INFORMATION STORAGE AND RETRIEVAL IN ADMISSIONS AND REGISTRARS OFFICES
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ORMATION S'IORAG NIS RETRIEVAL
TN
, S5-OWS AND REGISTRARS OFFICES
By Artel Ricks
14
Director Paperwork Standards and Automation Division
National Archives and Records Service, GSA
CONTENTS
tieval . . . . . ? . . . . 1
Hard Copy storage and Rer
Microfilm
Storage and
Computer Stora
ASSOCIATION
Videotape Storage and Retrieval . . 18
storage and Ietrievaand'" Goorcnate" fndexing 18
Retrieval . . . 8
Retrieval. 14
OF COLLEGIATE kEG1STRARS ADD ADMtS'STOMS'"O ? ''ICSRS
prepare or the 53rd AXCRA Annua eeting,
Committee on._ew Developments and Techniques
April 1067, Denver, Colorado, under the auspices of the
p1im't?e_e? Members
'b1-.,1---
Verner Eksfrom, IDirector of Admissions
oIorac o State University
,ananey', Director of` Statistical Service "Tnit}, CITE
provost, University of Illinois
arren.l~affner, Associate I e istrar, Pennsyvania State
A: -i AV:
iversity
~; I7 _ serer e istrar, ina ana nive'rsity
cam:
Wlam a, Registrar, Cn~ayne Statenivers"qty
rrinT'"-wheeler, Assistant' Registrar, Xavier Cniversity
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INFORMATION STORAGE AND RETRIEVAL
IN
ADMISSIONS AND REGISTRARS OFFICES
By Artel Ricks
You walk to the file and search for a student's application for'
admission and you have performed an exercise in information retrieval.
You turn a little knob and a roll of microfilm speeds past you at
blizzard speed and comes to a halt at the desired spot where you find
the grade given some complaining student in a mathematics class com-
pleted last semester. You request a list of seniors who can speak
Spanish and the computer prints it out. You seat yourself at a
console and in seconds you see on a TV screen before you a student's
permanent record which had been updated electronically on videotape
only moments before. With the touch of a button you have a transcript
on paper.
These examples may seem poles apart but they are all within the
spectrum of "information storage and retrieval" when the term is
loosely applied.
It is within this broad concept of information retrieval that
your committee on New Developments and Techniques has asked me to
address my remarks. So let's begin with the storage and retrieval of
hard copy--"paper" as we used to call it.
HARD COPY STORAGE AND RETRIEVAL
The data assembled and filed by admissions and registrars offices
might be classified as entrance data, student description data, his-
torical academic data, and statistical data. Every office will have
its own groupings of files and arrangements under which to store this
data, but this paper assumes that the following five files are typical:
1. Admissions Files. Include applications for admissions and
all supporting papers and evaluation work sheets. One file folder for
each applicant. May be consolidated with'registration papers upon
registration of the applicants.
2. Admissions Reference Card Files. Contain limited entrance
and student identification information.
3. Registration Case Files. Contain most or all of the admission
papers, supplemented by registration and other information about the
student since his enrollment, other than his permanent record. One
file folder for each applicant.
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4. Permanent Record Files. Historical record of courses taken
and grades received. One or several letter size sheets per student
serving as the source of transcript information.
5. Statistical Files. Computer print-outs or other statistical
tabulations and reports, filed by subject.
Of course there will be other files such as registration card
files, general administrative subject files, class rosters, final
class lists, and others. But the five are presumed to be the most
typical and basic of the records maintained, and it is in this con-
text that the comments in this paper are made.
Misfiles
Audits have shown that the typical office struggles along with
nearly 3 percent of its papers or folders physically misfiled. This
is too high. How much lower the figure should be depends on the kind
of file involved and the impact of "can't finds" and delayed findings.
For the files in question, there is little excuse for misfiles of more
than 1/2 of 1 percent. If it is higher, cheek first to see if you
have fixed responsibility on someone for the files and barred all
others from pulling or replacing folders or papers in the file. Too
many cooks spoil the broth in filing as well as in cooking. Misfiles
can also be substantially reduced and retrieval made more certain by
a variety of techniques we will discuss.
Time Required
In most subject files, it should normally take no more than 2 to
3 minutes to locate any item requested from the file. In case or card
files arranged in name or number sequence, the figure should be scaled
down to less than a minute depending on the proximity and size of the
file and the finding aids employed. Parenthetically, we might note
here that only the most expensive automated systems are faster than
manual retrieval systems when the object is to find a folder by name
-~- or number, if the name or number is known at the outset.
Filing Arrangements
The most common filing arrangements are by name, number, or sub-
ject. The rule for selection is simple--file by the feature most
often known when the records are needed. the users are more rikely
to'7n6W"_tie student's name than his identification number, then file
by surname. To take care of those instances, if numerous, in which
the number is known but not the exact name, you may need an "index" in
number sequence.
Our rule, to file by the feature most often known, is simple and
logical, but it is surprising how many people have been persuaded to
file by number because they have heard that "it is faster and more
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accurate" even though this might force them to find their way to the
desired record by way of name indexes. I know of one instance in
which it was necessary to work one's way progressively through four
indexes, one leading to the other, to find the number under which the
records were filed for an individual. Yet, 99 percent of the time
they started out with the name. Nor were there any offsetting advan-
tages.
Alphabetical filing and retrieval, performed manually, is nearly
as fast as numerical for the kinds of records we are talking about if
the name is known at the outset; it is much faster than numerical
filing and retrieval if we must refer to an index.' Alphabetical fil-
ing and retrieval, performed manually, is also nearly as accurate as
numerical filing; it is usually more accurate than a numerical arrange-
ment that is dependent upon the accuracy of the index file as well as
the accuracy of the numerical file.
The fact that computers can sort numerical information more
efficiently than alphabetical does not change our rule insofar as the
basic hard copy records of the office are concerned. There are
exceptions to be sure, but the considerations should be carefully
weighed if records are to be filed by any feature other than that most
often known when the records are needed.
Name Filing
Since names are the feature most often known for most of the
files in question, we will give particular attention to the special
problems that name-filing arrangements entail.
How would you alphabetize such names as these?
d'Alembert MacDonald
DiStefano McAllister
El-Abd O'Donnel
El Al VonRath
The problem is to insure consistency. Only if standard rules
have been followed can we be assured of retrieving records in an
alphabetic name file, particularly if it contains over a thousand
names. We need rules for prefixes and hyphenated surnames. We need
rules for filing and finding married women's names, abbreviated first
names, nicknames, titles, and abbreviated designations such as Sr.,
Jr., and others. One excellent source for a practical list of rules
is the publication, "Rules for Alphabetical Filing," published by the
American Records Management Association. (738 Builders Exchange,
Minneapolis, Minnesota; price $4.00)
Guides for. Name Files
"Guide cards" with labels that protrude above the file folders
are essential'for speed and accuracy. in both filing and retrieving
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records. Yet they are usually either absent altogether or poorly
distributed throughout the file. One guide card for every 10 to 15
folders is considered a good standard.
Name files present a seemingly difficult problem in achieving an
equal spacing of guide cards throughout the file because surnames are
simply not evenly distributed throughout the alphabet. In fact, six
letters of the alphabet (B, C, H, M, S, and W) contain, over half the
names of the people that live in the United States. If your name
file is not large, the easiest way to meet the standard and insure an
even distribution is to buy guide cards that permit replacement of
the labels. Then, go through your file and develop your own labels
for every 10 or so folders. If your file is very large, say over
10,000 names, it might be preferable to turn to a file equipment
company for professionally developed alphabetic guide labels which
come in sets tailored to different volumes of records. Let me caution
you, however, that these standard sets must be modified if you have a
heavy population of foreign students.
Guide cards, because they receive heavy use and are the main
guideposts to the folders, should be visible, rugged, and reusable.
Angular tabs are easiest to read. Heavy metal tabs on pressboard
assure a long life. Replaceable labels will permit reuse of the guide
cards for many years. The cost figures resulting from our experience are
those charged to Government, and you will likely pay at least 50 per-
cent more.
Phonetic Filing
We are frequently asked about TTsoundex" for name filing as a
means of assuring more certain retrieval. Under this system, similar
sounding names such as Johnsen, Johnston, Johnstone, and Jonston,
would all be filed together under an alpha-numeric code. It is rapid,
accurate, and easy to learn. It has been used successfully for years
in the 200-million name file of the Social Security Administration in
Baltimore. It is of particular worth in a situation in which the
exact spelling of surnames is frequently unknown and difficult to
verify. If that is a significant problem in your office, I suggest
you contact your l i office of fire Rerrming_t-on-Rand company for fur-
ther information. K.cc,
We have found very little need for special file folders as a
device for speeding filing and finding despite all salesmanship to
the contrary. We prefer a folder that is straight-cut but reinforced
across the top for the following reasons:
1. Those with narrow protruding tabs tend to become dog-eared
and difficult to read.
2. The eye can locate desired folders much faster if the labels
are in one straight row rather than zigzagged across the drawer.
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3. Guide cards, since they extend above the tops of the folders,
are much better guideposts for subdividing the file than staggered
folder tabs.
Our recommended all-purpose folder is kraft, 11 points in thick-
ness. For records that will'be used only a year or two, or only
occasionally, the manila 9.5 point folder is satisfactory and cheaper.
The heavy duty folders are for unusually long and rugged usage beyond
that typically found in admissions and registrars offices. Folder
labels that attract the eye and contain clear type or print'are essen-
tial for accurate and speedy filing and retrieval. We now have avail-
able a label that is easy to prepare on the typewriter and can be
applied quickly by peeling off the paper protecting the pressure-
sensitive adhesive on the back. No moistening is necessary.
Filing Cabinets
American ingenuity has devised almost every kind of storage
device imaginable for every size paper and for every unusual filing
problem. We will consider here only the ones most likely to be
pertinent to the typical records in your offices.
To begin with, the workhorse of the filing cabinet field is
the 5-drawer cabinet. A drawer usually holds about 4,000 sheets, 150
folders, and 15 to 20 guides.
Fire-insulated files are very expensive but might be justified
for such papers as the Permanent Record if other provision has not
been made for the reconstruction of the records if destroyed. Use of
insulated files should be confined to non-fire resistant buildings or
areas.
It is usually wasteful to purchase theft-resistant files with
combination or other special locks. For most needs, restricted
access during the day and a locked door at night will. serve.
Shelf Files
Shelf filing is becoming increasingly popular. If we use shelv-
ing that is seven shelves high, we can store the same linear footage
of records in about half the space required by 4=drawer filing cabinets.
One reason is that shelving requires only a 30-inch aisle space as
against 36 inches for filing cabinets.
We prefer the less expensive shelf files which cost about one-
half as much as file cabinets per linear foot of storage capacity.
However, the special'guide cards and folders that should be used cost
about twice those used in cabinets, and this can offset the purchase
advantage of shelving within a few years.
The advantages of speed and accuracy in filing and retrieving
records using shelf filing is a subject being continuously debated.
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The detractors of shelf filing point out that it is harder to reach
records on the top and bottom shelves and that side labels for guides
and folders are harder to prepare and read. Those who favor shelf
filing claim that studies show that inserting and retrieving the
records is about 25 percent faster with shelf filing and that this
more than offsets the time required to prepare the folders and guides
at the outset if the records are quite active. We favor the use of
shelf files.
In purchasing shelf filing, be wary of the kind with doors on
the shelves. If the doors must be opened every time the files are
used, we lose some advantage of speed. No doubt this accounts for
the fact that where shelf files with doors have been purchased, you
are likely to find the doors left constantly open and the extra money
they cost wasted.
It seldom pays to convert an existing collection of records to
shelf filing because of the costs entailed. It is most likely to pay
if applied to new files such as you set up for new admissions appli-
cations and registrations every year.
Mechanized Files
Mechanized files are used extensively in our offices today.
This type of equipment contains shelves which are electrically moved
to the desired working position by means of push buttons. The hori-
zontal type is generally used for card reference files while the
upright type is more typically for folder files.
They look modern and efficient and are a product of prosperous
times. But they have proven an albatross around the neck of the
office manager who purchased them because they looked efficient
rather than because. they filled a proven need. They are relatively
immobile, particularly the upright variety. Usually only one person
can work at the file at a time. Thus it does little good to have
large quantities of reference cards stored in a mechanized rotary
file if the number of requests for information during rush periods
exceeds the ability of one clerk.
While mechanized files can reduce physical strain because they
bring the records within easy reach of the user, they are not neces-
sarily faster than well arranged tub or shelf files for the same
volume of records.
Mechanized files generally cost about 10 times that of manual
files. Hence, to justify their purchase, the records must be very
active but not more so than one clerk per file unit can handle. Some
Government agencies have adopted the standard that such equipment
should be purchased only if the cost can be amortized by the benefits
within 18 months.
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Preservation and Disposal
Any discussion of hard copy storage and retrieval would be
incomplete without considering what to do with noncurrent records. I
understand' that AACRAO has a booklet on the subject called "Retention
of Records."
Avoid screening if possible! By screening we mean going through
the file to separate those papers to be retained from those eligible
for disposal. Almost inevitably the screening process is extremely
costly, seldom less than $5 to $6 per filing drawer. At best, screen-
ing costs so much that it is worth doing only if (1) over half of the
papers to be screened can thereby be destroyed, and if .(2) failure to
screen means permanent retention of a high percentage of valueless
material.
The proper time to avoid screening is when the files are created.
f records of temporary value are filed separately from those of more
permanent value, screening will not be necessary. Sometimes this is
accomplished by the simple method of putting the records that can be
destroyed after a relatively short time on the left side of a folder
and on the right side attaching papers that must be kept for years.
When the temporary papers have served their purpose, they can be
removed quickly from the folders.
As I view your records, most of them do not have a long, useful
life. I say this despite the response to a question in your summer
meeting of 1963---"How long are the application, correspondence, advanced
standing, etc. retained?" Of the 56 institutions represented, 3 said
for 1 year; 3 indicated destruction at graduation; 18 destroyed after
5 years; 1 after 10 years; and 31 reported that they keep all informa-
tion permanently. If I am correct that these and most other admissions
and registrars office records should be short-lived, then screening
should not be necessary. The entire contents of the folders should be
kept intact and destroyed "after 5 years" or after some other specified
period.
Records that must be kept in the office for a school year and
thereafter will be used only occasionally should ordinarily be moved
out of the office at the end of the year. Why not put them in boxes,
give the boxes consecutive numbers, prepare a list of the contents of
each box (e.g., names on the first and last folders in each box), and
store them on shelves in a records center located in less expensive
space? When a record is needed, a clerk may determine the appropriate
box number by referring to the list prepared for this purpose.
We do this in the Government. Records referred to less than once
a month per-linear foot of records are sent to Federal Records Centers,
sometimes hundreds of miles away. An agency can get back any record
within 24 hours or, if sufficiently urgent, the information desired
can be furnished by telephone. We are able to hold 1 cubic foot of
records in such centers for 1/12 of what it would cost in offices.
Before leaving this subject, I think it should be clear that I
am not suggesting the use of the kind of "records center" that is
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located in the corner of the administration building basement, where
inactive records have been dumped in one horrible heap, and to which
no one will go if there is any possible alternative. To the con-
trary, I mean a clean and well lighted room with adequate shelving
and with the boxes of records arranged in an orderly and easily
accessible way. A good records center involves much more. You may
find the publication, Federal Records Centers, helpful.. (Available
from the U. S. Government Printing Office, Washington, D. C., for 20
cents.)
MICROFILM STORAGE AND RETRIEVAL
Five major uses are being made of microfilm today. To:
1. Save space
2. Guard against loss of vital information
3. Preserve valuable, irreplaceable records
4. Reproduce and distribute documents
5. Improve retrieval of information
The first use of microfilming, as a space saving technique, was
greatly overdone in the past because in many instances it would have
been cheaper to store the records in records-center space in a
separate area. This is. particularly true of case folders containing
papers of various sizes, thicknesses, and inscriptions, some of which
are stapled together or fastened down. Studies have shown that such
records can be stored for an average of about 40 years in a center
before the cost would equal that required to microfilm them.
The second use of microfilming, guarding against loss of vital
information such as that essential to resumption of operations follow-
ing a disaster, is usually a valid justification for a limited group
of records. Of course, a copy of this microfilm will be stored at a
separate location outside of any likely disaster area. From the
minutes of a previous meeting of your Association, I note that security
is apparently considered as the major reason you have microfilmed the
permanent records.
The third use, microfilming to preserve valuable irreplaceable
records, pertains to situations where there is danger of their becom-
ing lost or damaged through constant use. Thus far we have not been
able to assign a life expectancy figure to microfilm. We believe
that it will be usable after perhaps 100 years, given proper care, but
at the same time we are not destroying records that have been micro-
filmed which have permanent reference value.
The fourth use, microfilming for reproduction and distribution
of documents, is becoming increasingly important. It can result in
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substantial savings in funds and elapsed time in situations where the
number of copies needed is not sufficient to justify use of conven-
tional printing and'distribution methods, or where there is a long-
term unpredictable need for an occasional copy of individual documents.
This brings us to the fifth and, perhaps, most important use of
microfilm--for improving retrieval of information. In the past,
microfilming was usually justified on the basis of one or more of the
preceding four uses, but recent developments of equipment and tech
niques have given it a promising new dimension as a retrieval device.
Usually it is possible to couple more than one of these uses of
microfilm in any application, but I._shall concentrate on the fifth use,
as a means of improving retrieval of information.
In considering a microfilm system for storing and retrieving
information, it is important to remember that the costs for producing
the microfilm and providing viewing equipment are always. considerable.
Therefore, microfilm is normally justified for information retrieval
only when the following conditions exist: (1) The information will be
in continuous use for a long period. (2) The information is needed at
a single location where there is a high reference rate, or at numerous
locations having a moderate to low reference rate.
Roll Microfilm
Roll microfilm is still the predominant type in use today. This
is largely due to improved techniques and equipment for producing the
film, loading and threading the film in the viewer, making paper
enlargements, and locating individual images. Roll. microfilm is also
receiving increased use for the storage and retrieval of large masses
of data produced by computers. Equipment such as the Stromberg
Carlson S-C 4400 Computer Document Recorder, the Burroughs Digit-
printer, and the 3M.Company Electron Beam Recorder, now make it pos-
sible to record information on microfilm direct from computer magnetic
tape.
Instead of having to. load and thread the microfilm viewer by hand,
three manufacturers., the. Eastman Kodak Company, the Bell and Howell
Corporation, and the 3M Company store the film in cartridges which can
be quickly slipped into place in the viewer and the film automatically
threaded, ready. for instant viewing. All three viewers can be pur-
chased with an attachment for making a paper enlargement of individual
film images at speeds of 20 seconds or less.
your basic methods are used to assist..in the rapid location of
individual records..on the roll of microfilm:
1. Viewers incorporating an odometer-like device, such as those
available from the 3M Company and the Bell and Howell. Corporation.
There ?are. normally about 2 images per inch of microfilm or 2400 linear
"locations" per 100 foot roll. At the time of microfilming, a record
locator card or sheet is prepared showing the linear location for each
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record on the roll of film. When looking up information, the user
must determine which roll of microfilm it is on and then refer to the
record locator card or sheet to find its linear location on the film.
As the film passes through the viewer, he watches the film odometer
until the linear location number corresponds with that shown on the
record locator card or sheet.
2. Viewers incorporating an image-counting device and keyboard
image selection, such as those manufactured by the Eastman Kodak
Company. At the time of microfilming, a small opaque square or "blip"
is placed beside each film image. A record locator card or sheet is
prepared showing the image number for each record on the roll of micro-
film. The look-up is much the same as for odometer viewers except that
the user merely keys in the image number of "address." A photoelectric
cell within the viewer counts the image "blips" and automatically stops
at the selected image.
3. Viewers incorporating a numerical or alphabetical scale on the
face of the screen, for visual matching with bars or code lines on the
microfilm. This technique was introduced by Eastman Kodak, and various
adaptations of it are now in widespread use. Small lines or bars
representing standard file breaks, such as the 10's, 100's, 1000's
positions, are superimposed between page images on the microfilm at
the time the records are filmed. The user must have prior knowledge
of the identifying name or number of the document he is seeking. Once
he has this information, he is able to come to within 10 records or
images of the one he is seeking by running the film through the viewer
until the bars or-code lines match those representing the file break
desired on a scale on the viewer screen.
4. Viewers incorporating computer-like circuitry for reading
optical binary digital code, such as those available from the National
Bureau of Standards; FMA, Inc.; and the Eastman Kodak Company. When
microfilming the records, a special camera permits direct recording on
the film, in coded form, any desired descriptive data, such as names,
numbers, dates, and indexing terms. This descriptive data appears on
the film as a pattern of transparent and opaque blocks which form the
optical binary digital code. The searching process permits the user,
through a keyboard-based device, to locate records on the basis of
name, number, etc., and to conduct complex searches involving the
coordinate indexing principle.
The nature of admission and registration records, as well as the
special information requirements of the office involved, varies enough
at each college that any attempt to give specific guidance on the
optimum use of microfilm in this paper is fraught with dangers. Each
of the tools we have mentioned will be the best answer for some col-
lege. But, to give realism to otherwise seemingly sterile facts,
let's get down to cases and consider roll microfilm for the permanent
record files of the registrar's office. These records appear to ful-
fill our requirements for using microfilm for information retrieval in
that (1) the information will be in continuous use for a long time,
and (2) the information is needed at a single location where there is
a high reference rate, or at numerous locations having a moderate to
low reference rate.
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Since our reference need is simply to find records on microfilm
by name, there appears little need to go first to a separate index to
find the location or proper address on the film such as our first two
methods suppose. Since we do not need to use this record to conduct
complex searches or use coordinate indexing, nor to search by any
feature other than name, the fourth method, may be ruled out as unneces-
sarily expensive. This leaves our third method as the most likely,
that of filming our records in alphabetical sequence, with bars or
lines on the film that serve as finding aids in much the same way as
guide cards in our files.
By this method, retrieval can be rapid, misfiles resulting from
removing and replacing records in the file are avoided, and hard copies
can be made at the touch of a button. In addition, a copy of the micro-
film might-also be used as a protection against fire or other disaster.
The foregoing exercise in logic is not intended to give the impression
that we think roll microfilm is appropriate for the permanent records
of all registrars.
The major drawback, as everyone knows, is that the permanent
record files do not remain static; they require constant updating. It
might be that roll microfilm is not the answer, but before giving it
up we should consider how we could reduce this difficulty. In the
first place, we would probably not microfilm records of students
currently enrolled, thus avoiding the most active records. For the
balance, we might splice onto the front of each roll of film micro-
film supplements giving the names or updated papers of all students
in the alphabetical segment involved whose records have changed during
the preceding year. The microfilm user would then scan these addi-
tions before proceeding further into the roll. This takes less time
than you might.suppose. It is the way Social Security does it for
employee earning records, except that they splice onto the front of
each roll the changes every quarter.
Under this system we might want to re-microfilm the entire file
about every 5 to 10 years. This. means that we.would never destroy -Me
basic hard copy record after microfilming, or at least not until the
record is perhaps 50 years old and it is safe to assume it will not be
reactivated.
As a parting thought about roll microfilm, the ability to record
over 2,000 pages of information on a 100 foot roll of microfilm is not
necessarily an advantage. If the look-up or searching pattern is such
that the user or system operator needs to retrieve only one or two
records per roll, the operation can become excessively time consuming,
due to the constant loading and unloading of the rolls of microfilm,
and the feeding of the film through the viewer. And., as we have
previously noted, roll microfilm can also present problems in situa-
tions where individual records must be up-dated, changed, or deleted.
Unitized Microfilm
In order to overcome the problems of roll microfilm, in situa-
tions such as that just described, various microfilm unit record .
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systems have been developed. The most common unitized records are
aperture cards, film jackets, microfiche, film chips, and film strips.
The unit records used in such systems vary in size and shape and may
contain images of as few as 1 or 2 pages of information or as many as
100. Some, such as those employed in superminiaturized systems, con-
tain up to 10,000 pages on 1 sheet of film.
In the past, the records were usually photographed on standard
planetary (overhead) roll microfilm cameras, and then cut into short
lengths for mounting on unit records. In many of the newer systems,
special cameras are employed which permit direct recording of the
image on the microfilm unit record.
The following is a brief description of the main types of micro-
film unit records.
1. Film jackets represent one attempt to solve problems created
by roll microfilm systems in the selective retrieval of, and making
additions to, multiple page records. Film jackets consist of two
sheets of plastic, affixed to each other in such a way as to provide
slots or sleeves for inserting strips of microfilm. A card or opaque
strip at the top is provided for writing the identifying information.
The entire jacket, with film inside, is placed in the microfilm viewer
for reading. Jackets range in size from about 3-by-5 to 5-by-8 inches.
Film jackets provide a simple, fairly inexpensive method for unitizing
large individual document or case-type records, permit addition of new
documents, and protect file from dirt and scratches.
2. Microfiche, or microfilm cards, are plastic sheets with the
photo reductions made directly on the sheet. A 4-by-6 inch sheet
typically holds 60 images. Recent developments in the field include
"superminiaturized cards" in which reduction ratios of up to 300 to 1
are being used and automated retrieval techniques employed.
Microfiche is primarily used as a method for stocking, reproduc-
ing, and distributing lengthy records to many users where the volume
is not sufficient to justify using conventional printing techniques.
Microfiche unit records are more expensive to produce than most
other forms of microfilm and they do not appear to have as much poten-
tial for automated retrieval as some of the others.
3. Aperture cards provide for individual document images to be
mounted in cut-out windows or apertures in electrical accounting
machine punched cards or edge-notched cards. The document number and
other selected data are often coded into the card to permit mechani-
cal sorting and sequence-checking later. In many systems, the original
or master aperture card is never loaned; instead, the requester is
given a duplicate card or enlarged paper copy of the document:. Cards
with microfilm apertures are best suited to situations where the
individual records have few pages. It used to be that only one micro-
film image per card was practical, but today some aperture cards will
hold as many as eight images. They permit rapid, relatively low cost
duplication to meet needs for widespread distribution of documents and
heavy user requests for copies.
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4. Microfilm chip systems get their name from the fact that they
are little film units out from roll film and are usually quite small.
They are designed primarily to meet the need for extremely rapid
retrieval of individual short documents (1 to 3 pages) from large,
heavily used files. They also satisfy the possible requirement for
associating additional pages with the original document and for delet-
ing individual documents from the file. In most such systems, the
record number and a small amount of other descriptive data are added
to the document in coded form at the time of microfilming. The chips
may be manipulated, sorted, and selected by machines employing photo-
electric cells, simple electronic circuits, keyboard selector devices,
and a built-in viewing screen. Microfilm chip systems involve very
high equipment costs.
5. Microfilm strip systems utilize roll microfilm. They are of
three types: (a) strips maintained in small containers with a label
showing the document number; (b) strips attached to one side of a card
or sheet on which is typed or printed identifying information, includ-
ing possibly a summary or abstract; and, (c) strips mounted on rigid
"sticks" about 12 inches long. The first type of strip system has
proved useful for long term storage of lengthy documents having a very
low reference activity and need for "on-demand" paper enlargements.
The second type of strips provides an effective low cost method for
distributing documents of moderate lengths where a summary or abstract
would be required in any event but the users have only an occasional
need to view the entire document. When such need occurs, the full
document is readily accessible but yet very little storage space is
required for its storage. The third type would normally be best
suited to situations where there is a high reference rate and a need
for very fast retrieval. One such system, developed by the Eastman
Kodak Company, can be used for rapid look-up of student numbers, post
office zip codes, and similar directory or catalog-type data.
In the foregoing discussion of unitized microfilm systems, I have
given only a sketchy outline of the considerations involved, enough,
I hope, to show that there are many possible ways of overcoming the
limitations of roll microfilm.
Once again, let's attempt to relate unitized microfilm to the
permanent records without appearing to recommend any system for your
specific needs. Several unitized systems deserve your consideration,
depending on your special requirements; but for most registrars
offices we could probably narrow the choice down to film jackets versus
aperture cards because they are: (a) Less expensive than microfiche,
chip systems, and strips mounted on sticks. (b) Easier to update than
microfiche and strips attached to cards or sheets. (c) Easier to use
than strips maintained in small containers and strips attached to cards.
(d) Adequate for the retrieval speed required. (e) Adequate to insure
finding the record desired, since there is little apparent need for
retrieval by any characteristic other than name.
Selection between film jackets and aperture cards might be deter-
mined by the number of pages in the permanent records for each person.
If it were always limited to one page, the aperture card would almost
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certainly prevail. If it were frequently over eight pages, the film
jacket would likely win. If it is somewhere in between, other consid-
erations would be controlling, including frequency and ease of
updating and the need for mechanical sorting to insure the integrity
of the file.
COMPUTER STORAGE AND RETRIEVAL
Microfilm information storage and retrieval systems are primarily
used as a direct substitute for hard copy storage and retrieval and
usually where the look-up is on the basis of name, number, or some
other single identifier. Some of the more costly systems, however,
will permit searching by several identifiers. Microfilm usually is
much less expensive than the computer for the storage of pages of
information. The computer stands supreme when there is a need to
manipulate data. Hence, it is usually the information retrieval device
preferred for extracting and assembling precise answers and facts from
a mass of information, for example, in producing statistical reports
and various listings. Because of its ability to erase and update, it
is unbeatable in most dynamic information situations in which the most
current information is needed as changes occur, such as class registra-
tion information during the registration period.
Retrieval Speed
A computer is not necessarily faster than hard copy or microfilm
retrieval, unless there is also need for data manipulation. Even
random access does not insure faster retrieval for the user if the
steps he must take to query the machine are difficult.
How much speed do you need? That depends on the use, of course.
For most listings and reports, overnight or a day or two delay would
be acceptable. But this is not so for student enrollment information
during registration, in the thinking of some collegiate officers using
or planning to use remote input-output devices. It is not so for any
computer retrieval- system that hopes to compete with hard copy and
microfilm systems where no data manipulation is involved.
For the usual listings and reports, the comparatively slow com-
puters with tape drives will do.
Random access disk and drum storage should be considered when you
need within seconds information about a specific student, class, school,
etc.
To store in the computer memory all the information that might be
needed by your office, so that it would be available instantaneously
upon demand, is much too costly for consideration. To illustrate, a
20K computer could store in memory and give you immediate access to
only about 10 pages of narrative or numerical data. Therefore, the
internal memory must remain as a temporary holding device with the
reservoir of data stored on tapes, disks, or drums.
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Looking ahead, the most promising computer device on the horizon
to give you ready access speeds to tremendous quantities of data with-
out the delays necessary for tape drives is the "optical memory."
The data, in optical binary coded form, is recorded directly onto photo-
sensitive disks, chips, or other media by means of electron laser-type
beams. In one system, a single 9-inch photo film disk can store the
same amount of data which now requires two reels of magnetic tape.
Consequently, it makes it possible for the computer to have random
access to an almost limitless volume of stored data. Systems having a
storage capacity of several trillion bits are already in the final
stages of development. Very likely the cost will eventually come within
the price range that your institution can afford and you may then have
immediate access to all the information you desire to record in machine
language.
Two companies, IBM and ITEK, are offering "optical memory" systems.
All major computer companies are believed to be developing their own.
At present the cost is great, reportedly one-half million dollars for
the equipment needed in one system, not including a computer.
All of this adds up to the fact that today you can now have access
within seconds to limited volumes of information--if you can afford the
price. Tomorrow you can expect access within seconds to almost unlimi-
ted volumes of information--at a price you should all be able to afford.
The most expensive part of any computer system is usually not the
equipment, and generally not the cost of information processing and
retrieval, but the cost of input. The cost of converting the human
language into the machine language understood by the computer is so
great that information retrieval in the office environment must gener-
ally ride piggy-back on data processing and the accomplishment of the
basic tasks of the office.
No doubt when optical scanners have been further perfected, the
lowered input costs will change the picture. Full fledged data banks,
wherein reposes all student information now kept on paper, may then
become a practical reality. For now, any computer retrieval system
must be primarily dependent upon information used to process applica-
tions, prepare class schedules, issue grade cards, furnish critical
administrative reports, and perform other housekeeping chores.
This leads us to the obvious conclusion: Do not buy computers
for information retrieval! This does not mean that information
retrieval needs should be ignored. Such needs are a part of the total
information needs of a university and as such should influence the
choice of computers.
Anticipating Needs
You have heard it said that the trouble with computers is that
when you install one everybody asks for information they never got
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before. This may be a justifiable criticism in some specific instances,
but I prefer to believe that officials have needed more and better
information all along. Unfortunately, such information vacuums are
generally hard to recognize at the outset, possibly because of habit
thinking developed in the old environment.
Let me illustrate from the experience of one university I visited..
A computer center was established to handle some of the administrative
work. Once the fundamental processing jobs had been computerized, they
began to get requests for such information as:
1. Names and present addresses of foreign students, by country.
2. Names and addresses of alumni related to present students.
3. Selected information from high school records and aptitude
tests to be used in freshman counseling.
4. Student religious affiliation information for use by chaplains.
5. Evaluations of high schools based upon how well students from
each school have done while enrolled in this university, for appraising
future applicants.
6. Names and addresses of all applicants expecting to major in
mathematics, for mailing out information about a new program.
7. Class profile information.
From another university, I received a list of the data outputs of
their computer and found 37 that appeared to be derived from admissions
and registration data. The list included only recurring information
requirements and,I do not know how many special one-time demands are
met. Whatever the actual total requirements, it is safe to say that it
will increase.
How can you anticipate your needs in order to appraise your
systems requirements? The best advice I can give is to examine the
experience of universities that have used computers for some time and
then allow considerable room for expansion. The thirst for information
is virtually insatiable and is limited only by imagination and cost.
File Integrity
Computer filing of information is probably the most accurate filing
method we have today. The computer files as accurately as the directions
we give it, and the data remain untouched by fallible human hands. This
does not mean, however, that we can find the information we want when we
want it, even if we have correctly filed it away by computer. That
depends upon our ability to retrace our steps by using at least some of
the same words or numbers we used when we instructed the computer to
file. If we cannot do this, the information will be lost.
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17
Loss of information on tape through aging or accidental erasing
is not likely to be a significant consideration if reasonable care is
exercised.
Outputs
This brings us to the subject of outputs from the computer.
Usually we get the information we want as print-outs. But are you
aware that the information can be displayed on a cathode ray tube in
human language and almost instantly microfilmed? We have had this for
a few years and now someone has improved upon it. A new electron beam
process eliminates the cathode-ray tube and records directly on micro-
film from the computer. For those of you who are using the computer to
prepare and update the permanent record, either of these processes might
be of interest. Cost is again our biggest deterrent.
Remote Query
One of the most promising information retrieval developments for
your purposes is probably the remote query devices on-line with the
computer. The first large scale use of this technique may have been
in reserving passenger space on commercial airlines. It provided on-
line information, making it possible to accept reservations for
involved itineraries right up to flight time.
I was delighted to learn that at least 24 of your offices have
indicated current or planned uses of remote input-output equipment in
the registration process. A control computer is linked to a number of
typewriter or teletype devices from which the machine language infor-
mation repository may be queried or updated. The computer response is
either typed out or appears on a cathode-ray tube in a matter of
seconds.
One university reports that in its first experience with this
system, the staff was able to register nearly 13,000 students in an
average of 3 minutes per student as compared with nearly 50 minutes
with the old field house, mass registration method. What is more, the
staff believed that the byproducts of computer registration may prove
even more significant than the direct benefits of this method of
registering.
Time Sharing
Allied to the remote input-output devices is computer time shar-
ing. I am not referring to the possible use of a computer when no one
else is using it. I mean the simultaneous use of the computer by
several people for different purposes. One remote station might be
querying the computer about registration information, another might be
asking about classroom space assignments, and a third might be request-
ing grade information. While all this is going on, the same computer
might be preparing a listing or turning out the faculty payroll.
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This can be done now but is primarily dependent on a huge memory
capacity. Your institution will almost certainly have it within a
few years as the cost of large internal storage comes within reach.
In a number of major cities it is possible now to rent access
time to such a computer and use it from an input-output station in
your office. It may be that for some purposes this will prove less
expensive than purchasing or renting your own computer.
Punched Cards
Much of what we have said about computer storage and retrieval is
equally applicable to electrical accounting machine punched card sys-
tems, except for speed and the advantages made possible by computer
memories.
Some progress has been made in attempting to adapt videotape to
office information-retrieval needs. It has the obvious advantage of
image storage, plus machine language retrieval, plus the ability to
erase and update electronically. Thus, it has many of the advantages
of both computer and microfilm systems.
As of now I know of only one actual installation, so our exper-
ience is too limited for a satisfactory appraisal.
It is very expensive, as you might suspect, although prices have
not been published. The image it will produce on a screen is not as
good as that of microfilm. For the present, I doubt that videotape
will be used to solve your retrieval problems; but do not rule it out
of your future.
STORAGE AND RETRIEVAL WITH COORDINATE INDEXING
No discussion of information storage and retrieval would be
complete without considering "coordinate indexing." It is considered
by most persons acquainted with the subject as nearly synonymous with
"information retrieval." We have skirted around it several times in
this paper.
The concept is quite simple when considered in connection with
student records. Suppose someone asked you for a roster of those
students who had taken certain courses in nuclear physics and mathe-
matics and chemistry and who can speak German but not including any
foreign students from Germany. Coordinate indexing makes it possible
to furnish such information, though it is virtually impossible to do
so by conventional methods.
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As another example, suppose you wanted to find a document deal-
ing with the costs for programming computers for retrieval of litera-
ture about education. If you were to search a coordinate index under
"costs" you might get more documents than you could look through in a
week, but by searching under both "costs" and "computers" you might
get a more practical number, perhaps 50 documents. Add "computers,"
"retrieval,","literature," and "education" and you might get precisely
the article you want--or nothing at all. Coordinate indexing allows
you to broaden or narrow the search to fit your needs.
Computers
Computers can perform coordinate index searching easily but it
can be quite involved program-wise. It usually requires an organized
.list or "dictionary" which give the terms used in the. system and
defines their meaning. Developing such a dictionary may require con-
siderable skill and time.
In document or literature-type retrieval systems, the computer
serves as the index file, compares the terms or "descriptors" you feed
into it with the descriptive information of papers or articles it has
filed away and gives you the "address" where you can find the items.
The items are usually filed by name or number.
In some systems, abstracts or complete text documents are stored
on tapes and this is printed out or displayed by the computer rather
than furnishing a reference only.
Columnar Cards
Under the simplest coordinate indexing system (the'columnar card),
one card is used for each indexing term. The first column is used for
manually posting serial numbers of relevant documents ending in the
digit "0"; the second column is used for those ending in "l,T'and so
forth. In searching, the term cards which apply are visually scanned
by first matching the "0" columns of all cards, then the "l" columns,
etc.
When we find the same document number on all cards, we know that
it is the document we want, since all descriptors are applicable.
Edge-Notched Cards
Edge-notched cards, often called needle-sort cards, have areas
around the borders for recording data in a notched code form. The
punching positions, represented by pilot holes along one or more of
the outer edges of the cards, are reserved for recording such identi-
fying data as keywords or descriptors, dates, and names. The data
are recorded on the card by punching out the proper pilot holes in the
deck. The selected cards (those which have been notched) fall out,
while the others remain on the needle. This process is repeated until
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the search is narrowed down to those cards which completely satisfy
the search.
Edge-notched card systems are relatively inexpensive and simple
to use. Retrieval speeds are satisfactory if the file is small (under
2000 cards) and it is not necessary to incorporate complex indexing
and searching techniques. One of the main advantages to the user is
immediate availability of pertinent details regarding the document
identified through the search. Searching becomes increasingly tedious
and time consuming, however, as the file grows beyond 2,000 cards.
Optical Coincidence Cards
The two most common'optical coincidence systems, Jonkers Business
Machines' "Termatrex" and Royal McBee's "Keydex," employ cards approxi-
mately 10-by-11 inches, with positions for punching 10,000 holes. Hand-
punched electrical accounting machine punched cards and other types of
cards are also sometimes used.
A separate card is prepared for each indexing term used in the
system. Each such term card contains a fixed number of assigned but
unpunched hole positions. Each of these hole positions represents the
same serial number in each card. The documents being indexed are
assigned corresponding serial numbers. To enter a document into the
system, the term cards which apply are punched in the position reserved
for the serial number of that document. When conducting a search, the
term cards which apply are superimposed one on top of the other and
visually scanned for coinciding holes to identify those documents or
things which satisfy the search request. This optical coincidence
feature has been dubbed "peek-a-boo."
Optical coincidence cards provide a simple, inexpensive tool for
recording and manipulating index data. They are easy to transport and
reproduce and can be converted to a computer system. One medical
school uses them for various student selection purposes.
CONCLUSION
There is no pat answer to the question: "What information
retrieval system is best today?" That depends on your needs, which
only you know.
No one type of information retrieval system holds a monopoly on
the future, although it does appear that the trend is toward automation
and miniaturization. Certainly the computer will figure in your infor-
mation-retrieval system some place. But somewhere along that, informa-
tion-retrieval spectrum is the right combination for your needs.
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1essr, lobert Cain and Robert Lando of NABS, CSA, gave consider-
h P i Y k~:~ f
neeheiltoatce in dove1opmemberd critiqueing this paper. I am also
AACRAO who provided special
of
$
information on procedures at their universities.
Ms.wosephine t. Cortese - American University
L. ver
r. c arle s x `oreman- University of Denver
ener Pennsylvania State Un y
"r ifta"f
Mr. CnTarren
. Robert P. O ilvie - American University
M~
e~oad ~nd es aa Unersity of Iowa
~~. Don Scherer onald '.- University
y -iayne State University
. W`lliam E. Slab
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