DATA AUTOMATION PROGRAM RECORDS - GENERAL RECORDS SCHEDULE NO. 20

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100010007-6
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 33
• Document Creation Date: December 9, 2016
• Document Release Date: May 4, 2001
• Sequence Number: 7
• Publication Date: April 28, 1972
• Content Type: REGULATION

Approved For Release 2001/08/30 : CIA-RDP74-00005R000100010007-6
FPMR 101-11.4
April 28, 1972
DATA AUTOMATION PROGRAM RECORDS - GENERAL RECORDS SCHEDULE NO. 20
Introduction
This schedule covers machine readable records, related documentation re-
quired for their servicing, and files related to the automatic data proces-
sing (ADP) procurement, operations, and management functions.
The decision table format, rather than the columnar format, is used for two
reasons: 1) footnote requirements are greatly reduced with this format as
compared to the columnar format of the first 19 schedules, and 2) the
number of times a given file of logical records has been processed is often
more important than the name assigned to it. For example, in an update
system, the last created version of an interim master file becomes a final
master file after the sponsor declares it error free. The only difference
between it and its predecessors is the version number. There may be many
versions of a given file created during the course of a processing cycle.
Failure to promptly return unneeded tapes to the inventory will lead to ex-
cessive requirements for tape. For this reason it is imperative that the
creator of machine readable records assign file retention times at the out-
set--that is to say, at the time of the original system design effort.
The principal machine readable and supporting records common to more than
one agency have been divided into four categories. These classes of records
correspond roughly to the typical organizational and functional structure
found in most ADP installations and their parent organizations.
Data automation planning and operational records (part I) are normally
those created during the life cycle of individual computer installations.
They deal with planning for, managing, procuring, selecting, utilizing, and
accounting for the physical facility investment of the ADP installation and
supporting activities.
Documentation required for servicing machine readable records (part II) is
defined as the organized series of descriptive documents required to initi-
ate, develop, operate, and maintain specific applications of ADP systems.
These include project documentation, system specifications, test data and
procedures, file and user documentation, and the various installation pro-
cedures and standards used.in daily operations.
Erasable media (part III) covers all devices which store machine readable
records in an erasable mode. At present, only magnetic media are commonly
used for such purposes. However, future technological developments may pro-
vide the same characteristics (nonvolatility and easy reusability) now
found on magnetic tape.
1
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FPMR 101-11.4
April 28, 1972
Since magnetic records may be destroyed by overwriting, a variety of pro-
tective devices and techniques have been developed over the years to pre-
clude inadvertant erasure of records. The earliest technique, still in
use, consists of a mechanical interlock device known as a "write protec-
tion ring," inserted or left out of a reel of tape. With the later de-
velopment of computer-manufacturer-supplied "operating systems," an addi-
tional safeguard was inserted into the software. It consists of writing
file identification and expiration dates on a label record at the begin-
ning of each reel of tape. Other magnetic media, such as disks, depend
almost solely on such software devices.
Nonerasable media (part IV) covers such media
tape. Most ADP installations use media other
of roles and functions, but for the most part
punched cards are sometimes used as documents
bonds, and requisition forms. In such cases,
period, developed in other records schedules,
as punched cards and paper
than magnetic for a variety
they are temporary. However;
such as checks, savings
the functional retention
will apply.
Procedural analysis of data processing systems (part V) is a guide for
archivists, records officers, an au i ors in determining secondary uses
for data files. Unlike paper, computers create more working copies, which,
should be erased promptly. But the secondary value, such as furnishing
data for audit trails and statistical analysis must be recognized when ap
praising machine readable records. Many systems, in becoming more automa
ted upon procurement of newer ADP equipment, drop certain manual controls.'
Since many systems are dynamic, they change due to corresponding changes
in legislation and other factors. Thus, nonoperational programs may have
to be kept for site-audit records.
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Part I. Data Automation Planning and Operational Records
g
em
y
s u" an operational
u" orting systems, includin e ui sent selection and statistics.
File - f
Planning
documents
Program
management
Hardware
selection
Standardi-
zation
a t
au omation data needs
and systems design of management supportin
s
st
d
Covering documentation relating to objectives, concepts, policies,
and plans providing overall aspects of dat
Consisting of Which are
master plan, feasibility
studies with associated
charts and diagrams, and
supporting data that re-
flect on the characteris-
tics of the data auto-
mation activity
development of plans,
policy, and procedures
governing the conversion
to electrical machine
operations and the super-
vision, control, coordina-
tion, and operation of the
mechanization program
agency requirements,
specifications for hardware
software, and support
capabilities of vendors
of complete installations
or of major peripheral
data elements and codes,
standardization requests,
and justification for all
data systems
Utilizatioal forms or cards that
and equipment operators
maintenance complete relative to
machine use, nonuse,
or maintenance
daily detail cards,
intermediate summary
clocks, related magnetic
files, and machine
listings
ability
monthly sunnary of cost
and utilization reports
documents concerning the
management of ADPE
equipment
requirements for cards,
paper and magnetic tape
reels, and inventory of
ADPC supplies
other standards; e.g.,
developed by agency
used for daily
management of
operations
FPMR 101-11.4
April 28, 1972
disposal not authorized
by this schedule.
disposal not authorized
by this schedule.
dispose of 2 years after
specific configuration
of equipment is
discontinued.
dispose of when super-
seded or obsolete.
disposal not authorized
by this schedule.
dispose of after 3
years.
dispose of after 90 days,
card decks, magnetic
dispose
of
after 3
tape files, and
years.
machine listings
original records
dispose
of
2
ea
f
m
i
t
i
d
y
rs
a
ter
a
n
a
ne
at data-
the date
equipment
is
processing
instal. Iation
discontinued.
dispose of
after 1 year.
graphic, narrative,
and tabular informa-
tion relating to the
present and/or planned
ADP composition and
requirements of the
data automation
activity
maintained at policy
determination level
selection criteria
for procurements in
the establishment or
modification of an
ADP installation
promulgated Federal
or national (except
record copies at
National Bureau of
3
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FP"AR 101-11.4
April 28, 1972
Part . Data Automation Planning and Operational Records
File
desienation
Consistin of
which are
Then
I
contractor's invoices for rental
dispose of after 3 years
and other charges incurred for
use of ADPE
12
Magnetic
library transaction records
cards docks and magnetic
dispose
fourth update he the
cycle is
tape
tape files
fourtd .
library
control
records
machine listings
dispose of. after 90 days
13
transaction slips
dispose of after 90 days
14
or when no ion er needed
4
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FPMR 101-11.4
April 28, 1972
Item 13. Machine listings of library transactions are often produced daily.
Quite often the transaction listings provide audit trails of the last re-
cording made on a specific reel and may be useful in retrieving a lost file
or in determining how a file may have been inadvertently scratched. Ac-
cordingly, some installations keep some copies of these listings for as long
as 1 year.
Item 14. Transaction slips for military-classified or other sensitive
records have longer retention periods. These retention periods are gener-
ally specified as a matter of agency policy or regulation.
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FPDIR 101-11.4
April 28, 1972
Documentation covering the organized series of descriptive documents relating
to all aspects of system development and operation: These include system
planning documents, ADP systems specifications, application program manuals,
systems operating instructions, and various management aids.
designation
consisting of
Which are
Then
1
Specific data
documents containing defi-
at departmental level
disposal not authorized
systems planning
nition of the system in-
headquarters
by this schedule.
records
cluding the system
review after 5 years.
objectives, request for
the system, authorizing
directives, source data,
_--_---__---------.-----
detailed studies re-
flecting advantages and
disadvantages of alter-
2
nate solutions, equipment
supplementary files
dispose of 5 years
requirements, tangible
at ADP unit level
after final action.
benefits, output re-
quirements, and schedule
for completion
3
System test
system test specifica-
an approved system
dispose of 1 year after
documentation
tions, test runs,
discontinuance of the
machine listings of
system.
test data, and test
results
4
a disapproved
dispose of 1 year after
proposed system
final action.
5
Systems design
documents containing
for systems for
dispose of at time final
specifications
operating procedures
which related
magnetic tape records
for implementation
magnetic tape data
produced by system have
of a specific data
is authorized for
been blanked.
system, including
blanking
policies, instructions,
details of computer
technique, logic
--
charts, and input/
output document
flow data
6
for systems for which
retain with the related
the related magnetic
magnetic tape.
tape data is not
authorized for blanking
7
Files(s)
narrative description
for systems for which
dispose of at time
specifications
of the source and func-
the related magnetic tape
final magnetic tape
tional characteris-
data is authorized for
records produced by
tics of the file(s),
blanking
system have been
a definition of the
blanked.
8
content of each
for systems for which
retain with the related
record in terms of
the related magnetic
magnetic tape.
the relative position
tape data is not
name, length, and type
authorized for blanking
of each data element
in a field (run layout)
explanation of the
coding system and a
cross reference code
manual of every code used
together with all their
values
6
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FPMR 101-11.4
April 28, 1972
Pile designation
Consisting of
Which are Then
9
Input
specifications
detailed description of
for systems for which the
dispose of at time
each transaction that
related magnetic tape
final magnetic
generated some activity
data is authorized for
tape records pro-
in the system in the form
blanking
duced by system
they appear at the time
have been
they enter the computer
scratched.
system; identification
title, recording media,
purpose, frequency, volume,
and source; detailed de-
scription of the contents
of each input to the basic
---._.___-._----_--,
-__._-_----_-_-
record file and a graphic
{
illustration of each
0
for systems for which
retain with the re
the related magnetic
lated magnetic
tape data is not
tape.
authorized for blanking
F
1l Output detailed descriptions
a listing of the outputs
dispose of on ter-
(report forms) of products of the
by sequence, name, media,
mination of system
specifications system that are to be
purpose, frequency,
by either obsoles-
used outside the computer
volume and distribution;
cence, update, or
center
a detailed record de-
discontinuance.
scription; and samples of
output in the form of lay-
outs or copies, keyed to
names and. numbers in the
output listine,
s
2 Application documents reflecting
.
a description of input,
dispose of on ter-
program manual the latest information
files, and output; source
mination of system
for a general descrip-
and object code listings
by either obsoles-
tion of the function,
and flow diagrams showing
cence, update, or
use, and methodology
the logic of the program;
discontinuance.
of the program
description of program out-
put messages; and coding in
formation, test plan,
program test, and operating
instructions
3 User guides information used in
handbooks, guides to data
retain with system
training or explain-
availability, and proce-
specification.
ing overall system
dures for querying files
4 System operating'
procedures user oriented instruc-
for systems for which the
dispose of at the
tions. 1) to prepare
related magnetic tape
time magnetic tape
input data, 2) for
data is authorized for
reels are
control and interpre-
disposition
scratched.
tation of output
reports, and 3) for
processing work on
the computer
75
for systems that require
retain with file
retention of related
(systems) specifi-
magnetic tape data
cations.
7
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FPMR 101-11.4
April 28, 1972
File designation
Consisting of
Which are
Then
16
Report
printed final report containing
for systems which
retain one copy
the statistical tabulation and
require retention
of the printed
an analysis of the findings of
of related magnetic
report with re-
a study or survey including a
tape data
lated file speci-
narrative description of
fications.
methodology employed
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 Approved For Release 2001/08/30 : CIA-RDP74-00005R000100010007-6
FPMR 101-11.4
April 28, 1972
Part III. Erasable Media
The term erasable media refers to tape (analog, digital), drums, disks,
disk packs, data cells, and other devices that store data in an erasable
mode. The term "dispose of" in column 4 is synonomous with the terms
"scratch," "erase," and "blank."
File designation
Consisting of
Which are
Then
1
Scratch tape
temporary magnetic tape used by
' new tape or tape not
available for im-
(blank tape)
the console operators or tape
included in a tape
mediate use or
handlers to facilitate general
library control or
reuse.
computer runs such as sort and
, files whose reten-
merge runs
tion dates have
expired
2
Test tape
magnetic tape used in testing
used by programmer for
dispose of after
a proposed system
individual, run test-
system has been
ing and not under
accepted or discon-
library control
inued, whichever is
ooner.
3
system debugging test
retain until re-
data
lated program is
discontinued.
4
system acceptance test
data
S
Program tape
or disk pack
tapes (disk packs) contain-
ing sequence of instructions
updated
ispose of after
hird update cycle.
required to accomplish the
processing of data or solving
a problem
6
the last update of
dispose of after
specific EDP application
agency has ex-
used in a terminated
hausted its use of
system
the tape.
7
require in auudit trail
dispose of in ac-
cordance with func-
tional guidelines
provided -by GAO.
8
Raw data input
magnetic tapes containing
used for updating with
dispose of first
data abstracted from source
existing program and
generation data
documents or other media
required to support
upon successful
and entered into the system
for the first time
reconstruction of
master file
completion of
fourth processing
machine pass.
9
not required to support
i P of after
reconstruction of
raw data is pro-
master file and/or
cessed into final
used as input for a one-
data and proved
time study or survey
satisfactory.'
10
officially designated
dispose of in ac-
to replace or serve as
cordance with in-
the basic source data
structions appli-
in lieu of the "hard
cable to the "hard
copy" or other input
copy" or other
source document
files documenting
the same process,
transaction, or
j
case.
9
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FPMR 101-11.4
April 28, 1972
11
Working tape
(input/output)
magnetic tape containing
used in an updated
dispose of after
output or control within or
system
subsequent magnetic
from one run to a subsequent
tapes that contain
run that manipulates, sorts
the accepted detail
and/or moves data through
data have been
the systems; includes check-
created and proved
point, edit, correction,
satisfactory.
unmatched data
t li
t
-- -
12
s
,
rejec
eliminating error, and rerun
used in a one-time
dispose of after
tapes
study or survey
master data tape has
been proved to
be satisfactory.
13
Valid transaction
magnetic tapes containing
partially valid trans-
dispose of after
valid file of items used
action after all out-
third update cycle.
with a master data tape
standing items are
input file for creation
liquidated from
of master data tape output
current status tapes
file
14
valid transaction
dispose of after
after cumulative
third update cycle.
final master tape
is prepared and
determined to be success-
ful, and there is no
necessity for statis-
tical analysis
15
used in additional
disposal not author-
statistical analysis
ized by this
schedule.
16
Information
magnetic media contain-
a cumulative index to
dispose of after
retrieval
ing data created by the
scientific and tech-
third update cycle.
system master
merging of prior master
nical publications,
reference
file with valid trans-
and bibliographic and
action data to create a
other nonrecord material
new master file (includ-
ing the security copy
17
tape of data on disk
an index to record
disposal not author-
packs)
material such as cor-
'zed by this schedule.
respondence, legal
hearings and decisions,
patents and trademarks,
and record copy of pub-
lications
18
Federal loan
magnetic media containing
cumulative data of funds
dispose of after
and grant
data created by the merging
made available through
third update cycle.
program master
of prior master file with
federally supported
file
valid transaction data to
loan and grant programs
create a new master file
19
(initial data includes
noncumulative periodic
disposal not author-
excerpts from forms placed
file of status of
ized by this
in case files)
Federal loan and grant
schedule.
activity
10
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FPMR 101-11.4
April 28, 1972
File
designation
Consisting of
Which are
Then
20
"Housekeeping
magnetic media con- not required for GAO site audit
dispose of in
systems"
taining data for such
accordance with
master data
"housekeeping systems"
instructions
file
as fiscal account-
applicable to
ability, supply man-
the hard copy or
agement, and payroll
other files doc-
administration
umenting the
same process,
transaction, or
case.
21
(required for GAO site audit
dispose of in
accordance with
functional guide-
lines provided
by GAO.
22
Economic
magnetic media con-
cumulative data such as status of banks
statistics
taining data created
and insurance institutions; production,
master file
by the merging of
consumption, and monetary status of
prior master file with
industry and agriculture; value of
valid transaction
foreign commerce and other economic in-
data to create a new
dicators such as construction of houses
master file
and buildings; motor, rail, and air
(travel; communications, including broad-
casting, telephone, and telegraph
-------------
23
noncumulative data use to prepare
disposal not
reports covering a limited period of
authorized by
time
this schedule.
24
noncumulative recurring periodic surveys
disposal not
including wholesale and consumer price
authorized by
indexes, annual industry, housing
this schedule.
vacancy, and other economic indicators
25
noncumulative economic census taken
disposal not
during 5-year intervals
authorized by
this schedule.
26
Social
magnetic media con-
cumulative social and demographic data
statistics
taining data created
concerning births, deaths, and marriages;
dispose of after
master file
by the merging of
income taxes paid; social security
third update
prior master file with
accounts; employment information; law
cycle.
valid transaction data
enforcement, crime and civil disturbance,
to create a new
and other social indicators
master file
27
noncumulative data. used to prepare
disposal not
reports covering a limited period of
authorized by
time
this schedule.
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FPMR 101-11.4
April 28, 1972
:File designation
Consisting of
Which are
Then
28i
noncumulative recurring
disposal not author
periodic surveys including
ized by this
current population statis-
schedule.
tics, annual industry,
housing vacancy, voter
participation, and statis-
tics of income sample
291
noncumulative demographic
disposal not author
censuses
ized by this
schedule.
30Natural resources
continuously updated
cumulative data on charac-
dispose of after
master file
magnetic media con-
teristics, use, and owner-
third update cycle.
taining data created
ship of natural resources
by the merging of prior
such as land, water,
master file with valid
minerals, and timber
transaction data to
create a new master file
31
noncumulative data used to
disposal not author
prepare reports covering
ized by this
a limited period of time
schedule.
32 Longitudinal
magnetic tape contain-
a series of observations
disposal not author
'studies master
ing data recorded over
relating to individual
ized by this
data file
time from one or more
units (persons, places,
schedule.
sources
things)
33 Scientific
magnetic media source
dispose of after
data files
data recordings received
converted to raw data
meaningful data
from experimental sensor
digital magnetic tape
has been analyzed.
instruments for scien-
media
tific measurements such
as outer space orbiting
spacecraft, oceanograp-
hic and geophysical
phenomena, and medical
research (including
analog tape)
34
of converted or converted
dispose of after de-
nly in part to raw data
termination has been
digital magnetic tape media
made that the data
will not be conver-
ted to raw data
digital magnetic
tae media.
35
magnetic media containing
data created either from
held in national data
centers
disposal not author-
izedby this schedul
analog magnetic tape or
36
recorded directly on mag-
not duplicated in
disposal not author-
netic digital tape for
national data centers
-
-
izedbythis schedule
scientific measurements
-
37
of astronomic, outer
duplicated in national
dispose of after de-
space, and oceanographic
data centers
termination is made
phenomena; air and water
that data is not re-,
quality; and medical
quired outside the
research measurements
data centers.
12
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FPMR 101-11.4
April 28, 1972
-File
---_`r__
!
designation
Consisting of Which are
Then
38
not calibrated or validated
dispose of after
subsequent magnetic
tapes containing
the accepted data
have been created
and proved
satisfactory.
39
Summary data
magnetic tape containing
substantially unpublished,
disposal not auth-
file
aggregates of individual
such as tapes containing
orized by this
observations from valid
data that are disclosure
schedule.
transaction or master
free
data files that are
disaggregates of
published data
40
Publication
magnetic tape containing
reproduced and disseminated
record copy not
tape
source output data ex-
as a publication or used for
authorized for
tracted from the system
reproducing a printed
disposal by this
(without destroying the
publication
schedule.
source tapes)
41
Print tape
used for producing required
dispose of after
printouts of tabulations,
output has been
ledgers, tables, registers,
released and
and reports
approved.
42
Re.-formated
magnetic tape containing
created for the specific
dispose of as pro-
data file
essentially duplicate
purpose of information
vided for master
data from the master
interchange
-- -
" -
data tape.
data file but which is
-"
-
43
created for use with
of specific application
dispose of when de-
other computer hardware
for agency computer
termination is made
systems
hardware systems
that such format is
unnecessary.
44
Sample and
magnetic tape contain-
disclosure free or useful
disposal not auth-
subsample
ing individual observa-
in statistical analysis
orized by this
data files
tions selected from a
or policy formulation
schedule.
larger census or survey
models and simulation studies
file such as stratified
or pure random sample
files with or without
weighting factors
45
Security
backup file
magnetic tape that is
updated
dispose of after
identical in format to
third update cycle.
master tape retained as
---------
46
security in case master
a one-time study or survey
dispose of or retai
tape is damaged or inad
in accordance with
vertently erased
tandards for
standards
scratching of cor-
respondence master
file.
Other agency
magnetic tape created
not altered substantially
dispose of when no
files
by other agencies
by the receiving agency
longer needed.
n
13
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 Approved For Release 2001/08/30 : CIA-RDP74-00005R000100010007-6
FPMR 101-11.4
April 28, 1972
Items 3 and 4. This type of data is differentiated from simple debugging
test data in that the data set is used to exercise all possible data
system options within the complete set of programs. System debugging test
data means data used to debug individual programs or groups of programs
prior to final acceptance testing. It must be retained until the related
program is discontinued.
Acceptance test data may also be a contractually defined specification or
item in software systems being procured and it or a listing of it may have
to be kept with the contract file. For details in this case, see General
Records Schedule 3, item 4.
In other cases, particularly in systems where accounting for funds is in-
volved, it may be required that the files be kept until a particular ver-
sion of a system has been audited and approved by the General Accounting
Office. Retention periods in this case will be in accordance with the spe-
cific functional file in one of the other general records schedules. This
means that specific acceptance test data sets might have to be kept for
the life of the particular version of a software system or until all
records produced under that system have been disposed of.
Item 7. Just as the acceptance test data may need to be kept beyond its
useful life for auditing purposes, programs which processed that data may
also be kept for audit purposes beyond the operational life of the partic-
l
u
ar system. Disk packs are
and there is usually a backup
these cases, the tape copy of
mentation may be used in lieu
object versions of the system
Items 16, 18, 22, 26, and 30.
deleted in the present pass.
relatively expensive for long-term storage
copy of the system on magnetic tape. In
the program together with all relevant docu-
of the disk pack version. Either source or
may be used for this purpose.
"Cumulative date" implies no earlier data is
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readable media.
re
File designation
Consisting of
Which are
Then
1
ADP program
punched cards containing
processed with a processor
dispose of indivi-
card files
common language source
or utility program to
hine-coded
dual cards when re-
placed by new ones,
program data (source
deck)
produce a mac
object program
dispose of program
deck after program
has been removed
from system.
See note in part
III, item 4.
2
machine-punched cards
read into computer
dispose of after
containing coded machine
memory before running
successful com-
language instructions
a program to cause the
pletion of a pro-
arranged in proper
computer to perform
gram revision or
d
l
t
sequence (object deck)
data-processing
e
a
after re
m has been
functions
progra
removed from
system. See note,
part III, item 7.
3
prepunched utility or
used to update instal-
dispose of after
processor program card
lation systems software
receipt and suc-
decks
cessful use of new
cards from the
manufacturer or
programmer, or 1
year after discon-
tinuance of pro-
gram or system.
4
job stream (job stack,
used to activate
dispose of individu
job control) card decks
program-processing
al cards or sets of
modules performing
cards when replaced
a data-processing job
by new cards and
when necessary
changes (if any)
have been made to
appropriate data-
processing manual.
Nonerasable media refers to ADP punched cards,
paper tape, and other nonerasable, machine
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File designation
Consisting of Whi
h
c
are
Then
ADP program
control cards
punched cards containing pertinent to a specific
data for
dispose of individual
program control run or cycle
generated by the producer
cards or setsof cards
or user
when replaced by new
cards and when neces-
sary changes (if any)
have been made to
appropriate data-
processing manual.
for repetitive use and
dispose of individual
updated either by ADP
cards after replace-
or user
ment by new cards;
destroy control deck
1 year after program
has been removed from
system, or after
system has been dis-
continued.
7
ADP source
data cards
punched cards or paper
retained by ADP
dispose of when re-
(or paper
tape containing data
abstracted from
operational elements
lated magnetic c file
le
tape as
source
documents and used fo
as backup to magnetic
has been proven to be
applicable)
r
conversion to magnetic tape
tae or disk
p
satisfactory and has
or processing on (EAM)
grandfather backup.
electric accounting
machine equipment
created after
January 1, 1970
8
EAM output listings
dispose of after 180
and reports
days if used in pro-
cessing without being
converted to magnetic
tae.
9
on magnetic tape
dispose of after veri-
fication of data on
related magnetic tape.
10
punched cards that
source documents
da
cese of in
accor-
contain original entry
data with film
n
t
ruc
dace with instruc-
or
written inserts
tions applicable to
the hard copy or otheri
files documenting the
same process, trans-
action, or case.
16
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Items 5 and 6. These items refer to parameter cards associated with the
execution of various options of operational programs. These include date
cards, periodic (monthly or quarterly) options executed only occasionally,
and queries to information retrieval systems. They do not include card
decks for generalized interpreter systems used with computer simulation
software packages such as SIMSCRIPT, GPSS, DYNAMO, and similar systems.
These decks have the status of program source decks. Similarly, all except
report generation decks in file management systems are considered to be
source program decks and should be retained or destroyed in accordance with
the criteria of items 5-7 of part III.
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Part V. Procedural Analysis of Data Processing Systems--Guidelines for
Appraising Files and Data Sets for Permanent Retention
This section is a guide to ADP systems analysts, records officers, and
archivists for determining the nature of data files (also called data sets)
generated by computers. Factors that influence the selection of specific
data files for permanent retention in machine readable form (chiefly on
magnetic tape) are indicated and explained here.
In examining a variety of documentation files for different ADP systems,
substantial differences were found in the use of technical terms among
agencies, and in some cases, within agencies. These differences are being
resolved by several vocabulary standardization groups, among them Federal
Information Processing (FIP) task group 5 and its successors and the
American National Standards Institute (ANSI) X.3.5 committee on vocabulary.
However, the definitions in the vocabulary have not been standardized to
the extent that flow chart symbols have been in ANSI Standard X3.12-1968,
Flowchart Symbols and Their Usage in Information Processing.
Accordingly, better guidance for appraising data and documentation files can
usually be achieved by studying the high-level system flow charts in addi-
tion to the narrative description found in the system documentation files.
The system files are enumerated and described in part II of the schedule.
This section has been written based on the fact that virtually all ADP
systems are composed of a small number of basic procedure types connected
in sequences that can be called modules. The text and charts in the follow-
ing sections are organized around this concept. Almost all existing ADP
systems can be analyzed into portions or groupings of these charts.
2. The Elements of Data-Processing Systems
Data processing systems are composed of four basic classes: hardware, soft-
ware, peopleware, and data files. The hardware consists of the central
processing unit and all of its peripheral devices and recording media. The
software consists of the machine instructions that direct the hardware to
perform the processing. Peopleware is listed in parts I and II and consists
of specifications, hard copy documentation, and user manuals for all per-
sonnel involved in running a system. The data files themselves are listed
and described in part III. Appraisal criteria for them will constitute the
bulk of sections 3 and 4, below.
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2. 1 Hardware
Computer hardware and recording media are still undergoing relatively rapid
evolution, and this presents a problem in finding equipment that can suc-
cessfully read some older machine readable files. Files to be retained per-
manently may have to be recopied periodically onto newer media or totally
converted in format and most other physical characteristics. Since costs
for this type of work are declining, this situation presents no undue bur-
den to the holder of this data. In general, the property value and conver-
sion costs of machine readable records are less than one-tenth of 1 percent
of the data collection and editing costs of the information recorded on it.
Upon consultation, the Office of the National Archives, National Archives
and Records Service, will recommend procedures and techniques needed for
the physical preservation of the record content beyond the life of the
recording medium.
2.2 Software
This is divided into two main types, systems and application software.
System software is furnished by the computer manufacturer and is designed
primarily to manage the available resources of the computer complex in an
efficient manner. The computer complex consists of the central processor
and its attached peripheral devices, such as card readers, magnetic tape
drives, high speed printers, and other equipment. In general, this type of
software is not related to any specific file or record maintained in an in-
stallation. It is, therefore, of no permanent value except to the history
of the development of computer science. Selected portions of systems soft-
ware specifications are useful for reading files produced on one computer
with another equipment configuration. However, this information may be
documented in less than one page and does not require extensive documenta-
tion. Subclasses of system software include utility, operating system,
sorts, merge, and compiler software.
An exception is application software written in one of the standardized
machine independent programming languages. COBOL, FORTRAN, and PL-1 are
the three most widely used of such languages? In most cases, application
software written in these languages may be considered for retention with
the related files. However, only a small portion of the total software
written for an application need be retained permanently. For example, a
file that has been closed off and covers a specific period of time will not
be updated. Therefore, the update software is unlikely to be ever required
again and is disposable.
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If the file is a large complex data base designed to service many in-
quiries, retention of the query software may be warranted. However, much
good query software is commercially available to handle the problems of
file inquiry. Therefore, retention of this software is less important than
retention of user documentation described in section 2.3 below.
The final class of software that may have permanent value is that used in
computer simulation work. There are several software systems that have
been used in policy formulation and evaluation work for high-level manage-
ment in agencies. The three best known such software systems are SIM-
SCRIPT, DYNAMO, and GPSS (General Purpose Systems Simulator). Like COBOL
and FORTRAN, these systems are available for most computers on the market.
It is also likely that they will continue to be available for the foresee-
able future. What is important to save in such applications are the source
program decks. The policy alternatives and much of the information on a
project is contained in these decks and they often constitute records of
intrinsic historical value. Economic and financial projection models and
war game software are typical examples.
2.3 Peopleware
A wide variety of hard copy documentation is produced in data processing
systems. Peopleware is that documentation required by the personnel in-
volved in the design, development, operation and maintenance of ADP
systems. The files are listed in parts I and II of this schedule. Of
interest in this section are primarily those files required for the direct
servicing of files declared permanent.
The basic concept to grasp in data processing is that the record consti-
tutes a representation of an event and not the event itself. As such, the
representation or record may have been recorded by a sensor (as in scien-
tific measurement) or may have been transcribed and encoded from some
other document or document group as in all transaction reporting. In
either case, a researcher needs to know what kind of transformations oc-
curred between the actual event and its representation on magnetic tape.
This knowledge is in the documentation described in part II of this
schedule.
For example, most housekeeping systems usually encode events using elabor-
ate code tables rather than narrative fields on the record. A payroll
system may have dozens of deduction code possibilities as well as an equal
number of pay plans. Typical codes would represent bond deductions, local
tax rates for States and municipalities, bond and charity deductions, over-
time and premium shift differential rates, etc. In scientific work, in-
strument readings represent observations of physical phenomena and other
occurrences.
Each time a transaction is encoded or instrument reading is made, there is
a possibility of an error or distortion taking place in the process. The
errors may be simple random occurrences such as digit transposition by key-
punch operators or transcribers, or systematic because of some bias in
the recording instrument or observer. In general, the scientist attempts
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to calibrate his instruments and adjusts instrument readings for other
known factors, and the systems accountant devises consistency checks,
batch totals, and clerical training programs to assure "accurate" record-
ing of his data.
Permanent records of this class include the file and input specifica-
tions (items 7-10 of part II) along with the final version of the re-
lated tape file. They tell a future user of the probable quality and
coverage of the file and, for those with much encoding such as account-
ing files, the meaning of all of the descriptive data fields along with
the bias and judgement that went into transcribing a record of an event
into a coded element. Some portions of system-operating procedures and
user guides (items 13-15 of part II) are also useful for later reference
work. These records are essential for determining how the related data
files were used for operations and research and must be retained even if
the related software is disposed.
3. Data-Processing Systems Flow Charts and Their Use in File Appraisal
Data records in ADP systems are processed both manually and mechanically
before finally residing in a file as a correct record. This section
presents typical systems charts found in the high-level documentation of
most such applications. These charts should be used by an appraiser for
determining which files among many are most useful for permanent retention.
Data processing systems are categorized by two sets of terms. One break-
down is between continuing and one-time systems; the second is between
real-time and batch-processing systems. Real-time systems handle one tran-
saction at a time and complete the function of posting and validation
before going on to the next transaction. These operations occur at the
time the actual real world event occurs or at the latest, soon afterward.
Batch-processing systems perform one stage of processing for a group (or
batch) of transactions. These operations occur after the real world event
took place. The delays may range from hours in some cases to months in
others.
Continuing systems are those which are run periodically with a repetition
rate ranging from a few hours to a year. Most housekeeping systems are of
this type. The most familiar applications are for payrolls, inventory
control, and financial management. Although the file contents are contin-
ually changing, such systems have high continuity from one period to the
next and are well documented for auditing and operational purposes. One-
time systems are less well documented than continuing systems. There is
usually pressure to deliver the results in the form of reports within a
time constraint. Many undocumented ad hoc decisions are made during the
course of these projects to meet project deadlines, which result in files
containing data errors that may not reflect the contents of published
results. Surveys, simulation projects, and censuses fall into this cate-
gory.
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GENERALIZED Ii\IPUT UPDATE (1)
Source
Document
MECHANICAL
CONVERSION
Raw Data
Input File
(Disk)
Subsidiary
Master Files
Code Tables
EDIT PHASE
SORTS AND
VALIDITY
CHECKS
Job
Deck
Manufacturer
Software
Application
Error
Listing
22
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Various combinations of these attributes are found in ADP systems. Real-
time systems are used in continuous housekeeping systems, the most notable
being military command and control and airline reservation applications.
Batch processing is used for both one-time and continuous systems and con-
stitutes the bulk of existing data-processing applications.
The files in all types of systems are increasingly being put on mass
storage devices such as disks rather than tape. However, even in real-
time systems, backup and recovery procedures dictate that magnetic tape
copies of the file be created. These are usually called either "file dumps"
or "safe data dumps." They are also created for running off summary reports
since total file scanning of disk files is inefficient. These files can be
appraised in the same manner as tape resident files.
3.1 Input and Update Subsystem Phases
These two phases are common to all data-processing systems that involve
file maintenance. Two typical flow charts are shown and labelled "Genera-
lized Input Update." They show the processing steps taken to record, con-
vert, check, edit, and post a record to a file for later use.
3.1.1 Source Data Conversion Phase
Data can be converted to machine readable form by several methods. For-
merly, data were transcribed from source documents onto transcript sheets.
They were keypunched, converted to magnetic tape, and then processed. More
recent methods either record machine readable data onto source documents
(turnaround documents) or accept input directly into computers through key-
board-driven terminals (source data automation).
The data control function is closely interwoven with the mechanical conver-
sion process. One part of data control consists of keeping count of the
documents in each batch to be processed and control the totals of one or
more quantity fields. Examples would be dollar totals and counts of checks
or invoices. The other part of data control is the manual editing of source
documents. Such editing consists of checking codes and resolving errors.
The typical sequence is shown on the chart entitled "Generalized Input
Update I." A manual-handling phase is followed. by a media conversion step.
The machine readable transaction is further validated by a series of com-
puter runs. Errors may be introduced and detected during each stage of the
process. Correction procedures depend on the stage at which the error is
detected, the type of error, and the conversion hardware used. For example,
in keypunch-oriented systems, verification is used to minimize conversion
errors while the computer passes are used to catch logical and transcrip-
tion errors. Some systems combine error detection and correction processes
by attaching the conversion equipment to a computer.
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However many steps and cycles occur in the process, the end product is
usually called a raw data tape. Other names used are unsorted transac-
tions, partially edited transactions, sorted preliminary update file, and
the like.
Raw data tapes are seldom of any permanent value since they contain erro-
neous and duplicate records. A possible exception in the case of real-time
systems where the tape may be named "logging file" in such applications as
message switching or production control systems. Usually such tapes are
kept for a short period of time as backup to recreate a real-time file.
The sole other usage is for system test data or some simple transaction
counting for real-time system work load studies.
3.1.2 Edit Phase-Sorts and Validity Checks
Many tapes with records of temporary value are produced at this stage.
Another common designation for these tapes is work t,'pes. This phase or
module processes transaction files against various editing and validation
criteria. These criteria may be found in a computer program, such as a
table of valid transaction codes, or in a subsidiary master file, such as
valid account numbers or a name and address file. Other common checks per-
formed here are for numeric characters in quantity fields, transaction
batch totals, transaction counts, and consistency checks.
The output of such a phase is a file of partially validated transactions.
Two methods are used in handling errors at this time. In one invalid tran-
saction items are listed on a printer along with the error indicators for
immediate correction on a batch basis. In other systems, erroneous records
are coded to indicate the presence of certain errors, but are not deleted
from the transaction file. Instead, they are kept in the transaction file
for still further checks in the update program itself. This gives a con-
solidated error listing at one time for a given batch of transactions. The
most common additional tests performed on the data would be tests against
the master file key itself. Examples are transactions that attempt to de-
lete a nonexistent record or insert a duplicate record into a file; others
may be quantities that are checked for "reasonableness."
3.1.3 Update Master File or Data Base Phase
The edit phase's output is the updating run's input. This is shown in
"Generalized Input Update II." If the file contains only one application,
such as accounts payable or receivable, it is normally called a "master
file." If it contains data from a series of applications, or summary data
from a variety of sources, then it is a "data base." Under certain circum-
stances, an individual transaction and status report is the direct concern
of an organization's top management. Examples are status reports for an
important research and development project, construction job, or loan--all
of which might have enduring value.
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GENERALIZED INPUT UPDATE (II)
UPDATE
MASTER
FILE
PHASE
1 or work tape. 3. May be cumulative or noncumulative file.
2 A series of these files may be merged 4. Until final version is
into a continuous history file. approved, prior versions
are interim master files.
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There are several types of master files. In some systems, they include
only currently active records. Purged master file records are periodi-
cally transferred to dormant account (history) files. Personnel and pay-
roll files are typical, with the purge generally occurring at year's end.
Many other files are cumulative and continue to grow in size depending
upon the application. As in the case of paper records, frequency of use
is the major criterion when deciding the length of time "detailed trans-
actions" will remain on the master file.
In the case of periodically updated files, where transactions are deleted,
purged records are often merged into historical files. These files are
valuable. However, they may lack data found on the master record file.
Therefore, both the merged periodic transaction file and the master file
should be retained. Items 13-15 of part III denote the types of trans-
action files created. Items 16-32 of part III furnish disposition criteria
for master files.
Master files are seldom updated for a given period in a single update pass.
Some errors cannot be detected until the actual posting attempt is made.
This creates a series of "interim" master files. The only valid file
would be the one from which the periodic output was run. Usually, process-
ing deadlines determine which version is "valid." Interim master files are
usually retained for short periods as backup tapes for the final master
file. (See items 44 and 45 of part III.) This retention plan is called
the "grandfather system." In appraising master files for permanent reten-
tion, it is preferable to retain the "as of" date from the official files.
While this is usually possible, there are many cycle-billing systems in
which the master file is never completely purged of detail transactions--
thus never complete. In such cases, it may be preferable to retain ex-
tracts of the master file made for reporting purposes and audit trails
rather than the master file itself. Items 39-43 of part III describe al-
ternative selections to master record tapes.
3.2 Report Generation Phase
This section describes the files, processing, and software used to produce
output from ADP systems. The chart labeled "Report Generation Phase" shows
the usual processing sequence in such modules from the machine readable
record to the final printed report or listing. Since mass, random-access
storage is increasingly used, the chart shows tape and disk files used in-
terchangeably, although in practice one or the other medium will predomin-
ate.
As indicated previously, unless its usefulness or transferability to future
computing systems is assured, it is unnecessary to retain output-oriented
software. This evaluation should be ad hoc.
3.2.1 Report Data Extract and Format Phase
If the printed report and the master file are in identical sequence, the
data selection, tabulation, and printing phase may occur in one program.
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Stub
Descriptio
File and
Software
REPORT GENERATION PHASE
Selection
Criteria and
Formatting
XI, zAXIJQ
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This is characteristic of billing, payroll, and most housekeeping systems.
However, often it is necessary to print the report in a sequence different
from that of the master file. The use of a sort will resequence ,,he selec-
ted records as desired, creating a series of intermediate work files be-
tween the master file and the printed output. The flowchart labeled
"Report Generation Phase" shows both tapes and disk files in the process-
ing sequence.
Newer computers and operating systems seldom produce work tapes except for
the largest multireel files. The intermediate files reside on disk as
transient files within the "job stream." (See item 4, part IV.) The input
file, the job control deck, and the final printed output only are visible
to the uninformed. Thus, seldom is there need to retain intermediate
files because they can always be recreated from the master file.
In one case, extract files are useful and should be retained. Files that
contain "statistical samples" of the entire body of data often have long-
term value when the methodology is documented. These sample files, along
with appropriate weighting factors and stripped of identifying information
d?sclosing individual persons or establishments are immediately releasable
for public research.
The next problem is to determine which of several work files to retain. In
general, this depends upon the degree of decoding stub descriptors required
to interpret the file. Heavily encoded files with little or no narrative
description are suitable provided that the stub descriptor files and tables
required for human reading and interpretation are of reasonable length.
When the code is a Federal Information Processing Standard, the length of
the code table is unimportant. An example is the table of State and county
codes of the United States with more than 3,000 entries. Tables of less
than 200 entries developed for individual agencies or one-time studies may
be reasonably left encoded as they can be decoded by simple computer pro-
grams. For large code tables stub descriptions are preferable for long-
term preservation.
3.22 One or More Sorting Runs
Extract files are often in the wrong sequence for producing reports or
required tabulations. In fact, the same file may be sorted into as many
as 10 different sequences for different types of analysis and tabulation.
The criteria for retention of sorted work tapes are the same as for extract
tapes described above. The output of this phase is a sorted work tape or
file ready for tabulation, summarization, and editing.
This type of file on tape is often a useful research file, particularly if
there has been some editing and if interpreting has been performed. In
general, continuing administrative systems have relatively few processing
steps between the first extract run and the final output pass. This is
different from one-time reports as described in section 4 below.
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3.2.3 Tabulation Run
The inputs to the tabulation run are the sorted work files, and usually
with a stub descriptor file. The stub descriptor file is invariably
used when a very large list of codes must be displayed in plain text. If
it is on magnetic tape, one or more sorting runs are typically required of
the extract tape in order to apply the descriptors. If on disk, most of
this decoding can be performed during the tabulation run. When files are
considered for retention, the information necessary to decide such data
elements must be retained. This may either be a hard copy document as de-
scribed in section 2.3 above or a machine readable file.
The final output of a tabulation run may consist of either summary data
files or a print tape (items 39 and 41 of part III). Summary data files
may also serve as publication tapes (item 40 of part III) when they are
reproduced and disseminated to the public and/or Federal agencies.
Summary data files are occasionally used as input for published and
widely disseminated printed reports.
Many installations do not use print tapes when they produce a computer
listing or report. Instead, the data are temporarily transcribed on
disks until the printed report is complete. However, tapes can be
created upon specific request if there is a known demand and further use
for the same information in machine readable form. This procedure is
often followed by producers of general proposal statistics.
When a tape file may be classified under more than one of these three
categories, disposal is not authorized by this schedule.
4. One-Time Surveys and Report Generation Systems
The sequence of operations in one-time surveys, censuses, and tabula-
tions is shown in the following two charts. When the flow process
charts are compared to the typical continuous file maintenance system,
the similarities are evident. The basic difference between continuously
running systems and one-time jobs is the much higher amount of manual
editing and encoding required. Unless the job is a very large effort
with many thousands of observations, the forms used allow somewhat more
variability in field entries than accounting type documents. Since line
respondents to these surveys rarely have an opportunity to correct the
imputs, much more manual editing and encoding is required to correct
(clean up) a file prior to its use in tabulations.
As the second sheet shows, there is a file buildup process which occurs
with no changes occurring to individual records after they have entered
the file. Where a multiplicity of systems and sources feed the file,
the individual records are usually of variable length to minimize
storage requirements.
Documentation for such systems contains complex record formats but in-
cludes few of the elaborate codes found in administrative systems.
29
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TYPICAL ONE-TIME PROCESSING SEQUENCE (1)
Lilli
Edit
Criteria and
t
EDIT
CRITERIA
SOFTWARE
30
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 Approved For Release 2001/08/30 : CIA-RDP74-00005R000100010007-6
TYPICAL ONE-TIME PROCESSING SEQUENCE, (11)
FILE
CONTAINS A SORT .SYSTEM
PROGRAM
REPORT
GENERATION
ADJUSTMENT
PROCESS
Printed
Report
aster File
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FPMR 101-11.4
April 28, 1972
When these files are retained, it is important to identify the original
sources of information, the instructions to respondents for filling out
the forms, together with sample forms, and the directions given to the
response form editors for proper interpretation and secondary usage of
these files. Most such files are described in part II of this schedule.
5. Adjustments in One-Time Jobs
A variety of additions, changes, and deletions can occur in either indivi-
dual or groups of entries within a file at any stage of processing. They
can occur for a variety of reasons and lead to magnetic tape files of
different accessibility-and validity. If the files are to be retained per-
manently, it is important to document the corrections and adjustments.
This record of changes constitutes the equivalent of the accountant's audit
trail for evaluating the accuracy of a financial file.
If a payroll record contains an error, the originating office usually hears
about it in short order, particularly when an employee is short changed.
In sample surveys, respondents seldom correct reporting and transcription
errors unless elaborate procedures have been established for a review of
the machine-prepared record. This correction and review process almost
always occurs in accounting systems, while cost usually precludes this
process in most one-time jobs.
Therefore, such files of recorded observations contain a variety of errors
which in summary tabulations are nonsense entries. For example, male
widows may appear in a tabulation. Such errors arise from a number of
causes. Correction of the tabulations can be made at any step in the
process between the final survey file and the printed report. The accom-
panying flow chart shows the points in the procedure where this is usually
made.
If the error is thought to be a random event, the illogical counts are gen-
erally distributed to all other possible categories and deleted from the
tabulation array. This would lead to a discrepancy between the published
table and the final master file. The illogical records would remain in the
file uncorrected.
Systematic final edited master errors also occur frequently in encoding
and processing. In these cases, the summary file may be corrected by
moving the entire nonsense count to the correct location in the table.
These errors can also be corrected in the final master file using the
computer.
Another common adjustment operation occurs when a tabulation discloses in-
dividual confidential information. Confidentiality is protected in one of
three ways: 1) by deleting the entry on the summary file and combining
with enough other tabular entries to eliminate individual disclosure, 2)
by correcting the print tape, and 3) by correcting only the printed
report. In the first method the summary file is releasable to the public.
In the second, the summary file is not releasable to the public, but the
print file is.
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WHERE OBSERVATIONS AND SUMMARIES GET ADJUSTED IN ONE-TIME JOBS
1 Original file still
contains errors if only
this file is corrected.
2 Extract file still contains
errors.
3 Disclosure of individuals
can be deleted in this
file.
FIRST
EXTRACT
Extract
ile
1
SORTING &
TABULATION
PROGRAMS
Summary
File at
Low Level
2,3
FINAL
TABULATION
AND EDIT 4
CORRECT
LOW
LEVEL
SUMS
GS=. DC 73-B27Approved For Release 2001/08/30 : CIA-RDP74-00005R000100010007-6