TRANSCRIPT OF TRAINING LECTURE NO. 56 ON RECORDS DISPOSITION AND MAGNETIC TAPE BY RICHARD A. JACOBS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP70-00211R000700220010-8
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 34
• Document Creation Date: December 19, 2016
• Document Release Date: September 26, 2005
• Sequence Number: 10
• Publication Date: April 1, 1961
• Content Type: REPORT

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GENERAL SERVICES ADMINISTRATION
Washington 25, D. C.
TRANSCRIPT OF
TRAINING LECTURE NO. 56
on
RECORDS DISPOSITION AND MAGNETIC TAPE
by
RICHARD A. JACOBS
April 1961
On file GSA release instructions apply
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TABLE OF CONTENTS
INTRODUCTION
THE GENERAL BACKGROUND IN THE USE OF ELECTRONIC
PAGE
1
DATA PROCESSING
4
THE QUESTION OF RECORD STORAGE ON MAGNETIC TAPE
8
THE QUESTION OF RECORDS DISPOSAL AND MAGNETIC TAPE .
13
APPENDIX A
List of Offices Visited and Persons Interviewed
?
?
17
Questions Discussed During Interviews
19
Synopses of Key Interviews
21
APPENDIX B
Excerpts from Commodity Stabilization Service
Operating Procedure Handbook 2-0A
25
Excerpts from Records Disposition Manual for
Marine Corps Activities
30
Bureau of the Census Memoranda of March 1958
on Tape Storage and Retention
33
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INTRODUCTION
The purpose of this survey is to consider current practices of the
various agency users of electronic data processing equipment in connection
with the records disposition problems which arise from these new operations.
Background
In its meeting of June 1960, the Federal Records Council discussed
records problems involved in electronic data processing and requested the
National Archives and Records Service to conduct an initial study of these
problems. The questions posed were these:
1. What are the current practices and the future possibilities
for the storage of long-term record material on magnetic tape?
2. What is the relationship between the erase and re-use technique
in EDP and the provision of the Federal Records Act which
requires Congressional disposal authorization under the Records
Disposal Act of 1943?
This initial study was conceived to be one of limited scope in terms
of time and effort expended, with the implication that its findings might
lead to a more detailed and more technical study at a later date.
Method
The principal fact-finding technique employed was a series of interviews
with persons directly involved in EDP operations and with others involved in
agency records management. (See Appendix A.) A number of EDP installations
were visited and the principal literature on the subject was reviewed.
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11E1E7_21 Findin2
1. Few agencies have disposition plans for their electronic tapes.
2. Decisions as to whether or not to erase and reuse the tape are
based on needs of the individual projects.
3. The tapes are regarded for the most part as working tools and not
as records as defined in the Records Disposal Act of 1943.
4. When the tapes contain information of value for future use they
are being retained indefinitely.
5. It is not possible at the present time to say that tape can
safely replace long-term or permanent records because of such
factors as:
a. Machine incompatibility; tape from one usually cannot be
used in another model.
b. Expense of machine time, making the cost of reference
service in an archival establishment prohibitive.
c. Present uncertainty as to the lasting quality of the tape.
6. These technical problems will doubtless be solved in time.
Recommendations
1. For the present we should depend upon other media--paper or
microfilm--to retain information of long-term or permanent value.
2. The NARS should follow closely the developments in the EDP field
so that changes in policy may be effected as the technical
problems mentioned above are solved.
3. .Tapes should be considered, for the present, as interim media
even when they must be held for long periods or indefinitely.
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When they contain information of long-term or possible permanent
value there should be plans for retention of the information in
other form, possibly on microfilm as in the case of the popula-
tion census schedules.
4. Agencies should be encouraged to establish retention periods for
the various kinds of tape even though, for the present, they are
regarded as interim media.
5. Duplication of information on tape should not for the present be
considered sufficient justification for disposal of paper
records or microfilm.
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THE GENERAL BACKGROUND IN THE USE OF
ETRCTRONIC DATA PROCESSING
The type of operation in which EDP is generally adaptable is one in
which great quantities of routine data are changed or adjusted on a regular-
ized, cyclical basis. These operations include: supply and inventory
control, personnel management and payrolling, accounting and financial
reporting, and statistical survey. Although the Federal Government is
also widely involved in scientific computing applications, such applications
are of a different nature vis-a-vis records retention and are not the
subject of this study.
The Typical Operation
In the typical EDP business application, the great quantities of
data are first introduced into the system on the conventional paper forms,
converted by means of punched card, paper punched tape or microfilm to a
magnetic tape--called the transaction tape--and entered into the computer.
The computer then performs a series of operations which may involve any
number of "passes" and any number of "working" tapes, and eventually
produces its results on a series of "master" tapes and subsidiary report
and exception tapes. The "master" tape is maintained as such until
completion of the next cycle when it is replaced by a new updated master.
The various report and exception tapes are printed out in punched card
or "hard copy" form. The so-called working tapes function merely to
move the data from one step to the next. The transaction tape reflects
the raw data as taken from the paper documentation.
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From the point of view of records retention, the transaction tape
typically is backed up for legal purposes by retention of the source paper.
The working tapes have only a transitory value and are released for re-use
upon verification of the specific operation. The master tape Consists of
current information which is rendered obsolete by the next updated master.
The report and exception tapes are printed out in a "hard copy" form which
then becomes subject to the usual disposal policies.
This, in oversimplification, represents the general lines of a typical
EDP application. It seems obvious, in the framework of this example, that
if the original paper is retained for whatever are the retention needs,
the tapes represent merely a duplication of the material for the purpose
of ease of manipulation. But the whole field of EDP and the? records
problems which it generates are immensely more complicated and a good deal
more varied than this neat model suggests. The peculiarities of a few
case examples should illustrate this variety.
Some Case Examples
At the Bureau of the Census, the 1960 Decennial Census was computed
on tape. The original schedules were microfilmed and the microfilm will
be retained for preservation. A series of computer operations results
in a summary tape file. From these summary tapes specific reporting tapes
are produced, and the tabulations resulting are published as parts of the
1960 Census. But the summary tapes remain as the basic product of the
census effort. These tapes, amounting to about 3,000, are to be retained
for servicing cross-tabulation contracts and for statistical comparison
with the 1970 Census but presumably, like the punch cards for earlier censuses,
will lose their usefulness in time.
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In the Office of The Adjutant General, U.S. Army, is a computer
operation in officer personnel management. The operation is designed to
keep information current and all information on tape is backed up by paper.
But there is a special case. The AGO.has completed on tape an information
file on Korean War casualties and is about to complete another on World War II
casualties. This data was extracted laboriously from Army command records
and placed on punched cards. There is a plan for publication but no money
is available at present. Meanwhile, the tapes are being used to service
requests for casualty lists of servicemen from various locations in the
country. When the information was converted to tape, the cards were
scheduled for disposal. The tapes, therefore, constitute this important
record which will be needed until the data is published. Should the tapes
be destroyed before publication, a long and expensive Search in Army Command
records would have to be repeated.
The Bureau of the Public Debt in the Treasury Department runs a computer
operation on ownership of Series E bonds. Upon purchase of the bond the
stub is microfilmed, in sequence of receipt, and the information on it is
placed on two tape files, one in alphabetic order, the other in numeric.
The alphabetic tape file is becoming too long for the regular runs through
the computer. /et this tape file is the sole index key to the microfilm
file which is the long-term record. The Bureau Is about to convert to
new EDP equipment and hopes to solve this particular problem during con-
version. The Bureau sees three alternatives: (1) break off the alphabetic
file and retain the tape intact for occasional runs through the computer;
(2) break off the tape file and print out everything on it, then microfilm
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the print-out (this would mean manual indexing on microfilm); or (3) continue
the file in the new system. The new computer will achieve greater density
so that the tape file will be shortened, but the problem of extension is
only postponed.
The International Cooperation Administration operates on a different
basis. Having no equipment of its own, the ICA contracts out the computer
work to a private concern. The contractor is required, by the terms of the
contract, to retain all monthly transaction tapes indefinitely. This is
done to meet the need for unforseen cross-tabulations. These tapes are
the property of the contractor, and it is assumed?although not determined
by the contract--that the period of retention will be at least ten years.
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THE QUESTION OF RECORD STORAGE ON MAGNETIC TAPE
There are several fundamental obstacles which war against long-term
record storage on magnetic tape. Each of these obstacles may in time be
overcome with the development of better and more standardized equipment
and methods. But for the time being these obstacles seem to determine the
answer to the question on whether or not we can replace long-term or
permanent records by tape. For the present the answer seems to be that
we cannot do so with safety.
Machine IncompatibiIitI
Information on a magnetic tape is utterly unintelligible without the
expensive machinery to read it and convert it into some form sensible to
the human operator. Beyond this, the equipment must be compatible with
the type which was used to produce the tape. And further still, that
machine must be programmed as it was originally programmed when the tape
was produced. If record information on magnetic tape were transferred to
a Federal Records Center or to the National Archives, the information could
be retrieved and used only by returning the tape to the creating agency
for expensive passage through the computer. Furthermore, if the current
trend is viewed, we may depend upon the forecast that the creating agency
will change its equipment within ten years, more probably within five.
In that event, the tapes which were stored at the records center would
all have to be converted during the conversion process, or else they would
become totally useless. Machine incompatibility, then, involves two
obstacles: incompatibility between machines in current use and between
machines now in use and those which will replace them in the future.
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It should be pointed out that the so-called COBOL (Common Business
Oriented Language) is not a solution to this problem. COBOL is a computer
language which uses English words instead of nuMbers or letter codes to
command a machine. It concerns programming) not the means of recording
the data.
Expense of Machine Time
A second obstacle is the present expense of the machine operation.
The whole justification of an EDP operation depends upon a regularized
program involving great quantities of data input and output. Machine time
is quite expensive. As a rule, departures from the regular system are
uneconomical. The reading of noncurrent information on stored magnetic
tapes for random or occasional reference purposes would constitute such
a departure.
Lasting Quality of the Tape
The third and most directly related obstacle to record storage on
magnetic tape is the lasting quality of the tape itself. The development
of magnetic tape is so recent and the opinions of experts so conflicting
as to make determination on this question impossible at this time.
Some of the persons interviewed, notably those with a good deal of
operational experience in handling tapes (in Census and BOASI? for instance)
believe that, with normal care, the tapes can be depended upon for reli-
ability indefinitely. Others maintain that a serious problem exists in
tape unreliability due to plastic flow, tape warpage, and fading of the
impulses.
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Recently a seminar was conducted at the Pentagon by a research and
manufacturing company that specializes in tape cleaning and rewinding
equipment. Conclusions were presented based on extensive technical research
over a period of five years in reliability of magnetic tape for data storage
and shipment. Generally, a rather black picture was painted. There was
no indication that the danger lies in fading of the magnetic impulses,
rather that the problem lies in the physical quality of the tape itself.
The speakers presented a good deal of technical evidence to indicate that,
because of present reel construction and inadequate precision in winding
equipment, the tape is adversely affected by temperature and humidity
changes. The result is a delayed action warpage of the tape surface which
will then prevent its passage over the read-write heads of the computer.
The problem seems to lie primarily in the conditions encountered during
shipment of the tapes from manufacturer to user and from one computer
installation to another. Storage itself appears to be less a problem if
temperature and humidity are kept reasonably constant and the tape is
packaged against dust. It should be noted, however, that the effects of
shipment do not develop until sometime later, presumably while in storage.
These conditions can be improved, according to speakers at the seminar,
by adoption of an improved reel design and by use of an improved winding
machine.
Just how difficult it will be to correct these defects is apparently
not yet known. The Chief Recording Engineer at the Library of Congress
has concluded through his own research that tape is not yet a dependable
medium for long-term record storage. (His work concerns sound recordings,
but the tape medium is essentially the same.) The National Bureau of
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Standards gave no opinion on this matter, but did refer this writer to the
seminar just mentioned. For the time being the lasting quality problem
seems to argue against long-term storage of tape records.
Economy of Other Means
A fourth consideration in the question of records storage on magnetic
tape is the economy of other methods. The practices of several agencies
in this regard seem impressive. Where huge amounts of data are involved it
may not be economical to retain the paper, whether that be the source paper
or the print-out. Yet the discussion above suggests that it may not be
practicable to retain the tape itself. Several agencies have resolved
this problem by the use of microfilm. There are methods now developed by
which information can. be read from microfilm directly onto magnetic tape
(as is done in Census) and from magnetic tape directly onto microfilm
(as in BOASI) at relatively high speedo. Both these methods utilize a
cathode tube in an operation similar to that of a television screen, and
the information on the microfilm is readable on a conventional microfilm
reader. When it is determined that information on tape must be retained,
such methods might be preferable to retention of the tape.
These factors would seem, in combination, to prohibit any present
plans for the long-term storage of record material on magnetic tape rather
than in some other form. But the near future will almost certainly see
each of these obstacles removed by the development of a technical solution
to the problem it poses. Machine incompatibility, for instance, will
undoubtedly be solved both by standardization and by development of universal
conversion machines. And the same problem from the point of view of random
reference might be solved by development of an inexpensive tape reading
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machine. The question of the lasting quality of tapes will surely be
answered as the problem is first generally recognized, then defined, and
finally solved.
For the purpose of this study, no distinction has been made between
storage in the National Archives for long-range purposes and storage in a
Records Center or elsewhere for future use by the originating agency. In
both cases we are concerned with long-term, if not permanent, records
retention and use. But the use of tape in an archives for private research
is a good deal farther off than is its use for administrative purposes.
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THE QUESTION OF RECORDS DISPOSAL AND MAGNETIC TAPE
The second basic question posed by the Federal Records Council concerns
the relationship between the erase and. re-use technique and disposal by
Congressional authority.
To return for a moment to the model described on Page 4, if the orig-
inal paper or feeder report is retained for whatever are the retention
requirements, then it would seem that the tapes Which contain merely a
duplication of this material in another form need not be reported to the
National Archives and the Congress for disposal authority. Yet the real-
life examples cited in Part I cast doubt on the proposition that everything
on tape is duplication of record material on paper.
In attempting to answer the above question in any given operation,
one must take a series of tedious, if not difficult, steps. He must first
sort out and distinguish the various tapes, which are often quite numerous;
determine which paper records are the source records for the information
on the various tapes; establish whether the source records in each case
are being kept for the necessary retention time; and finally, determine'
whether the material on paper is sufficiently accessible in the event of
subsequent need. Obviously, it is not within the scope of this study to
make these detailed determinations in a host of agency operations. Likewise,
the agencies themselves have not generally completed this task.
The problem lies in the understandable gap which exists between the
operations personnel and the records management personnel of a given agency.
The operations people tend to look forward in terms of what they can achieve
rather than to look backward in terms of the trail they leave behind, and
they are not concerned with the principles and. requirements of records
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disposition. On the other hand, the records management people in general
have not yet mastered the complexities of the EDP operations. This condi-
tion is more or less true in any of the various agencies, and recognition
of it should not be taken as criticism. But until the gap is closed the
National Archives will find it difficult to make firm judgments on whether
or not tape erasure amounts to records disposal in a given case.
In a given EDP operation there is a hierarchy of tapes beginning with
the "scratch" and working tapes, running through the various transactions
and interim tapes, and coming finally to the master and reporting tapes and
the special cases.
Some of the agencies have done notably well in this regard. In the
Commodity Stabilization Service a handbook on EDP management includes a
section on tape retention procedure. Although the approach in this hand-
book is net strictly that of the records management officer concerned with
records retention and disposal criteria, the handbook represents the most
lucid description yet encountered of the various tapes produced in an EDP
operation. A records management officer would find it less difficult to
sort out and solve the disposal problems with this handbook at his elbow.
In the Navy Department the Marine Corps records management office has
issued a records disposition manual which includes a tape retention schedule.
In this schedule the various tapes are listed and a determination for re-use
or retention is made for each. Of the thirty kinds of tape listed, four
are marked for retention. These four tapes are of the "year-end summary"
type. It was explained by the records officer that this determination is
tentative, awaiting further experience in the operation before final
decision is made. It was also explained that, although thu tape schedule
is a part of the larger Disposition Manual, schedule items covering tapes
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were not submitted to the National Archives and the Congress for disposal
approval since the disposable tapes were considered non-record working tools.
These two efforts--one by an EDP management analyst, the other by a
records officer--represent the most precise efforts encountered and might
be used as models by other agencies. (Copies of these schedules are attached
in Appendix B.)
Another effort in managing the retention or disposal of tapes has been
made through a series of memoranda issued internally by the Bureau of the
Census. These memoranda break down the tapes by subject-matter and direct
the length of time the tapes are to be retained. A large number of these
tapes are to be retained indefinitely. The material on these tapes is the
basic statistical detail from which published tabulations are derived. But
it does not follow that the publication represents all the detail on the
tapes. Presumably, the purpose of retention is strictly for further
exploitation of the data by the Bureau, and the tapes would eventually
cease to have any value as do the Census punch cards. The contents of the
tapes, however, and the extended retention periods--ranging from two or
three years to indefinitely--raise the question whether these tapes should
be considered record material of the Census program. In short, these
memoranda serve to delineate the various tapes but fail to recognize the
task of determining record content and disposition.
A number of agencies are aware of the need to study the records
retention problem vis-a-vis EDP, but have not published anything on the
subject. Other agencies have not yet faced the problem.
We come finally to the questions of what actions the National Archives
and Records Service should take (1) to prepare itself for the onslaught of
electronic record-keeping, and (2) to resolve the question, in the meantime,
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The solution to both problems, insofar as we can solve them today,
seems to lie in the development of uniform procedural disposal standards
of a character about midway between the Commodity Stabilization Service
Handbook and the Marine Corps Disposition Manual cited earlier. The role
of NAPS in this development should be one of advice, coordination, and
dissemination of information.
If NARS can set the stage now by gaining general recognition of the
problem and by laying down the ground rules for making judgments, it and
other agencies will be better prepared in the future to face the host of
problems that must soon come in EDP "records."
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APPENDIX A
List of Offices Visited and Persons Interviewed
General Services Administration.
Mr. Charles Wagner, Data Processing Branch,
Office of the Comptroller.
Mk. Vico Henriques, Data Processing Branch,
Office of the Comptroller.
, Bureau of the Census:
Mt. James McPherson, Statistical Standards Division.
Mt. Robert Drury, Chief, Electronics Systems Division.
Mt. Morris Ramsburg, Records Management Branch.
International Cooperation Administration.
Mr. H. E. Koster, Chief, Electronic Data Systems Staff.
Department of Defense.
Mr. Charles Philips, Director, Data Systems Research
Staff, Office of the Secretary.
Department of Defense - Army.
Col. J. S. Carpenter, Data Processing Branch, Office
of The Adjutant General.
Mt. W. A. Smith, Records Management, Office of The
Adjutant General.
Veterans Administration.
Mt. Martin Carlin, Office Methods Division.
Mt. Louis Varnell, Office Methods Division.
Mt. R. L. Carpenter, Records Management.
Office of the Treasurer of the United States.
Mr. Pete Traver, Check Payment and Reconciliation Division.
Mt. Ed Beck, Check Payment and Reconciliation Division.
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Department of Defense - Navy.
Mr. Robert Meehan, Paperwork Management, Navy Management
Office.
Miss Lorna Anderson, Paperwork Management, Navy
Management Office.
Department of State.
Mr. Frank DiBlasil Data Processing Systems Staff.
Mr. Clarence Jauchem, formerly with House Sub-committee
on Census and Government Statistics and with the GAO.
Department of the Treasury, Bureau of Public Debt.
Mr. Ross Heffelfinger, Deputy Commissioner.
Mt. John Adkins, Operating Procedures Assistant to
the Commissioner.
General Accounting Office.
Mt. Ed Mahoney, Accounting and Auditing Policy Staff.
Mt. Paul McClenon, Accounting and Auditing Policy Staff.
Department of Defense - Marine Corps.
Mts. Louise Joralman, Records Management.
Department of Agriculture, Commodity Stabilization Service.
Mt. Jerome Miles, Operations Analysis Staff.
Bureau of Old Age and Survivors' Insurance, HEW.
Mr, Herman Bye, Management Analysis Staff.
Mt. S. Kreps, Chief, Report Processing Branch.
Mt. Arthur Benner, Records Management.
Non-government Organizations
Documentation, Inc.
Mt. Eugene Miller.
General Kinetics, Inc.
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Mr. Robert Egly.
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Questions Discussed During Interviews
EDP and Records Management
The purpose of this survey is to gather information in regard
to records retention problems in electronic data processing. The
survey is a preliminary and non-technical one, approached strictly
from the point of view of records management and records disposition!
The following questions are offered as guidelines.
1. Which offices of the agency have or use EDP systems involving
magnetic tape?
2. What various types of operations are programed in EDP, e.g.,
payroll, supply, statistics, etc.?
3. What are the various source records from which information
is taken for EDP?
How long are these records retained? Are they subject to
disposal schedules?
It. By what method is the information converted to magnetic
tape? Is there an intermediate type of record? Haw long
is it retained? Is it subject to disposal schedules?
5. Is the program tape (or program logbook) retained as record
material? How long? Subject to disposal schedule?
6. Describe the various input and output tapes which are involved
in the EDP operation. To what extent are tapes a reproduction
of existing documentation for the sole purpose of ease of
manipulation? To what extent are new data created within the
EDP system and recorded only on tape?
7. How long are the various tapes retained (transaction tapes,
working tapes, master tapes, subsidiary report tapes, etc)?
What are the criteria and authority for releasing tapes to
be re-used? Are any of the tapes considered record material?
Are any tapes subject to disposal schedules?
8. Does tape storage represent a serious problem or is such a
problem foreseen? Are tapes ever created or stored at
locations other than the EDP site? What problems does this
present?
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9. What is the life expectancy of magnetic tape? What is the
life expectancy of the electronic impulses on the tape?
By what means might the data on tape be accidentally lost?
What safeguards are being taken?
10. Is it feasible to plan for long-term storage of record infor-
mation on magnetic tape in lieu of other documents? Is it
economical?
11. What are the various types of records resulting from the
EDP operation? Do these records contain virtually all the
record information developed in the EDP operation in view
of the so-called exception reporting principle? How long
are these records retained? Are they subject to disposal
schedules?
12. If necessary, sketch a diagramatic flow chart to indicate
the various types of records used in the EDP operation.
13. Have you any printed material available on specific applica-
tions which may be of use in this survey?
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Synopses of Key Interviews
Mr. Charles Wagner, GSA. So far as is known the source paper
documents in any GSA electronic data processing operation will
be the subject of the legal requirements of retention. Mr.
Wagner thinks that magnetic tape will increasingly replace paper
as the storage medium. He recognizes safeguarding problems:
air conditioning and dust prevention, a copper screen encasing
the storage room to exclude electronic static. Care must be
taken against dropping the tape which may cause a rearrangement
of molecules and distortion of information.
Mr. Vico Henriques, GSA. Member of same branch as Mr. Wagner.
Mr. Henriques discussed the tape life problem, stating that
General Kinetics, Inc., was now running studies in stresses set
up on the tape reel and the tendency of plastic flow, any of which
might distort information or reduce the effective life of the
tape. He is aware of the disposal question because it may affect
the determination of "tape library" procedures, i.e., the storage
and periodic release of tapes for erasure and re-use. These
procedures are just now being set up.
Dr. James McPherson, Census. The Bureau uses six computers on a
statistical application. Record material in the form of
microfilm of the population schedules of the decennial census is
kept for transfer to the National Archives. Those of other minor
censuses are retained only until publication and then disposed of.
In the 1960 census the data are transferred from the paper by
means of microfilm and FOSDIC to the magnetic tape. The microfilm
may then replace paper as the official record. Microfilm for this
census consists of about 13,000 rolls, 16 mm, 100 feet long. The
data tapes are not kept for longer than needed in the operation it-
self. Tapes are stored on open storage shelves, no special condi-
tions maintained. There is no discernible effect from magnet,
static, or dropping. Real hazard is the human element; losses
result most often from neglect in labeling. Dr. McPherson thinks
it is uneconomical to plan for long-term record storage on magnetic
tape. Microfilm is better.
Mt. Robert Drury, Census. The computer operation at Census is
strictly substantive; there is no "housekeeping" work done on the
computer. The Bureau undertakes many surveys, the largest being
the decennial population survey; others include trade, manufacturing,
housing, etc. The paper source document is usually retained at
least until the next census, and it is always subject to disposal
schedules. Microfilm is now considered an appropriate record for
retention in place of the bulky paper records. In regard to magnetic
tape, any application utilizes a series of intermediary tapes.
These are kept only while useful, then released for re-use. The
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basic summary tapes are kept longer. In the 1960 decennial census
it is planned to retain the tapes of the individual 25% sample and
the ED tapes (Enumerated Districts) at least until after the 1970
census for purposes of doing cross-tabulation contract work for
private organizations and finally for census comparison in 1970.
These tapes will be about 3000 in number. Tapes are stored on open
shelving but in dust-tight containers. Tapes are safe in normal
temperatures; no problem arises in temperatures under 140?. The
real problem is the human element. The microfilm records will
probably go to the Age-Proving Center at Pittsburg, Kansas; a
duplicate copy may or may not go to the National Archives.
Mr. Morris Ramsburg? Census. Mr. Ramsburg is the records management
officer. The microfilm of the original schedules is not yet on a
disposal schedule, but it will be scheduled. He considers that both
punch cards and magnetic tapes are non-record and therefore not sub-
ject to disposal schedules. However, he handed me a procedural memo
which seems to be the equivalent of a disposal schedule. The purpose
of this memo is to expedite the release of some data tapes, which are
no longer being exploited, for their return to the "bathtub supply,"
and to distinguish those tapes which should be retained for varying
lengths of time. The memo lists various tapes by subject-matter and
dictates the length of time each is to be kept. This ranges from
60 days to two or three years to "indefinitely." In effect, then,
many of the data tapes (but not all) are being retained for extended
periods of time, although the Bureau considers them to be "non-record."
The memo mentioned above is included in the appendix to this study.
Col. J. S. Carpenter, AGO,Army. The AGO runs on computer a personnel
management operation pertaining to all officers in the Army. The
source records are paper documents and punch cards in the field. Data
is reported to the AGO by transceiver which produces a duplicate card
at the Pentagon. Data is then transferred to tape. The paper docu-
ments in the field are the subject of disposal schedules. The
various computer programs exist on punch card series at the console
desk. These are maintained and frequently amended so long as the
particular program is in use, but they are apparently not scheduled.
The master tape file is updated daily by a merger of old master with
new transactions to produce new master. The old masters are retained
for a period of "several days." The master tapes for the last day
of each month are retained for a period of three or four months, the
quarter-end and year-end tapes are retained for at least a year. Any
daily master tape file consists of eleven tapes. Tapes are not on
authentic disposal schedules, but the EDP branch has devised a
procedural schedule for internal purposes concerning release and re-use.
The information is entirely duplicated in the officers' 201 files in
the field and at St. Louis.
Total of 2000 tapes in AGO library are kept in sealed plastic
containers in air-conditioned operations room. Col. Carpenter
considers it not generally feasible to plan for permanent storage
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of record material on tape.
Records resulting from the computer operation are a total of
about 200 recurring reports, 20 per month, from the officer master
and subsidiary tapes. These include strength reports, accession
and separation statistics, assignments, etc. Information on the
tapes is strictly current, not historical.
There is a special case, however. The AGO has completed on
tape an information file on Korean War casualties. This information
was laboriously extracted from Army records and placed on punch
cards. When the information was converted to tape the cards were
scheduled for disposal. The tapes, then, constitute this important
record. The advantage of tape is the accessibility of discrete
information. The information may someday be published, but this
seems indefinite at present. These tapes are kept in locked
cabinet in operations room.
Mr. H. E. Koster, DP Staff, ICA. ICA has no equipment itself, but
has its work done by a private contractor, presently IBM. Bids
are now in from others to negotiate a new contract. The applica-
tion is one of internal financial reporting. A feasibility study
is now underway to determine practicality of utilizing EDP in
statistical reporting on world conditions. In the present applica-
tion vouchers, accounting ledgers, and subsidiary feeder reports
from the field are received and the data converted to punch cards
in the ICA offices. Punch cards are then sent to contractor who puts
data on magnetic tape. The punch cards are returned to ICA. They
are presently being retained indefinitely in order to be able to make
statistical tabulations, both for internal use and for Congress.
The tapes are handled entirely by the contractor. However, the
contractor is required, by the terms of the contract, to retain all
monthly transaction tapes on an indefinite basis. It is planned that
the tapes will replace the punch cards mentioned above for
statistical tabulations. Definite retention not determined, but
certainly for ten years. It is not known whether these tapes are
considered records of the Federal Government. If the EDP operation
expands to include the world statistical tabulations, storage of
tapes would become a problem.
Mr. Ed Mahoney, GAO. GAO's interest lies in the maintenance of
records for the purpose of audit and.claims for the periods required
by statutes of limitations. So far no concrete problem has arisen
in regard to EDP and retention of records for audit. First of all,
the user agencies are thus far keeping enough paper records to provide
for a thorough audit procedure. Secondly, GAO feels in general that
any system setup which satisfies the demands of internal management
will also satisfy the audit demands of GAO. The GAO has issued two
circular memos on EDP, principally devoted to feasibility but
mentioning also the question of record retention. The memos have
invited agencies to submit inquiries into these questions, but so
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far none has done so. GAO therefore recognizes no immediate tangible
problem in records retention. (The circulars mentioned are in
Appendix B.)
Mr. Ross Heffelfinger, Public Debt, Treasury. The computer opera-
tion is one of recording ownership of Series B bonds, including
information on original purchase and eventual retirement of the
bond. When a bond is purchased the bond stub is microfilmed in
sequence of receipt at a central location. Information from the
stub is recorded on two tape files: one in alphabetic order by
name of purchaser, the other in numeric order by bond serial number.
These files are updated regularly, but since a bond is long-term by
nature, the tape record is cumulative in character and the tape files
increase in length continually. The microfilm is the permanent record
of ownership. The information on any individual's ownership is
located at random throughout the microfilm file. The alphabetic tape
file is the sole index key to the microfilm. When a bond is retired
reconciliation is accomplished by merging retirement transactions *
tapes with the numeric tape file. The alphabetic file is now becoming
prohibitive in length for regular runs through the computer. The
Bureau is now considering adoption of new equipment and hopes to
solve this particular problem during conversion. The Bureau sees
three alternatives: (1) break off the alphabetic file and retain the
tape intact for occasional runs through the computer; (2) break off
the tape and print out, then microfilm the print-out. Indexing to
the permanent file must then be manual, using the microfilm of the
print-out; and (3) continue the alphabetic file in the new system.
The new computer will achieve greater density which will shorten the
length of the file, but only postpone the problem. Bureau will
probably adopt the third alternative.
Mr. Pete Traver, Check Payment and Reconciliation, Treasury. Computer
operation records payment and reconciliation of all Government checks
issued. Recording of check payment is made daily, reconciliation to
disbursement lists made once a week. Tho checks themselves are sent
to FRC for 8-year retention. The operation on tape is entirely
accomplished upon reconciliation; there is no retention problem
relating to tapes. Locator lists are produced in print-out from the
reconciliation and sent to the FRC to serve as index to the checks
file.
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APPENDIX B
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Excerpts from Commodity Stabilization Service
Procedure Handbook 2-0A
(PART S) AUTOMATIC DATA PROCESSING MACHINE MANAGEMENT (2-0A) (PAR. S)
PART 3. MAGNETIC TAPE PROCEDURES
S. OFFICIAL RECORDS.
Magnetic tape shall generally be considered as a media for
processing and storing data. The printed records will be
the official record for the data.
9. TAPE RETENTION AND MAINTENANCE.
It is the responsibility of the commodity offices and/or Data
Processing Centers to establish tape retention requirements
which will insure the ability to process data to completion.
It is therefore essential that tape retention requirements be
established in written procedures which will permit the re-
construction of data in the event of loss during a computer
process. The cost of magnetic tape makes it important to
exercise care in establishing periods for data retention which
will minimize the number of reels of magnetic tape required.
In order to obtain such protection and achieve uniformity in
all commodity offices and/or Data Processing Centers, the fol-
lowing principles and standards should be incorporated into
your tape handling and library system:
A. Scratch Tape. A scratch tape is a temporary magnetic
tape used by the console operators or tape handlers to
facilitate general computer runs such as sort and merge
runs. These tapes are, in effect, temporary working tapes
with a data life usually equal to one run. These tapes
are not under library control but should be tested fre-
quently to insure reading and writing ability.
B. Record Tape. Record tapes are magnetic tapes contain-
ing. data and are required to be under firm library control
including the return to the library as soon as possible
after an operation is completed. Magnetic record tapes
resulting from audit or veiification of individual program
transactions, reflecting data used in the audit or verifi-
cation and the results of such operations for all trans-
actions requiring correction or adjustment, Shall be re-
tained until such transactions have been printed out on
final settlement or difference statements or the statements
have been produced from another source. Tapes containing
detailed data supporting all ,summary data included in pre-
scribed reports shall be maintained in a manner which will
permit complete analysis and reconstruction of the reported
data at least for a period of 60 days after submission of
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(PAR. 9) AUTOMATIC DATA PROCESSING MACHINE MANAGEMENT (2-0A) (PART 3)
the prescribed reports.. For reports containing cumulative
data, this requirement shall apply only to the detailed
data representing the net change during the reporting
period of each total reflected -on the report. Unless the
detailed data is being retained in subsidiary accounts or
history records which may be used to analyze and recon-
struct the reported data, register tapes or other tem-
porary tapes reflecting the detailed data shall be retained
for such period. These retention requirements supersede
the retention requirements stipulated under each of the
following record tape classifications:
1. Raw Data Input Tape. Raw data input tapes are
magnetic tapes containing data initially abstracted
from source documents and which are being entered into
the system for the first time. Conversion is generally
from other media such as paper tape or punched cards.
If the initial entry is from punched cards, the re-
sulting tape for these purposes is classified as a raw
data input tape. Retain until subsequent magnetic
tapes which contain the acceptable detailed data have
been created and proven to be satisfactory.
2. Working Tape. Working tapes are magnetic tapes
containing output data from one run for input into a
subsequent run. Basically, these tapes are a means of
moving data through the system from the raw data input
tape to one or more master record tapes. Retain until
third generation tape has been produced (grandfather
system).
3. Interim Master Record Tape. Interim master record
tapes are magnetic tapes containing either detailed or
-summary data of the cumulative transaction items in-
volved through the last updating process or the out-
standing items or totals representing current status of
a record. These tapes become the input to subsequent
runs producing new updated interim or final master
record tapes. Retain until third generation tape has
been produced (grandfather system). After a cumula-
tive final record tape has been produced and proven
acceptable or all items have been liquidated from a
current status record tape, the preceding two interim
record tapes may be blanked.
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(PART 3)
AUTOMATIC DATA PROCESSING MACHINE MANAGEMENT (2-0A) (PAR. S)
4. Final Master Record Tape. Final master record
tapes are magnetic tapes containing either detailed
or summary data of the cumulative transaction items
under a program or account. It is the last master
record tape produced. Retain for at least 60 days
after release of any final prescribed report reflect-
ing data taken from the tape or which could be taken
from the tape. If a final full print-out has been
prescribed, also retain until such print-out has been
released and approved.
5. Source Printing Data Tape. Source printing data
tapes are magnetic tapes containing data extracted
from the system for purposes of producing a printing
tape without destroying the source tape. Retain until
print-out has been released and approved.
6. Printing Tape. Printing tapes are magnetic tapes
containing data extracted from the system either
directly or through source printing data tapes (with-
out destroying the source tapes) for the purpose of
producing required print-outs. Retain until print-out
has been released and approved.
7. Program Tape or Program Cards. Program tapes are
magnetic tapes containing the sequence of instructions
required to accomplish the processing of data or
solving a problem and which may be read by the com-
puter. These instructions may be contained on punched
cards. A DUPLICATE PROGRAM TAPE OR SET OF CARDS SHALL
BE PRODUCED AND MAINTAINED OUTSIDE THE COMPUTER ROOM
IN A SAFE FIREPROOF PLACE. As a result of minor
program modifications, these tapes or cards will be
amended from time to time. A complete record of such
amendments should be maintained and identified to each
program tape or cards. Periodically, the duplicate
program tape or cards should be updated. Retain both
tapes or cards until the final completion of the pro-
gram to which the tape applies. At this time, a
print-out of the tape or cards should be made for the
final updating of the related run book.
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(PAR. 10) AUTOMATIC DATA PROCESSING MACHINE MANAGEMENT (2-0A) (PART 3)
10. LIBRARY MAINTENANCE.
A. Numbering.
1. Reel Numbers. Upon acquisition of a magnetic -tape,
assign a permanent number to the reel. This number shall
be written on a conspicuous place on the tape reel and
shall be referred to as the reel number.
2. Tape and Card Filo Numbers. All inputs and outputs
to auxiliary and main frame operations should be assigned
file numbers. Normally, such file numbers should relate
to the run numbers involved.
B. Tape Library Control. All tape reels except scratch tapes
and duplicate program tapes which are otherwise provided for
shall be under the control of the tape librarian and shall be
stored in the tape library when not in use. The librarian
shall charge out the appropriate tape reels to a specific job
Jr run upon receipt of an approved machine processing schedule.
As soon as possible after completion of a job or run, tape
reels shall be returned to the tape library and the-library
records updated. In instances where it may be necessary to re-
move a tape reel from the library other than for processing,
a sign-out procedure shall be used indicating the tape reel in-
volved, the reason for its use and the person removing the tape
reel. All such tapes shall be returned to the tape library at
the end of the day.
C. Records. The tape librarian shall maintain sufficient
library records to insure adequate control of all tape reels.
From the library records established it should be possible to
determine the record content of each tape reel, all of the tape
reels in a file, and the date on which tapes are available for
reuse. The following tape records are recommended:
1. Tape Reel History. A separate record should be main-
tained for each tape reel. The reel should be identified
by the tape serial number. Indicate the tape length when
the tape is received and revise the record whenever tape
damage necessitates cutting the tape. Each time the tape
is used, the new file number should be entered on this
record. Also indicate the date on which the tape may be
blanked and made available for re-use.
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(PART 3) AUTOMATIC DATA PROCESSING MACHINE MANAGEMENT (2-0A) (PAR. 10)
2. Tape File History. A separate record should be main-
tained for each tape file. This record should indicate
as a minimum the reel number or numbers, if the tape file
consists of more than one tape reel, the operations on
which the file should be used, the date of creation and
the date when it will be available for re-use.
3. Tape Availability History. This record should in-
dicate the tape reels, by number, which are available for
re-use.
4. Tape Labels. Every reel of tape except scratch reels
should have an external temporary label which indicates
at least the file number, reel number, job or run number,
date created, blanking date, tape drive number on which
the tape was created, and the reel sequence number; for
example, reel two of seven.
D. Blanking. The librarian shall prepare, periodically and
not less frequently than weekly, a list of tapes available
for blanking. Such lists shall be approved by a responsible
employee designated by the commodity office director.
E. Tape Inventories. A physical inventory shall be made of
all tapes periodically and not less frequently than once each
six months.
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Excerpts from Records Disposition Manual
for Marine Corps Activities
6140 RETENTION SCHEDULE FOR MAGNETIC TAPES
1. Inventory Control Point
a. Magnetic tapes used or created in receipt control processing:
(1) Receipt control master tapes:
(a) Those bearing the date of the Stock Status Cutoff.
Re-use superseded tape after third successive updating and it
has been determined that the master inventory updating was suc-
cessful.
(b) All others.
Re-use superseded tape after second successive updating.
(2) Receipt control daily action tapes.
Re-use superseded tape after second successive updating and it has
been determined that updating was successful.
Receipt control completed action (daily) tapes.
Re-use after successful merge with total completed action master
tape.
(4) Receipt control total completed action master tapes. (These tapes are
used for "Monthly Procurement Status Report.")
Re-use after completion of subsequent month's "Procurement Status
Report. "
(3)
(5)
Receipt control history tapes.
Re-use superseded tape on or after third successive updating.
(6) Procurement status report tapes.
Re-use after completion of subsequent month's "Procurement
Status Report."
(7)
Tapes used in receipt control processing, other than those referred to
in paragraph la(1) through la(6), above.
Re-use at discretion of the data processing officer.
b. Magnetic tapes created or used in the "Master Inventory Updating and
Stock Status Reporting":
(1) Master inventory tapes.
Re-use superseded tape on or after third successive updating.
(2) Transaction reporting (East .and West) tapes.
Re-use after successful merge and successful updating of "Master
Inventory Redord."
(3) Transaction reporting (merged) tapes.
Re-use superseded tape on or after third successive updating.
(4) Stock status report (printer) tapes.
Re-use after completion of subsequent month's "Stock Status
Report."
8140-1
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(5) Tapes used in the "Master Inventory Run, " other man those referred
to in paragraph lb(I) through lb(4), above.
Re-use at the discretion of the data processing officer.
c. Magnetic tapes created or used in the "Monthly Stores Reporting Runs":
(I) Year-to-date summary tapes.
Re-use superseded tape after it is determined that subsequent up-
dating was successful.
(2) Financial transaction code summary reporting (East and West) tapes.
Re-use superseded tape after it is determined that subsequent up-
dating was successful.
(3) Stores reporting output (printer) tapes.
Re-use after it is determined that the print-out was acceptable.
(4) "Year end" summary tapes.
Retain.
(5) Tapes used in "Stores Returns" processing, other than those referred
to in paragraph lc(l) through Ic(4), above.
Re-use at the discretion of the data processing officer.
d. Stratification program tapes.
Retain.
2. Supply Centers
a. Magnetic tapes created or used during the daily inventory and stores
processing:
(1) Daily stores detail tapes.
Re-use 6 months after submission of "Financial Transactions Code
Summary Tape" in which stores details were included.
Daily voucher/invoice tapes.
Re-use after "Daily Voucher/Invoice Tapes" have been merged into
"Monthly Voucher/Invoice Tape. "
Monthly voucher/invoice tapes.
Re-use after "Monthly Voucher/Invoice Tapes" have been merged
into "Semiannual Voucher/Invoice Tapes."
(4) Semiannual voucher/invoice tapes.
Re-use after 6 months, provided "print-out" of the data has been
made.
8140-2
(2)
(3)
(5) Analysis of materials summary by expenditure classification (NAV-
? COMPT 870) detail tapes.
Re-use after completion of subsequent month's NAVCOMPT 870 re-
port.
(6) Supply Centers' inventory tapes.
Re-use supersedcd tape on or after third successive updating.
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MCO P5212. 1B
15 Jun 1960
b. Magnetic tapes used in periodic reporting of accounting data:
(1) Weekly stores summary tapes.
Re-use after submission of subsequent month's "Financial Transac-
tion Code Summary Tape."
(2) Analysis of materials summary by expenditure classification (NAV-
COMPT 870) summary tapes.
Retain.
(3) Stores ledger tapes.
Re-use superseded tape on or after third successive updating.
(4) Inventory reporting tapes.
Re-use superseded tape on or after third successive updating.
(5) Financial Transactions Code summary tapes.
Retain.
(6) Tapes created or used during daily or periodic processing, other than
those referred to in paragraph 2b(1) through 2b(5), above.
Re-use at the discretion of the data processing officer.
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6140-3