if the information is
stored on tape. Whenever a document satisfies
the search requirements, its complete description
is immediately available.
When conducting a search in those systems
where the main index file is organized and ar-
ranged by indexing terms (inverted file) the en-
tire index file, which is highly compact, can often
be quickly searched on-line. However, it is neces-
sary then to go to the auxiliary computer index
file or perhaps a separate manual index file or the
document itself, to obtain the description of the
document. Determination as to which file ar-
rangement is best is governed by such factors as
the index file size, the number and frequency of
searches, the type of equipment and machine pro-
gram used, the needs of the users, and the capa-
bility of the computer to conduct more than one
search at a time.
In addition to the general advantages of the
computer mentioned earlier, its use for index
other
ways. The computer can be used to provide statis-
tics on the frequency of use of indexing terms in
both indexing and searching and the frequency of
association between indexing terms-information
that will provide valuable clues in system modi-
fication and control. The computer can be used to
construct or prepare the index dictionary or
thesaurus of indexing terms and the various spe-
cial reference aids for indexers, searchers, and
users.
Computer automatic indexing and searching or
"full text" systems substitute the computer and
its programmed instructions for human effort, not
only in conducting searches but also in indexing
documents. The full title, the full text, and other
bibliographic data including an abstract, if any,
are converted to machine language for input to
the computer. Automatic indexing is based on the
general principle that the noncommon words in
the document are suitable indexing terms. In
order to make it possible for the computer to
choose the noncommon words, it is supplied with
a list ("stoplist") of such common words as "the"
and "of," which are not to be included in the in-
dex. In the input processing the computer com-
pares each word in the text against those con-
tained in the stoplist, and where they do not
match the word becomes an indexing term.
Typically, in deriving an index in this manner
each document, paragraph, sentence, line, and
word is automatically assigned a serial number
and the computer index file is arranged in con-
cordance fashion. Following each of the indexing
terms (the noncommon words), the serial number
is listed for each location where the term appears
in the text. In addition to the index, the complete
original text is also usually maintained in ma-
chine language.
Numerous techniques are used for conducting
computer searches of the full text index file. Typi-
cally they include the Boolean algebra or set
theory concepts employing the computer logic
operations of and (intersection), or (union), and
but not (negation), as illustrated in figure 32. Ad-
ditional techniques commonly employed include
specifying how many times the indexing term
must appear in a document (word frequency
counts) and the proximity of one indexing term to
another. Further refinements in searching may be
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 Approved For Release 2001
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Identification of all documents or things that have been indexed
with one particular term, for example: Term A-college education.
Logical sum: A + B + C - - - + Z
Identification of all documents or things which have been indexed
with one or more of certain indexing terms, for example: A-college
education; and/or B-speaks French; and/or C-speaks German; etc.
CONDUCTING
SUBJECT-TYPE
SEARCHES
BY COMPUTER
Logical product: A x B
Identification of all documents or things that have been indexed
with two or more terms in common, for example: A-college educa-
tion and B-speaks French.
Logical product of logical sums: (A + B) x (C + D)
Identification of all documents that have been indexed with one or
more of the terms in designated groups of terms, for example: When
using A-college education, B-speaks French, C-speaks German, and
D-cartographer, all documents or things identified with any of the
following combinations of terms would be retrieved: A and C;
A and D; B and C; B and D; A B, and C ; A, B, and D; B , A, C, and D; and, A B, C, and D.
Logical difference: (A - B)
Identification of all documents indexed with one or more terms but
not another, for example: Selection of all people with an A-college
education except those also indexed under term B-speaks French.
Sequence: A x B
Identification of all documents or things where two or more particu-
lar indexing terms appear in a particular sequence, for example:
A-blue (first) and C-steel (second).
Searches between barriers: (Barrier X (A x B) X Barrier)
Identification of all documents or things where the indexing terms
appear within a specified subunit, for example, A-railroad, and
B-rates in the same paragraph.
Greater than and leas than: >
Identification of documents or things that have been indexed with
numerical data, generally, which lies between specified limits,
for example, all people who were born between 1900 and 1910:
)1899 (1911.
achieved by placing special conditions on the
search, such as that the index term must follow
the phrase `in conclusion," or must appear in the
first sentence of a paragraph, and so on.
The United States Air Force Legal Informa-
tion Thru Electronics (LITE) system at Denver,
Colo., available for use by all Government agen-
cies, is a good example of the versatility of an
automatic indexing and searching system. The
LITE system includes the full text of all pub-
lished Decisions of the Comptroller General of the
United States; Armed Services Procurement Reg-
ulations; Air Force manual 75-34, Reporting of
Transportation Discrepancies in Shipments; and
some 30 other sets of documents. When request-
ing a search the user has three choices as to the
output: A list citing the documents found to be
pertinent to the search question; a three-line
KWIC listing from those parts of the document
text where the index term appears; or a complete
printout of the full text of the documents.
By using many of the same techniques as
those employed for automatic indexing and
searching, computers can also be programmed
for development of classification systems, auto-
matic classification of documents, and automatic
preparation of abstracts and extracts. However,
work in these areas is largely experimental.
Other forms of automatic indexing include tech-
niques employing statistical word counts and as-
sociation maps. Work has also been done in re-
fining automatic indexes by adding a thesaurus-
like computer record that is used to provide guid-
ance and assistance in either the indexing or
searching process.
No system for indexing textual material by
subject is without its faults. All things considered,
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d
a w esigne and properly operated computer
indexing and searching system can be expected to
perform about as well as those information re-
trieval systems where the indexing is done manu-
ally.
The major limitations of automatic indexing,
searching, and preparing abstracts or extracts are
the cost and the high degree of expertise required
to design and operate such systems. However, the
cost factor will become less critical as more and
more offices move toward integrated information
processing and retrieval systems that ultimately
may include such features as computer-assisted
document preparation and revision, computerized
editing and preparation of the table of contents
and index, and computerized printing. A copy of
the same computer magnetic tape that goes to the
Government Printing Office for use in automatic
photocomposition and printing or is used to pro-
duce microform copy by COM equipment will
also serve as input to the automatic indexing sys-
tem, thereby eliminating one major cost-that of
conversion of the information retrieval system in-
put to machine language. These integrated infor-
mation processing systems have one advantage
that for many organizations may be far more im-
portant than the possible savings in cost-namely,
the reduction in the period that elapses between
the time an important event occurs, a fact is dis-
covered, or a decision rendered, and the time the
information is in the hands of those for whom it is
destined or who may be searching for it.
Those persons interested in learning more on
the subject should read NBS Monograph 91,
Automatic Indexing: A State-of-the-Art Report,
reissued February 1970 by the National Bureau of
Standards (NBS) U.S. Department of Com-
merce.
Selective dissemination of information (SDI)
systems are those that employ the computer or
punched cards to provide individual users or user
groups with tailormade announcements of new
documents in their individual spheres of interest.
The user's interest profile may be developed by
having him look over the thesaurus of indexing
terms and select those terms that reflect his areas
of interest. The results are then recorded on a
magnetic tape. Each time a new document is in-
dexed, the indexing terms assigned the document
or appearing in the abstract are compared with
those stored on the user profile magnetic tape. In
those instances where the requirements for a
match are satisfied, the user is sent an announce-
ment of the document, including its abstract, if
any. Figure 33 illustrates an article announce-
ment (abstract) card and a card used by the re-
cipient to respond to the SDI system operators.
Note that there are blocks on the recipient's re-
sponse forms for him to use in indicating whether
or not he wants to see the document and if not,
why not, thereby providing the system operators
with the necessary feedback.
An interesting variation of the SDI technique
is to develop interest profiles for major projects
or programs, instead of for people, and to use the
computer to keep the project director informed of
any new documents on the subject.
While the costs for SDI systems are appreci-
able, the costs may not be considered unreason-
able from management's point of view, particu-
larly in the areas of scientific and technical
research and development. However, scientists
and engineers are not the only professionals hav-
ing problems in wading through the tremendous
volume of new documents made available to
them, while at the same time trying to make sure
they have not missed any documents that could
have a major impact on their work.
The trend toward using group interest profiles
rather than the profiles of individual users is re-
sulting in less expensive and many times more
practical SDI systems. SDI systems are especially
valuable in providing the user with "peripheral
vision" of information of direct interest to him,
but which might be overlooked without the bene-
fit of an SDI service.
Computer data storage and retrieval systems,
sometimes referred to as data banks, are those
used to store, retrieve, and manipulate large vol-
umes of data (facts, numbers, letters, and sym-
bols representing basic elements of information
that can be processed or produced). Data bases
may be either of two types or perhaps a mixture
of the two : (1) recurrent or dynamic data, which
is subject to change, and (2) noncurrent or static
(archival) data relating to a unique event or rep-
resenting an unchanging situation. The data base
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 Approved For ReleaS Wl/ 7tfI: i OOH G-9
5473
RESNICK A
RELATIVE EFFECTIVENESS OF DOCUMENT TITLES AND ABSTRACTS FOR
DETERMINING RELEVANCE OF DOCUMENTS
IBM ASDD YORKTOWN HGTS NY, 17-033, OCT 1961
INDIVIDUALS WHO, RECEIVED DOCUMENTS THROUGH A SELECTIVE
DISSEMINATION OF INFORMATION SYSTEM WERE ASKED TO DETERMINE
THE RELEVANCE OF DOCUMENTS TO THEIR WORK INTERESTS ON THE
BASIS OF TITLES AND OF ABSTRACTS. THE RESULTS INDICATE THAT
THERE WAS NO SIGNIFICANT DIFFERENCE BETWEEN THE USEFULNESS
OF TITLES AND OF ABSTRACTS FOR THIS PURPOSE. 2 PAGES
1
1. Read the Abstract
2. Punch the Appropriate Bfx
3. If )you care to comr4nt
punch the comment box
and write your comment
on tkis card
1 1
4. Return tiffs card to SDI
Of Interest Document Not Wanted.)
Of Interest, Have Copy .................... I
Of Interest, Document Requested .
Recipient's Response Card
Figure 33
may be specially created for information retrieval
purposes, as in the case of weather data, or it may
be used to serve multiple purposes. For example,
census data is used for developing statistics and
preparing reports as well as for information re-
trieval.
The social security and Federal income tax
data bases are used mainly for automatic data
processing purposes and only secondarily for in-
formation retrieval. Computerized management
information systems also serve two purposes-to
automatically produce reports and other com-
munications and for information retrieval. It is
the exception rather than the rule that a data
bank is created and used solely for information
retrieval. However, unless careful attention is
given to the information retrieval needs in the
planning and design of these multipurpose com-
puter systems, there may be serious limitations or
problems when later attempts are made to use
the system for retrieving information.
For example some of the earlier ADP systems,
in attempting to keep the machine record as short
as possible, omitted such important data as the
names of the individuals whose records were be-
ing maintained in the computer. Others were de-
signed in such a way that individual items of
data could not be selectively retrieved because the
data was merely printed out in long lines without
column headings. Sometimes the data was ex-
pressed in coded form, making it necessary for
the user to refer to a special table to interpret the
printout. Another problem, which is particularly
critical at this time, is the lack of standardization
or compatibility in data elements, thus making it
difficult and sometimes impossible to exchange,
compare, or.combine data maintained in separate
systems but relating to the same people, places, or
things.
Unlike computer index searching systems and
computer automatic indexing and searching sys-
tems, computer data storage and retrieval sys-
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 tem~euedf mrzRberg.(} t01i i:eG A-R[ P 4 a"d$OOS2063D1ose of identify-
less variety of ways. Generally, the method used ing those which at some future date will or should
initially for organizing and arranging the data be converted to a computerized data base and
prior to conversion to a computerized system is then work with management in developing an
also the method selected for the new system. orderly schedule for the conversion.
Thus, computerized census records are organized
and arranged on a geographical basis much as
they were before the advent of the computer. Per-
sonnel data banks are usually organized by the
name or identification number of individual em-
ployees or job applicants. However, the computer
offers one distinct advantage not normally pos-
sible or practical in. conventional systems-the
capability of organizing and arranging the same
data in a variety of other ways. For example, per-
sonnel data can, in addition to the basic arrange-
ment, be organized on the basis of organizational
assignment, position classification series, years of
service, etc., for direct searching or preparation
of special listings.
Case files (files organized by the names or
identifying numbers of people, places, or things)
represent approximately 85 percent of the folder-
ized records of the Federal Government. These
files contain a wealth of data, but when stored in
conventional systems the data is buried so deep
in the file that it receives only limited use. By
converting the data in these files to computerized
systems, it becomes possible to readily select, ex-
tract, compare, and manipulate the data in an
endless variety of ways to meet day-to-day oper-
ational requirements, to provide statistical data
for management decisions, and to satisfy unpre-
dictable needs of the future.
The only serious disadvantage of computer
data storage and retrieval systems at present is
their cost. However, the cost picture is gradually
changing due to reduction in computer input costs
through the application of SDA techniques;
larger and cheaper computer data storage de-
vices; faster processing speeds; and faster, less
costly methods and equipment for retrieving and
producing the system output.
Tomorrow's records manager will more than
likely discover that most of the data needed to
satisfy his clientele will be available via the com-
puter and that his conventional files will serve
mainly as depositories for selected original docu-
ments having legal or archival value. Today's
records managers should therefore survey every
Other Machine Indexing and
Retrieval Systems
While most of the microform equipment de-
scribed in chapter III is designed primarily for
storage of documents or data in miniaturized
form, some also have the capability to conduct
logic-type searches. These are as follows:
Motorized (mechanized) Roll Microfilm with
Photo-optical Binary Code. Although re-
trieval speeds with this type of equipment are not
nearly so fast as those that are possible with a
computer, they permit the user to automatically
retrieve information. The information is dis-
played in page size, usually on a viewing screen,
or reproduced on a film or paper copy. However,
data on the film cannot be moved from one loca-
tion to another, nor rearranged or changed. (For
further information, see chapter III.)
Microfilm Chip, Automated. This equipment
has about the same capabilities as the system de-
scribed immediately above. The use of the chips,
however, does make it possible to insert and delete
individual pages. (For further information, see
chapter III.)
Aperture Card. (EAM punched card-micro-
film). Systems of this type make it possible to
mechanically sort, select, display, and copy
printed or graphic information appearing on the
film images displayed on the cards. However, as
in the case of microfilm chip automated systems,
the equipment is not well suited to personal
searching by individual users. (For further infor-
mation, see chapter III.)
Microform-Computer Combinations. Var-
ious types of microform equipment can be linked
either directly or indirectly to a computer so that
the computer can be used to conduct the searches
and the microform device used to store and dis-
play the information or documents the user is
seeking. (For further information, see chapter
III.)
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VI. HOW. TO DECIDE IF A NEW SYSTEM
IS NEEDED
The Preliminary Survey
This handbook gives considerable attention to
finding the best system for storing and retrieving
information. There will always be situations
where the best system is the same system used in
the past. Other situations will warrant the use of
modern information retrieval methods and equip-
ment.
For further clarification of the wide potential,
consider any of the following situations:
Case-type records used to correlate or com-
pare data relating to individual persons,
places, or things, for such purposes as per-
sonnel selection and placement, selection of
contractors for bidding, selection of equip-
ment, and conducting special analyses.
Sometimes information retrieval studies are
pursued for weeks or months, or a new system is
installed, only to discover that a conventional
system is all that is needed. The first question,
therefore, that needs to be answered-and rather
quickly-is "When do I use the old and when do I
use the new?" This chapter describes a step-by-
step procedure for making a preliminary survey
to answer that question. It will help in deciding
when conventional methods should be used and
when it is worthwhile to spend the time and effort
to make a detailed study of the possibilities of
modern information retrieval methods and equip-
ment.
Where to Look
The preliminary survey should not be limited to
the major files, the library, or collections of refer-
ence materials. Rather, you should look anywhere
there is a collection of information stashed away,
regardless of the form in which it is stored. In this
handbook, these files or other collections are re-
ferred to as "information facilities." Certainly, the
size and frequency of use of the information facil-
ity are considerations, but they are less likely to
rule out any system than they are to affect the
type of system needed when weighed on the cost-
benefits scale. Small units can sometimes justify
relatively inexpensive and yet modern informa-
tion retrieval systems. This is particularly true
where there are many small information facilities
containing information all or a substantial por-
tion of which is the same.
Case-type records used for looking up and
extracting discrete data such as names, ad-
dresses, amounts, dates, and other data
needed for such purposes as answering cor-
respondence, processing applications, and
preparing reports.
Subject files and indexes relating to written
text and used for obtaining any information
that might aid in handling a current task or
problem in connection with such activities as
legal work, research, preparation of instruc-
tions, and management planning.
Reference collections containing such items
as publications, technical reports, procedural
manuals, directories, catalogs, and statistics
used in day-to-day operations or research.
Files of graphic or pictorial material such as
maps, photographs, slides, and engineering or
architectural drawings in situations where
the users are trying to find items having set
characteristics or attributes.
Examining User Needs
Looking at all information facilities, of whatever
description, is a practical and solid starting point.
It is, however, at least equally important to ex-
amine the needs of the people who use the infor-
mation.
Why is it important to look at both the infor-
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