Sources and Techniques of Obtaining National Defense Science and Technology Intelligence (Chapter 4)

"Sources and Techniques" Title Page

Chapter 4: National Defense S&T Intelligence Sources Discussed
In the course of the development of information science and the study of collection, people will inevitably come up with different views regarding various concepts. This is quite normal, and academically we should permit everyone to express his opinion. The question of the concept of "information sources" is one of the hot topics in information science circles. People are deeply interested in it, and explaining this concept clearly has important significance for the development of information science. However, because information science is a new field, people are not consistent when it comes to their definitions for the question "what is information?" In the No. 1, 1983 issue of the "Journal of Information Science" there was an article by comrade Huang Huihuang in which he listed 37 explanations of the definition of information. Therefore, at present people also have differing views on the concept of "information sources," and their explanations are not the same. Some journals in the information science field in China have columns devoted to a discussion of this topic.
We believe that, in order to arrive at the correct interpretation of the concept of "intelligence sources," we must first come up with a fairly scientific definition for the concept of "intelligence." We believe that professor Qian Xuesen's definition, which he summarized by saying that "intelligence is the knowledge required to understand a particular problem," is fairly scientific. Let us consider and analyze the question premised upon this definition. We also need to differentiate between "what is intelligence" and "what is information," not doing as some of us did in the past and making no distinction between them, or even going so far as to lump them together indiscriminately in the expression "intelligence information" to avoid suspicions of being unclear about the concept. What is particularly important is to study the concept of "intelligence sources" from an overall and systematic perspective. By studying it based on our experiences in more than 30 years of work in S&T information and while focusing on the developments that will be made in the days to come in S&T information, we can arrive at a timely new concept. We do not advocate following foreign definitions indiscriminately, because on one hand the foreign concepts are quite inconsistent, while on the other hand foreign dictionaries and the translations of foreign monographs have limitations such as one word having multiple meanings or the translator having some specialized knowledge or understanding, so the writer's concept is not necessarily expressed accurately, which can easily lead one down the wrong path, and this is particularly true in new academic disciplines. Therefore, we should certainly study such reference works, but we must not follow them slavishly, we must not allow them to restrain us too much, and most importantly we must proceed with our practical work in mind, elevating our emotional knowledge into rational knowledge and proceeding to establish a scientific theoretical concept system for information science, the study of information, and the study of collection.
In Chapter 1, Section Three, we have already laid out our basic perspectives regarding our understanding of intelligence sources and information sources. In this chapter, we will discuss these viewpoints specifically and in somewhat more detail.
Section One -- Examples of the Concept of Information Sources Most Commonly Seen in China and Elsewhere
I. Several Typical Formulations in Foreign Information Circles
1. In 1976 the United Nations Educational, Scientific, and Cultural Organization (UNESCO) published a book called "Terminology of Documentation, and this book of terminology provided the following definition for "information sources": "Sources of information obtained by individuals to satisfy their information needs are known as information sources." Putting this in everyday terms, information sources are where information comes from.
2. Based on the "Chinese-Russian-English Dictionary of Information Science" published in 1982 by the Scientific and Technical Documents Publishing House, Soviet information scholars believed that "Any system which produces information or which holds information for the purpose of transmission is known as an information source." In terms of our subsequent understanding, what they are referring to here as information sources are facilities such as research institutions, libraries, and information offices.
3. In "Information Sources for Research and Development -- Use of Engineering Literature" edited by K. W. Mildren Butterworth and published by Publisher, Ltd., British information scholars held the following views: They viewed academic societies, academic bodies, research institutions, colleges, periodicals, and books, etc., all as information sources, and they viewed information carriers as the most direct source for users to acquire the actual information.
4. In the 1982 book "Organization and Methods in Information Work" by the Soviet writer R. N. Uvanov, the author equated "information sources" with "documents," and this book was approved for use in institutions of higher learning by the Soviet department in charge of higher education and specialized secondary education.
5. In 1980 the Polish scholar A. Baomeikaersiji [as published] wrote in "Information Systems in Scientific Research" that "The concept of information sources can be understood as places which produce or have information for propagation purposes (systems, organizations, institutions), or documents which contain information (scientific, technical, and economic information, as well as reports regarding scientific, technical, and economic achievements)." That is, he viewed institutions and documents as information sources.
II. Several Typical Views Among Domestic Information Circles
1. Information sources means where information comes from, and S&T periodicals, conference records, S&T reports, government publications, academic degree treatises, S&T books, standards, product samples, patent documents, and others (such as newspapers, technical archives, and drawings, etc.) are known as the 10 major information sources.
2. Information sources, that is, where information comes from, does not merely refer to the 10 kinds of documents in 1. above, but also includes material information such as verbal information and samples, etc.
3. Information sources do not equate to sources of intelligence, in that information sources should be the wellsprings which produce intelligence, specifically, the latest scientific and technical achievements produced and created in the history of man which have not entered the transmission process.
4. Information sources are all the public institutions or individuals which can produce information or answer difficult questions. For example, research institutions, academic societies (associations), colleges and universities, production firms, libraries and information facilities, document search tools and compilation units, specialists, and scholars, etc.
5. What information sources refers to are the institutions and bodies which produce and transmit various kinds of actual information. This not only includes research institutions, libraries and information offices, and companies and enterprises, but also includes documents and objects in various carrier forms, as well as specialists.
III. Analytical Comparison
In taking an overall look at the typical formulations of information circles in China and elsewhere regarding the concept of information sources, it is not difficult to see that several of the domestic views are basically imported directly from overseas, or formed through minor modifications after being imported. There is nothing strange about this, because the pace of our studies of information science is behind that of foreign countries, and importing some knowledge is necessary as well as beneficial.
The first kind of typical view in China is to limit information sources merely to documents. This view was seen often in some information science treatises and books in the early period in China (the 60s), and its inertia effect continues to this day. Even if one grudgingly acknowledges that this concept is justifiable, given China's historical conditions at the time, that is, with the United States, the Soviet Union, and other countries implementing technological blockades and embargoes against China, and furthermore with we ourselves implementing closed-door policies, the primary means by which S&T personnel obtained information was by reviewing the literature, but from today's perspective, its focus is obviously too narrow, as it ignores informal exchange processes and also ignores other non-documentary forms of information sources. Developing collection operations under the guidance of this kind of understanding may result in searches which lay too much emphasis on things that are "substantial," which is to say, a tendency to overemphasize published materials in our searches, while ignoring the study of generation and dissemination which should be emphasized in the information age, ignoring "virtual" collection leads. This was a common failing among many information units in China during the previous period.
In addition, the focal point in the differences in the various other concepts of information sources is whether or not research institutes, academic societies (associations), government organs, companies and enterprises, libraries and information offices, and other such institutions (including specialists and scholars), hereafter referred to simply as "institutions," are information sources. Some say that only "institutions" are truly information sources, while the information source concept of others refers specifically to information carriers involving various document and non-document forms. Yet another concept is that "institutions" and information carriers involving various document and non-document forms are all information sources.
Bringing up the "institution" question (in this book it is placed in the "information sources" concept category, which will be discussed in the next section) represents a breakthrough in the traditional perspective on collection work that has been around for many years. For a long time, our collection workers have been accustomed to targeting various literature, studying their types, characteristics, functions, current situation and development trends, while there has not been enough study of the "institutions" which produce and transmit this literature. They have been accustomed to providing the literature they have collected from various places to the users, but have neglected to introduce the "institutions," which are the sources that produce and transmit this literature, to S&T workers and information workers. Bringing up the "institution" issue represents a breakthrough in artificial boundaries, so that literature and non-documentary information, research and production units, and book and information departments all appear within the field of vision of S&T personnel and information workers, and this has undoubtedly played an enormous role in stimulating and promoting the development of information science, particularly the formation and development of the study of collection. It may be said that posing the "institution" issue indicates a milestone in the in-depth development of the study of collection.
Section Two -- Categories and Characteristics of Intelligence Sources and Information Sources
Below, we will give our understanding of the concepts of intelligence sources and information sources. The theoretical basis for our argument is that intelligence and information represent two different concepts which are both interrelated and mutually different, and that intelligence does not equal information. In a broad sense, information is knowledge which has taken a material form, while in the narrow sense information is knowledge in symbol form. Intelligence is the knowledge required to resolve specific problems; it is special knowledge which has been extracted from information, while information is the wellspring of the extracted intelligence, the raw material for active knowledge.
I. Intelligence Sources
1. What Do We Mean By Intelligence Sources?
Intelligence sources are the sources which man relies on to acquire intelligence. Intelligence per se is only stored in three forms: One is when it exists in memory in the human brain, from where it is propagated through speech as verbal materials, with people obtaining it through conversations, discussions, listening to reports, and other such modes. Two is when it exists in physical materials (such as products, prototypes, and samples, etc.), and people obtain it through observation, surveying and mapping, and other modes. Three is when it exists in what is commonly referred to as readable data (including the ten major types of documentary data, audio-visual data, photo-electric data, and database data, etc.), and people acquire it through reading (directly or in machine-readable form) and analytical research. Together, these three forms of information constitute the source of intelligence. Simply stated, intelligence comes from various information, and information is the source of intelligence. The three fundamental characteristics of intelligence sources (i.e., information) are that they objectively contain "specific knowledge" which "can be transmitted" and "can be activated," that is, objectivity, transmissibility, and activatibility. These attributes have been described above, so we will not go into unnecessary detail in this section.
2. Categories and Characteristics of Intelligence Sources
There are various methods and standards to categorize intelligence sources, and by relying on different preconditions, one can arrive at different categories. If they are differentiated based on the specialty involved in the knowledge being transmitted, they can be divided into the chemical area or the electronic area, etc. If the differentiation is based on the industry or trade involved, they can be divided into industrial intelligence sources, commercial intelligence sources, and scientific research intelligence sources, etc. If they are categorized according to the intelligence requirements of the users, they can be divided into strategic intelligence sources, tactical intelligence sources, technical intelligence sources, shared intelligence sources, and specific intelligence sources, etc. If the differentiation is based on the processing levels of the knowledge being transmitted, they can be divided into zero-order data intelligence sources, primary data intelligence sources, secondary data intelligence sources, and tertiary data intelligence sources. If the differentiation is based on the symbols involved in knowledge in material form, they can be divided into character-symbol intelligence sources, audio-symbol intelligence sources, video-symbol intelligence sources, engineering-symbol intelligence sources, and electromagnetic-symbol intelligence sources, etc. In addition, they can also be differentiated based on whether people can sense or perceive them directly.
Because intelligence sources are what mankind depends on to obtain intelligence, and intelligence comes from information, information is thus the source of intelligence, so in reality intelligence source categorization methods are information categorization methods.
Below we will use the form in which intelligence per se is stored as the categorization precondition to discuss the respective characteristics of verbal information, physical information, documentary information, and database information.
Analyzed based on the three fundamental attributes of intelligence sources, verbal information has the following advantages:
(1) The intelligence it contains is newer than documentary information. In many cases, it is the latest intelligence that has not yet been turned into publicly disseminated documents.
(2) It is transmitted quickly. Documentary information has no way to compare to it. From the time S&T personnel achieve partial results to when their work is entirely finished, they have written the system documents, and this has been disseminated by the publishing and issuing units, it generally requires two to three years. In the case of verbal exchanges, however, it not only does not require fancy writing, it is also not limited by the publishing cycle, so the transmission speed is much faster. Today, with the rapid developments in communications technology, the advantages of rapid transmission are increasingly apparent.
(3) It has good activation characteristics, and it is easy for S&T personnel to extract intelligence from it. First, this is because it is highly focused. The party presenting a lecture or the two parties in a discussion are lecturing or having a dialogue within the bounds of a determined topic, and obtaining intelligence from a colleague who is studying the same topic is clearly more suited to one's needs and much more convenient than searching through the relevant sections scattered in hundreds or thousands of documents. Second, because the feedback in verbal exchanges is rapid, when there is something you don't understand, you can ask about it and clear it up, and when you find some new intelligence leads, you can pursue them. The recipient of verbal information can perceive the tones, expressions, and gestures of the speaker directly, thereby understanding things which cannot be conveyed -- or cannot be conveyed entirely -- in writing. Verbal information often contains numerous details which are not included in treatises, and these details are often things which the recipients need. To summarize the above, verbal information can often achieve relatively good effects, which is to say that it has good activation characteristics. The development of the modern communications industry makes it even easier for the advantages that verbal information has because of its good activation characteristics to be realized.
The drawbacks of verbal information are:
(1) Although it is transmitted quickly, it has a short life span. When people are talking their speech disappears immediately, which is not conducive to pondering the contents. Furthermore, the dissemination area is narrow, and only a few people can make effective use of it. In the process of being transmitted to a third party by a person involved directly in the exchange, or with the passage of time and the attenuation of one's memory, it may be distorted or gradually fade away.
(2) The opportunities for getting verbal information directly are invariably limited, and are somewhat random in nature. Furthermore, it requires a relatively high level of the spoken language on the part of the user.
(3) There is no way to use search tools to find verbal information.
The advantages of physical information are:
(1) The intelligence contained is real, directly observable, and concrete. By comparison with imported technology and equipment, it costs less and one sees faster results. Speaking from this perspective, it is a source of intelligence which is worth particular emphasis.
(2) Its activation characteristics are superior to those of documents, because for one thing it is highly focused, and for another it represents a concrete physical entity that can be used for surveying and mapping, laboratory testing and analysis. Naturally, to extract the intelligence embodied in a physical object requires that it undergo complex analysis and study. If the academic or technical levels of the specialists are not sufficient, at times it may even defy analysis.
The disadvantages of physical information are:
(1) The costs are relatively high. It can only be collected in small amounts in a targeted manner. Furthermore, you can only look at the display items at an exhibit, you can't take them apart, so you can't analyze them fully.
(2) The transmission speed is slower than that of verbal information, and even slower than that of documentary information.
The advantages of documentary information are:
(1) The quantity is enormous and it is rich in content, epitomizing nearly all the principal parts of the richness of the human spirit.
(2) It has good transmissibility. It can be disseminated widely, accumulated systematically, stored for a long period, and used directly.
(3) At present there are sufficient search tools to search it.
(4) The price is fairly low.
The drawbacks of documentary information are:
(1) Its activatibility is not as good as that of physical information or verbal information.
(2) The transmission speed is relatively slow.
The advantages of database information are:
(1) Using database information to conduct searches can save greatly on time and effort, and it ensures that searches are relatively complete and accurate.
(2) Database information storage density is high, greatly saving on storage space.
(3) Considerable flexibility. The data contained can be augmented and modified at any time. Greater indexing depths can be attained. The data can be applied in a flexible manner, and multiple-path searches can be conducted.
(4) Integration with computer technology facilitates on-line, real-time processing.
(5) Integration with modern communications technology facilitates remote and timely transmission.
(6) It is characterized by a one-time input and multiple outputs. It is not necessary to make a copy of the output, as it can be printed directly by the computer or transmitted long distances via communication networks.
The greatest drawbacks to database information are:
(1) It cannot be perceived or recognized directly by humans.
(2) Data security is complex.
(3) The investments are considerable.
Comparing these various kinds of intelligence, although each has its advantages and drawbacks, because of the enormous quantity of documentary information and the fact that it is relatively inexpensive, it is in wide circulation around the world, it can be accumulated systematically and stored for a long time, its use as a way of obtaining intelligence is inevitable. These several points are aspects which the other kinds of information (such as verbal and physical information) cannot match. To date, and for a fairly long time into the future, this will still be the most effective and common means of accumulating and disseminating intelligence, and it represents the most fundamental and important source for obtaining intelligence, and the one which is most favored by S&T personnel, and it is the primary material foundation for S&T intelligence work.
Nonetheless, it should be pointed out clearly that, from the perspective of development trends, the importance and role of verbal information and database information as sources for obtaining intelligence are becoming increasingly prominent, and they will play an ever-greater role. In today's world, the more developed a country is with regard to science and technology the more importance it attaches to and the higher the utilization rates are for verbal information and database information. S&T personnel in third world countries, however, including Chinese S&T personnel, often overemphasize documentary information and underestimate the role of verbal information, while in the case of database information there is a sense of mystery or, because the usage fees are high, they don't want to deal with it. Facts show that, in the not-too-distant future, people will attach greater and greater importance to verbal information, and it will play a larger role. However, equal weight will be attached to database information and visual documentary information, and together they will constitute the most fundamental and important sources of intelligence.
3. Characteristics of Intelligence Sources
The characteristics of intelligence sources can be summarized simply in the following four points:
(1) Relative
The relativity of intelligence sources is primarily manifested in the relationship between the "source" and the user. In the eyes of some people what is considered a "source" may not be seen as such by others. For example, a biologist's intelligence sources have absolutely no significance in the eye's of a weapon's specialist, so they do not constitute "sources." To be sure, the value of a given intelligence source to a given user depends on the quantity of intelligence that it can provide, but at the same time one must also note how much intelligence can be extracted from the said intelligence source by the user, which is also related to a great extent to the intelligence of the user and his background knowledge.
(2) Cumulative
The cumulative nature of intelligence sources is manifested in the cumulative nature of objective knowledge, and if this cumulative aspect is lacking, the development of science and technology is extremely slow, and a modern culture and ideology and S&T achievements may possibly be thousands of years away.
(3) Complex and Varied
Whether viewed from the types of intelligence sources involved or the value of the intelligence stored, they are all extremely complex and varied, and compared to other material sources, there is no comparison in the degree of complexity and variety.
(4) Reproducible
Intelligence sources are not the same as other material "sources" which produce energy directly, such as power sources, water sources, heat sources, etc., in that most material "sources" are easily depleted and cannot be regenerated. Most have a one-time effect, and when used, if they are not lost through depletion they are lost through conversion, and therefore as an overall resource, the more it is used the less of it there is. Intelligence sources, however, are different. Once it is used by the first person, second and third parties can still use it, and if used properly, not only will there be no drying up phenomenon, it will increase the more it is used. Therefore we say that intelligence sources are miracle "sources" which never run out or become used up.
II. Information Sources
1. What Do We Mean By Information Sources?
An information source is any system to produce, transmit, store, or disseminate information.
For example, the China Defense Science and Technology Information Center is a system which produces, stores, and disseminates information, so it is an information source. The China National Publications Import and Export Corporation is a system which disseminates information, so it is an information source. Through the electromagnetic wave propagation of audio-visual information, radio and television stations are information sources. Specialists and scholars can produce verbal information as well as written information, so they are information sources. The Lockheed Corporation in the United States produces information, so it is an information source. It also has a Dialog database system to store computer-recognized data, and it is also capable of on-line dissemination, so the institution that has this database system is also an information source.
2. Essential Characteristics of Information Sources
There are two essential characteristics of information sources, one being that they produce, store, or disseminate information, and the other being transmission.
The "transmission" feature is attracting particular attention. One person may have an incredible abundance of knowledge in his brain, but if he does not speak or write articles, he cannot be considered an information source. Museums collect and store many display items, and these display items are also physical data sources, but this physical data is not for transmission, therefore museums cannot be called information sources.
3. Customary Forms of Information Sources
An information source is a system, and the form it customarily takes is that of an institution or group. For example, government departments, research units, corporate enterprises, colleges and universities, libraries, information offices, intelligence centers, and information centers, etc.
Specialists and scholars are capable of producing information individually, and when they transmit this to the outside, they are information sources. However, with the advent of the information society and the increasing modernization of science and technology, the role that individuals play in the creation of modern S&T achievements is becoming ever smaller, and often this role is played by a group. Furthermore, after their latest knowledge takes material form as information, with respect to transmission it is constrained by the system where they are located (including the government, work units, and publishing departments, etc.), therefore, from an overall perspective, specialists and scholars fall into the system category.
During our study and development of information sources, we should first consider the information source as a system from an overall perspective, and this is particularly true when collecting open source information.
When carrying out internal data collection, in addition to conducting an investigation of the information source system from a macro-perspective, we should also conduct investigations from a micro-perspective of the positions, functions, attitudes, psychology, and other such aspects of the individuals in the system, as only then will we be able to obtain useful information.
To summarize the above, we include government departments, research offices, corporate enterprises, colleges and universities, libraries, and information offices, and other such "institutions" in the information source concept category, but not in the intelligence source concept category. As we stated above, this "institution" issue is the focal point of the differences in several typical intelligence source concepts in China and elsewhere. Therefore, we would like to focus on a discussion of our interpretation a bit.
The theoretical basis for our argument is that intelligence and information represent two different concepts. The source of intelligence is information, but information is not intelligence.
When a certain research institution has a certain research achievement, it shows that they have a new understanding of the objective world, and have created knowledge -- intellectual wealth. By undergoing a transformation into material form, this knowledge becomes information and, under certain external pressures, begins to circulate and be transmitted in society, flowing into the vast sea of knowledge created by their predecessors.
In the case of an S&T worker or intelligence research personnel, and also in the case of a user, even if the research results of the said institution are precisely what they require, they must still first find it in the vast sea and fully assimilate and understand what it contains before they can extract the specific knowledge that they require -- intelligence. Obviously what is first transmitted to the hands of the user is information, not intelligence.
Therefore, strictly speaking, the aforementioned research institution should be considered an information source producing information, not an intelligence source directly producing intelligence.
Similarly, in the case of a library or an information office, what they are storing and transmitting is information, not intelligence. Therefore, strictly speaking, they are information sources, not intelligence sources.
By way of specific examples, there are a number of famous think tanks in the world, such as the Rand Corporation in the United States, etc. They accept consultation topics from clients and conduct research on their behalf, as well as searching for optimal schemes or designing systems for them. They formulate development programs for their clients, or make proposals. From a micro-perspective, the final reports that they submit to the clients should be considered intelligence, regardless of their quality, authenticity, or feasibility. Here, the role that is being played by the intelligence research personnel in the think tanks is that of an agent. They are acting on the user's behalf in searching for information, activating the information, and extracting intelligence from the information. However, after the final report is submitted to the client, generally speaking, the client will not accept it blindly by any means, but will want verification and review. Furthermore, if this final report is published and circulates through society, then as far as third parties are concerned, it is not intelligence, but information. For the possessor, it may be extremely valuable reference data, but for others it may be information that is of absolutely no meaning at all. For example, for national defense S&T workers, a research report by the Rand Corporation regarding municipal development represents data that they don't even want to read. So, viewed from a macro-perspective, the products which come from these think tanks are still information as far as the public is concerned, not intelligence, so it is a bit more reasonable to consider it an information source than an intelligence source.
True intelligence sources are information. Some people say that intelligence comes from information, and information in turn comes from "institutions," therefore "institutions" are naturally the "sources" in "intelligence sources," so they should also be considered intelligence sources. They even compare "institutions" and "information" to "reservoirs" and "canals," or "power stations" and "transmission lines," and using this metaphor, "institutions" are general sources of intelligence while information represents the intelligence source branches.
Actually, there is a clear difference in the relationship between information and intelligence and that of "reservoirs" and "canals." "Reservoirs" and "canals" are both sources of water, while "power stations" and "transmission lines" are both sources of electricity, and if you open the "control gates" or the "switches," water or electricity pours forth, and it can be used indiscriminately as is. However, the information flowing from research institutions, information agencies, and publishing houses is information in various categories, and what is spread out before the user is a vast sea of data which cannot at all be used as is. One must select and activate it before intelligence can be refined from it, and furthermore this is closely related to the quality of the user. What flows continuously from "institutions" is information which contains intelligence, while what circulates in society is a data stream which contains intelligence, but it is not a true stream of intelligence. While one may treat these "institutions" as sources of intelligence, they are only "sources of intelligence in a broad sense," which is to say, "an extension of the concept of intelligence sources." Such formulations are not as clear or scientific as the "information source" concept.
With the deepening development of information science and the study of collection, it is necessary to propose or clarify some new concepts in a timely manner. Wording which falls into the category of "in the broad sense" or "by extension" invariably gives one a vague feeling that there is something one does not grasp or see, which does not help in guiding collection efforts, so we do not advocate that approach.
Section Three -- Output Characteristics of Information Sources
When engaging in information collection, it is necessary to focus on the output characteristics of sources of research data, as only in that way can we "exploit the source" and "introduce it" effectively.
I. Special Features of Output Content
From a macro-perspective, the information which is output by an information source has specific scientific and specialized contents, which is closely related to the nature and specific mission of the information source. From a micro-perspective, each bit of data which is output represents a summary of the specific knowledge of a specific person at a specific place and time. To improve the focus of the collection work, it is necessary to study the specific characteristics of what is output by the information source. When users pose a requirement to collection personnel, they can suggest a range for what is needed, and they can also clarify the content of the information and that it is something produced by a certain person at a certain time.
II. Dependence on Output Forms
Different information sources put out different types of information. Regardless of the form of the knowledge that is output, it invariably relies on a certain carrier medium. Although the knowledge may have the same kind of content, it can use different carrier mediums for the output. For example, the AD report sold by NTIS (National Technical Information Service) in the United States comes in both book form and film form. The same is true for the U.S. military standards. The U.S. Naval Printing and Publishing Center sells them in book form, while the American National Standards Institute sells them both in book and film form. The U.S. Information Processing Service Corp. sells them in cassette film form, while the Global Engineering Documents company in the United States can output a section or sections of the military standards data in book form, depending on the user's specific requirements. Therefore, collection personnel should definitely study the dependence on carriers of the knowledge output by an information source. Based on various preconditions, giving consideration to what information source to use, what form to collect it in, and what type of carrier form the information will be collected in can result in greater technical and economic benefits.
III. Multiple Output Channels
Since an information source is involved, it is necessary to transmit the information externally, but the transmission channels are not necessarily limited to one route. When studying information sources, collection workers should emphasize studying their output channels, which are also the channels through which we can import information. One should have a clear idea of what their primary output routes are, and what the secondary output channels are.
For example, NTIS in the United States is itself a commercial institution which sells information, so it can be used as a primary route itself for the output of information.
Then there is also the American Institute of Aeronautics and Astronautics (AIAA). It itself serves as the primary output channel for AIAA papers. They have a contract with Jane's in Britain, which sells their material on consignment. At the same time, they can also sell them to their own members under preferential conditions. Therefore, Jane's and AIAA members are the secondary output channels for AIAA papers.
Only by conducting a thorough study of the output channels of an information source can a collection worker find the information import channel which provides more, faster, better, and cheaper service.
IV. Controlled Nature of Information Output Periods
Owing to both objective and subjective factors, the periods for the output of material from information sources are often controlled.
For example, in the case of AD reports, those in the 30000 and 50000 series, as well as those in the AD/C series, are confidential information. Those in the 80000 and 90000 series, as well as those in the AD/B series, are unclassified, but limited distribution documents. If you want to buy these materials, you can't do so at the time the report is published. With the passage of time, however, they may declassify or lift the restrictions on these reports, with the cutoff date being 1977, and they have declassified and lifted the restrictions on 36,000 reports. Also, the classification and restrictions have been lifted in succession on more than 20,000 reports after 1978.
As another example, the United States has a plan to put out the 8-volume "Nuclear Weapons Data Handbook," and although it is already in the planning stage, because of limitations involving the publishing plans and publication cycle of the publishing house, they could not be issued at the same time. The first volume was published in January 1984, and while it was originally determined that the next one published would be volume three, the publication plan was again adjusted so that they issued volume two in April 1987. There are some S&T personnel who are anxiously waiting to read this series, and furthermore the time constraints are pressing, so when you want to get something in a timely manner, you must recognize the controlled nature of the time for the output of materials from information sources and track them to be successful.
In a nutshell, those who work as collection personnel must have a clear-headed understanding of the controlled nature of when information is put out, being careful to summarize the patterns involved and being adept at seizing opportunities to collect valuable information in a timely manner.
V. Ability to Evaluate Information Output
How does one assess the value of information output? This is not only a complex theoretical question, but also an actual work issue. At present, what collection personnel mostly use is the "evaluation by experts method." Because of interference from the psychological factors of the specialists, this approach is not accurate enough. The goal we are striving for should be to establish a set of fairly effective methods and standards to scientifically evaluate the value of information and the collection work.
VI. Dynamic Nature of the Output Situation
The output situation of information sources does not remain unchanged. Everything is dynamic, from the content, form, and channels of the output to the time of the output, and these change with time and space.
Collection workers must understand this feature of information sources, as well as grasping its variable state and governing rules.
Section Four -- Parameters for Evaluating the Status of Information Sources
Chinese and foreign information sources represent objective reality, and from the standpoint of collection work, how do we go about evaluating their states? Simply by using qualitative description methods or quantitative evaluation methods. Here we will introduce several parameters, using them as starting points in understanding and evaluating the situation in an information source.
I. Quantity of Information in the Information Source
This refers to the absolute quantity of information that the source produces, stores, or transmits. It also refers to the total quantity of information produced by a given research institution, or the total quantity it produces yearly. It may refer to the total amount of information stored by a given information unit, or the total amount stored annually. And it may refer to the total amount of information transmitted by an information source, or the total amount transmitted annually.
The quantity of information is a reflection of the size and potential energy of the information source. We often see a given library or information office write in its promotional literature that their holdings come to so many tens of thousands of items, which they use to illustrate their size and potential energy.
II. Information Source Discipline and Specialty Coverage
Science can be divided into general categories such as basic disciplines, applied disciplines, and industrial technology, etc., and it can also be divided into classical disciplines, new disciplines, cross disciplines and marginal disciplines. To facilitate the explanation of problems, often they should be further subdivided. For example, the classical disciplines can be further divided into physics, chemistry, biology, mathematics, and so forth.
The information source discipline and specialty coverage area parameter reflects the breadth of the disciplines covered. When comparative studies are conducted on information sources, uniform classification standards should be used for disciplines and specialties.
III. Point of Emphasis in Information Source Disciplines and Specialties
The information source discipline and specialty coverage area can only reflect the breadth of the disciplines covered, not the point of emphasis of the information produced, stored, or disseminated by a certain information source. Therefore, to further describe the nature and state of an information source, we must also depend on the parameter of its point of emphasis.
As far as targeting specific users goes, this parameter can further reflect how important an information source is to oneself. Taking national defense S&T industry users as an example, although the Institute of Scientific and Technical Information of China (ISTIC) has a great deal of material and has broad coverage of disciplines and specialties, because its emphasis is not at all on the national defense S&T realm, by comparison, it would appear that the China Defense Science and Technology Information Center is more important as a source of information.
IV. Annual Growth Rate of Information in the Information Source
This shows the year-by-year growth situation in the information produced, transmitted, and stored by an information source. It can measure whether an information source is developing, in a stable mode, or in decline.
V. Information Source Information Quality
This parameter shows the academic and technical levels of the information source, the transmission levels, or the value of the information stored. To measure this, one can use the various methods described in Chapter 3, Section Six of this book.
VI. Response Time of Information Sources to User Needs
This refers to the time lag between when an information source receives a request from a user to when it sends the information, when the user wants to collect a piece (batch) of information from a certain foreign information source or get a piece (batch) of information from a certain domestic information source. This is an important parameter in measuring how good the situation in an information source is.
Take for example when you want to buy a publication of the U.S. Congress which has already been issued openly. Buying it through an information source like the China National Publications Import and Export Corporation takes about one year before you receive it. Buying it overseas through an information source such as an institution with an overseas office generally takes about two to three months before you get it. However, using the express collection method of a certain document company, in general you will get the material in two to three weeks.
One can see that the document company's response time to the user's needs is the shortest, so from the perspective of time constraints in collection work, it is an ideal information source.
VII. Cost Response of Information Sources to User Needs
This refers to the sum of costs and service charges to collect a given piece of material.
VIII. Psychological Response of Information Source to User Needs
In everyday terms, this refers to the quality of work by the information source and how good their service attitude is. For example, if an information source always gives its users a feeling that the service is convenient and can satisfy the psychological needs and actual needs of the users, such as providing new book information regularly, giving preferential prices to old customers, having convenient procedures, guaranteed quality and delivery, and guaranteed exchanges for wrong or defective goods, etc., then it is undoubtedly a good source of information in the eyes of the users and collectors.
IX. Information Source Boundary Conditions
Any domestic or foreign information source represents objective reality, but it does not exist in isolation. The forms in which it exchanges information with the external environment and their mutually constraining relationship are its boundary conditions, which is also a parameter that reflects the situation of the information source.
For example, even if a given information source is good with regard to a broad coverage of disciplines and specialties, and its response time to user needs, its cost response to user needs, and its psychological response to user needs are all good, if one of its boundary conditions for exporting information is that it is limited to accepting foreign exchange and having $500 deposited to open an account before it will give you a ten percent preferential price, if you have foreign exchange that is exclusively for the purchase of materials, then this is undoubtedly an ideal source of information, but if you don't, regardless of how good the other parameters are, this information source is of no use to you.
Accordingly, when evaluating information sources, attention should be paid to the boundary conditions parameter. Generally speaking, the boundary conditions include how much an information source brings in, its forms and constraining conditions, as well as the output forms and constraining conditions, etc.
This section has been a discussion of the parameters and indices in performing a qualitative and quantitative analysis of information sources. At present, our work is still at the level of qualitative analysis, but there is no question that we should move in the direction of quantitative analysis. This requires that we rely on certain mathematical methods and establish corresponding mathematical models. The specific calculations should also draw on a large amount of information if we are going to be able to ensure the reliability of the quantitative analysis. However, the acquisition of quantitative analysis data will inevitably guide us to the more effective exploitation and utilization of information sources.
Section Five -- Characteristics of National Defense Intelligence Sources and Information Sources
National defense S&T intelligence is a branch of military intelligence which is used to serve the national defense S&T effort. Because the national defense S&T effort includes areas such as weapons and equipment programs, plans, research, design, testing, design finalization, mass production, and use by the units, etc., all the countries of the world consider national defense science and technology as a classified category, which has given national defense S&T intelligence sources and national defense S&T information a unique coloration. Its characteristics are:
I. Most of the Departments Which Produce National Defense S&T Information are Government Departments
The information sources which produce national defense S&T information are mostly government departments, and in particular defense ministries or scientific research bases directly under the military. For example, Britain's defense ministry has 36 national defense research and development bases. These bases are highly secure, and generally not open to the outside, or only open on a limited basis.
II. Contracting Departments Must Carry Out Security Obligations
Some think tanks, companies, and universities also contract with the defense ministries to do some of the national defense S&T consulting, research, and production tasks, but these information sources must also carry out security obligations. Their research results all must undergo security reviews by the consigning unit to determine the scope of what is turned over. For example, from its offices to its databases, the Rand Corporation concentrates its secure areas and open areas in separate places. The "secure section" of its database holds a large amount of U.S. national secrets, particularly secret documents and information related to national defense and foreign affairs. For the "secure areas," they have a system of human guards and automated alarms, and no foreigners are admitted.
III. National Defense S&T Information Sources Must Undergo Monitoring and Inspections by National Security Departments
For example, quite a few countries divide those who come into contact with secrets into several grades, with various different restrictions and requirements for them when they visit another country or engage in technical exchanges, and afterward their activities are reviewed. For another example, any foreigner who enters the work area of the Rand Corporation must undergo a review and approval ahead of time by security departments concerning his "purpose," "background," and the duration of his stay, as well as making "security arrangements."
IV. Information Sources Which Store and Sell National Defense S&T Information Are Generally All National or DOD Agencies
For example, the U.S National Aeronautics and Space Administration (NASA), the U.S. Defense Technical Information Center (DTIC), and the National Technical Information Service (NTIS) in the Department of Commerce, etc. Although NTIS in the Dept. of Commerce is a commercial office which sells national defense S&T materials, its first process is a security review, with everything that constitutes open material going on to the next step in the process, while any material which falls into the classified category is sent back to the unit that turned it over.
V. Information (Intelligence Sources) Which Involve National Defense S&T Are Generally Divided Into Open and Classified
For example, every year the Rand Corporation openly publishes more than 400 various research reports and papers, but it is said that the number of classified and internal reports is about the same. The AD report is divided into open, limited distribution, and classified categories. NASA reports also are divided into N and X designations, with the N being used for open S&T reports while X is used for limited distribution S&T reports.
VI. The Classified Nature of Intelligence Sources Also Results in Their Being Concealed and Dispersed
VII. Public Materials Are Still a Major Source of Intelligence for National Defense S&T Workers
A common saying has it that there are no walls which completely block the wind, nor is absolute secrecy achievable, and invariably there will be numerous open situations in which things are revealed, either in a tangible or intangible form. By picking here and there among the vast amount of public materials and accumulating information a drop at a time, often it is possible to basically reveal the outlines of some secret intelligence, and this is particularly true in the case of the Western countries. Through probability analysis, in foreign countries it is believed that 80 percent or more of intelligence can be gotten through public materials. National defense S&T information collectors should have an ample understanding of this, not abandoning public materials but enhancing their study and collection of them.
VIII. Fortuitous Discovery of Secret Intelligence Sources
Owing to various subjective factors, such as negligence on the part of security review personnel, etc., some materials which should be classified may erroneously become open data in public circulation. The so-called "hydrogen bomb leak incident" in the United States in 1979 was just such a situation.
A simplified version of the events goes like this. There was a top secret S&T report called "UCRL-4725, Weapons Development, June 1956." The declassification review personnel misunderstood the title, describing it as the "Nuclear Rocket Propulsion (ROVER) Program" and declassifying it. As a result, the library at the Los Alamos National Laboratory loaned it out, and the report was discovered by an individual by the name of H. Morland (a part time writer). It was like finding a rare treasure, and he immediately borrowed it and made two copies. He wanted to publish an article entitled "The H-Bomb Secret: How We Got It, Why We're Telling It" in the April 1979 issue of "The Progressive" magazine. This article revealed the specific structure of the hydrogen bomb and information on how it works. The U.S. government believed that the article revealed the secrets of the hydrogen bomb and was in violation of the "Atomic Energy Act," so they prohibited publication and also brought a lawsuit. However, Morland and "The Progressive" claimed that the contents of the article were collected from public materials, not secrets, so they could pose no threat to national security and prohibiting the publication was a violation of freedom of the press, lodging a protest with government departments. Through several weeks of investigations and debate, it was determined that Morland had not seen any classified documents, and it was inappropriate to tag him with the crime of revealing the secrets of the hydrogen bomb. Accordingly, on 17 September 1979 the U.S. Department of Justice wiped out the complaint, thus signaling the conclusion of the "H-bomb secrets leaking incident" which had caused a stir for a time, so Morland and "The Progressive" had won the lawsuit. The November 1979 issue of "The Progressive" carried the "H-bomb secrets" article. Subsequently, the "Financial Times" in Britain, "Science and Life" in France, and the West German weekly "Der Spiegel" carried this article and related pictures. The result was that it provided important reference material for the S&T personnel in various countries who were engaged in research on the hydrogen bomb.
During the investigation of the incident, the U.S. government learned that the U.S. Dept. of Energy had conducted declassification reviews of a large amount of classified material from 1971 to 1976, covering a total of 2.8 million items, of which 1.5 million were declassified. At the Los Alamos National Laboratory, they reviewed a total of 388,000 documents in 33 days, so each reviewer had to review around 1000 documents a day, about two a minute. The pace of the reviews was startling, and resulted in a large number of errors -- around five percent -- that is, some 19,400 documents were mistakenly declassified, and of these there were at least eight highly secret items regarding thermonuclear weapons, which ended up being open material that could be browsed freely by outside visitors. Subsequently, the U.S. government adopted emergency measures to recover all the related materials and copies as classified documents.
This incident tells us that, on one hand, absolute secrecy is not attainable, while on the other hand, there is a random element involved in the discovery of secret intelligence sources, and to turn this randomness into inevitability, it is necessary that there be those who monitor some sectors and areas with regularity and vigilance, and furthermore we must not get our hopes up too high that there will be instantaneous results.
These features of national defense S&T intelligence sources and information sources show that collecting national defense S&T information is much more difficult than collecting normal S&T materials. It is dispersed, hidden, and subject to various restrictions. To exploit national defense S&T information sources and intelligence sources, we must first devote considerable energy to studying them, getting a clear understanding of their situation, monitoring them widely and accumulating information bit by bit, and also being quick to seize on their "fortuitous nature."
In addition, it is also necessary to stress that there is still 20 percent or less of our intelligence that must come through the collection of information using special means, such as reconnaissance satellites, electronic eavesdropping, and the activities of special agents (purchasing or stealing), etc.
Section Six -- Results of Intelligence Source and Information Source Research
I. Objectives in Launching Studies of Intelligence Sources and Information Sources
1. Promote the Development of Scientific Research and Information Collection Work
In today's industrialized society, where science and technology have been developed to a high degree, knowledge is a boundless sea spreading out in front of S&T workers and information collectors in various categories, enormous quantities, and in various scripts and symbols, with various kinds of shifting and changing information. To take documentary information as an example, this includes the books put out by publishing companies and publishing houses, personally printed books, books, reports, and documents printed and published by state agencies, periodicals edited and published by various academic groups and from publishing houses and publishing companies, learned journals from universities, and numerous other aperiodic publications and papers and proceedings from academic societies, etc. Faced with this vast ocean, S&T personnel often feel helpless, for how can they "find a needle in a haystack?" How can they find and collect more of the data they need faster. The results of studying "intelligence sources" give them the "key" to unlock the sea of knowledge, enabling them to take shortcuts and get "where they want to go" ahead of time.
However, to do a good job of data collection, the first thing is to have a fairly clear understanding of this varied data and the data sources that produce, store, and transmit it: The special features and characteristics of each publishing house and publishing company, what kind of books do they put out, and what is their quality? What are the categories and features of books and periodicals from state agencies, and how authoritative are the academic publications? Are they serious or of a popular-debate nature? Furthermore, the situation of the information and publishing units is not one that never changes. Older ones may withdraw and new ones continually appear, so knowledge in this area is shifting and changing. Only when we have a clear understanding of these circumstances can we achieve clear goals and emphasize the key points. And only then can we get our data collection work to "have a definite goal," otherwise we just end up collecting things blindly.
2. Benefits the Establishment of Special Intelligence Organizations in China
If we are intimately familiar with the situation in domestic and foreign information sources, then we can learn from the experiences of other countries and other organizations.
3. Benefits the Establishment and Development of Collection Science
Information science is a new discipline, and as research into this field deepens, it will inevitably produce new branch disciplines, such as data science, the study of collection, and the study of retrieval, etc. The aforementioned research into publishing institutions and the types, characteristics, and qualities of things they publish is precisely just such a part of the study of collection, and when we organize an overview of it and its relatively stable portions, it represents the result of research into an "information source," which is a valuable reference work for collection personnel. It can not only promote the development of the study of collection from a theoretical standpoint, it can also guide collection personnel in launching specific efforts in practice.
4. Benefits the Training of a New Generation of People
Launching research into "intelligence sources" and "information sources" is a great undertaking in which "those who go before plant the trees, while those who come afterward enjoy the shade." It enables a new generation of collection personnel to launch their work standing on the foundation established by the research of their predecessors so that they have rules to follow and do not have to start from square one in everything. It will keep them from feeling lost and empty-handed when they enter the work environment. It will allow them to launch their operations on the basis of the achievements of their predecessors so they will not have to continually modify, enhance, and improve the research on "intelligence sources" and "information sources," enabling our valuable experience to be handed down from one generation to the next.
II. "Intelligence Source" and "Information Source" Research Results
On one hand, "intelligence source" and "information source" research is reflected in the exploration of theoretical, conceptual, and methodological problems, with the objective being to establish a system of scientific theoretical concepts and scientific evaluation methods. On the other hand, it is reflected in applied research, with the objective being to guide collection personnel in the exploitation and rational selection of intelligence sources and information sources. As a result of applied research, the specific form it takes is the compilation of a series of "guides," "directories," "yearbooks," and other such reference books, or the development of corresponding databases and the publication of monographs.
Other countries began to focus on applied research on "information sources" in the late 50s, and applied research on "intelligence sources" started even earlier. Some prestigious publishers and fairly authoritative academic societies (associations) have made the compilation and publication of such "guides" and "directories" a part of their publishing programs, and it can be said that, in the course of the development of libraries and information enterprises, some developed countries have treated the publication of guides to "intelligence sources" and "information sources" as an extremely important strategic task, and have planned for it in a comprehensive manner.
1. Brief Introduction to "Intelligence Source" Reference Books and Monographs
An "intelligence resources guide" or "monograph" corresponding to a given specialty may be considered the base camp for various different kinds of information in the said specialty. By understanding this, one comes to know what materials in the specialty in question meet one's needs, while by mastering this it becomes clear where one's focus should be in acquiring information, and using it makes it possible to acquire large amounts of information leads and information in a relatively short period of time, which helps to improve the completeness and accuracy of searches. Accordingly, understanding, mastering, and using specialized "intelligence source guides" and "monographs" is a shortcut in getting to the appropriate sea of material.
From another perspective, compiling an "intelligence source guide" or "monograph" is an important result of intelligence source research.
Depending on their functions, they can be divided up as:
(1) Media-Related: This type of reference work only provides leads for searching in original sources (intelligence sources), but does not provide answers directly. For example, special catalogues, digests, and indexes, which fall into the category of secondary materials.
What this means is that the materials that are constantly appearing are studied, classified, and indexed one by one, after which they are included in the records. Both the editors and users are aware that these represent a stable data flow which is "controlled" by certain organizational methods, and once it is organized, the data flow can be "searched" conveniently. However, they do not provide users with ready-made "answers," but only provide information leads and a guide to searching the information, functioning as a kind of medium between the users and the intelligence source. For example, the "Bulletin of U.S. Government Reports," the "New York Times Index," and the "Catalog of Special Materials on Hydrogen and Oxygen Rocket Engines," etc., are all media-oriented guides to information sources.
(2) Resource Type: This type of reference work can provide clear "answers" for related questions in summary form, so it is not necessary to search further through secondary or primary materials. Therefore, they represent necessary means for impromptu or rapid reference, for example, yearbooks and handbooks, etc. They fall into the category of tertiary materials. The world-famous Jane's yearbook is an intelligence source guide of this nature.
(3) Instructive: These kinds of reference works do not provide direct leads for intelligence sources, nor do they provide brief answers to questions, but rather they instruct and transmit methods and approaches to search original source materials, making it possible for users and advisers to conduct data searches independently. For example, things such as the "Guide to Reference Books" put out by the American Library Association (ALA) and "Searching Foreign Science and Technology Documents and Materials" put out by the Institute of Scientific and Technical Information (ISTIC) of China fall into this category. Understanding the methods and governing rules that they cover is like having a wiring diagram to the labyrinth of knowledge.
(4) Comprehensive: This kind of guide to information resources is often in the form of a large monograph which introduces readers to frequently-used materials, search and reference works, and methodologies within a certain specialized range, and includes yearbooks and large reference works, etc. Some also provide descriptions of various materials and include brief introductions to related academic institutions, etc. For example, "Basic Knowledge About Chemical Literature" edited by Yang Shanji and Yang Jingran in 1981 falls into this category. This book focuses on introducing chemistry and chemical engineering materials that are commonly seen in foreign countries, including periodicals, conference proceedings, scientific and technical reports, patents, abstracts, summaries, book series and collections, dictionaries, and various large reference works. The book has 12 chapters in all, which are, in order: Overview of Books and Literature; Periodicals -- An Important Information Source; Document Search Tools; Scope and Application of the Index of the U.S.' 'Chemical Abstracts'; Summaries, Collections, S&T Reports and Academic Degree Treatises; Patents and Searching Them; Dictionaries, Handbooks, Physics Tables and Spectral Data; Organic Chemistry Reference Books; Inorganic Analysis, Chemical Engineering, and Materials Reference Works; S&T Literature Retrieval Services; Development Trends in Chemical Information Retrieval and Books and Materials.
Such information source monographs are elementary reference works and must reading for related scientific research personnel and information collectors.
2. Brief Introduction to "Information Source" Reference Books and Monographs
Compared to "intelligence source" research and reference books, research on "information sources" and their reference works and monographs appeared relatively late. Although reference books and monographs related to information sources also have reference value for S&T workers in general and can serve to "broaden one's horizons" and as "a search mentor," they are primarily for the use of information departments and collection personnel, helping them to understand and grasp the information sources that produce, store, and transmit information to facilitate focused information collection and exploitation efforts. From the perspective of their content, such reference works are primarily of two types. One is introduction to organizations, e.g., the "Guide to High Tech Groups in the United States," "Guide to U.S. Government Research Centers," and the "Guide to U.S. Academic Societies (Associations)" in the United States, and the "World Guide to Technical Information and Document Services Agencies" put out by UNESCO. The other category is producers and transmitters of verbal information -- introductions to scientists, such as "American Men and Women of Science" and the "International Listing of Energy and Nuclear Scientists" put out in Britain.
Because "intelligence sources" and "information sources" are two closely-related concepts, with the deepening development of research in information science and expanding user needs, the contents of reference books resulting from studies of "intelligence sources" and "information sources" are not absolutely separate, and there is some cross-over and inter-permeation. For example, a monograph relating to "intelligence sources" will often touch on "information sources," and may cover some important scientific research institutions and scientists for reference use by technical personnel, while a reference book related to "information sources" will also often touch on their publications, costs, and acquisition paths, etc.
III. Steps in Studying "Intelligence Sources" and "Information Sources"
1. Determine the Scope of the Study in Keeping with Needs
This is the first step in studying "intelligence sources" and "information sources." This determines the focus of the research work. If you are involved in agriculture, obviously there is no need to go hunting for chemical engineering. From the perspective of the scope of the specialty, the more specific you can be the better, while the wider the scope the more complex it becomes.
2. Determine the Items to be Studied
As far as studying "intelligence sources" is concerned, based on the ultimate objective to be achieved, one should determine what kind of reference work or monograph is to be compiled, that is, is it to be media-related, a resource type, instructive, or comprehensive? Then select and determine the research items. The research items in each kind of reference work are different. Compiling a special catalog or an index to material in a certain department is relatively easy, and generally includes the collecting unit, the book search number, the title, the translated title, the author, year of publication, and number of pages, etc. On the other hand, however, compiling a comprehensive monograph requires solid training and long-term accumulation. Generally speaking, the main research items should include each category of primary materials, databases, information sources, quantity and quality, and search methods for the specialty in question, as well as retrieval tools and how to use them. In addition, some also include commentaries and experiences.
The primary items for "institutional data sources" may include: name, address, telex (telephone) number, fax number, point of contact, features and operational scope, research and development areas, structure, leading organizations, finances, founding date and historical development, publications and databases, amount of data stored, technology and product levels and development orientation, computer application situation, and special features, etc.
Verbal information sources -- the primary items in a "Who's Who" include name, sex, contact address, telex (telephone) number, fax number, work unit, brief biography, specialties, academic achievements, publications, scope of activity, recent work, and foreign visits, etc.
3. Collect Materials Widely
This includes various miscellaneous materials encountered in actual work and materials that have been publicized at home and abroad, including reference works, yearbooks, handbooks, and monographs.
4. Long-Term Accumulation
In-depth research primarily relies on the accumulation of hard work over a long time. This is because, on one hand, existing materials are often fragmentary and incomplete, and on the other hand, human understanding of any matter proceeds from the superficial to the profound, so to have a comprehensive understanding of any matter requires in-depth investigative research and the accumulation of a large amount of material before one can begin to separate the wheat from the chaff and the true from the false.
5. Conduct Research
As is true with any technical information research effort, the research should proceed step by step, achieving greater depth one item at a time, and the research results should be verified repeatedly.
6. Compile Reference Works or Develop Databases
7. Continue to Accumulate, Modifying or Supplementing As Appropriate
Because "intelligence sources" and "information sources" are both dynamic systems, continuously modifying and supplementing them becomes an extremely important aspect of the work, as only in this way can we ensure originality, continuity, and accuracy. If the knowledge disseminated is already outdated, it has absolutely no practical value for the reader.
Section Seven -- Introduction to Typical National Defense Intelligence Sources and Materials
Due to the abundance of materials and the limited space here, this section can only be a concise introduction of some selected sources of importance, especially those which are closely concerned with national defense science and technology intelligence research work.
I. Publications of the United States Congress and the United States Congressional Information Service Company
1. Publications of the U.S. Congress
The main responsibility of the United States Congress is legislation and the formulation of policy. The two houses of Congress have set up over 300 permanent committees and subcommittees, each of which is responsible for dealing with some particular issue or topic. The committees which are closely concerned with national defense are the Aviation and Space Committee, the Military Affairs Committee, the Appropriations Committee, the Joint Nuclear Energy Committee, the Joint Committee on National Defense Production, etc. [imprecise titles as published] Committees make extensive collections of facts and figures related to their topics, and they conduct preparatory research. They hold hearings, and listen to the views and proposals of experts. Finally they examine and approve and send to the two houses of Congress their policy recommendations and legislative reports. Actually the basic work of the U.S. Congress is accomplished in its various committees. In the course of carrying out its duties the U.S. Congress generates large amounts of documents, namely, the Congressional publications. According to preliminary statistics, each session of the Congress produces tens of thousands of documents. These are the most numerous category of publications produced by the United States Government. They are in four categories:
(1) Congressional committee preliminary work reports (prints)
Congressional committee preliminary work reports are researched and written by specialized working groups set up under the committees. This material is for internal use by Congressional committees. The material includes background material on research topics, statistical and analytical material, draft resolutions, situation summaries to assist the Congress in formulating laws, etc. They are the foundation of Congressional testimony, documents, and reports. Sometimes they serve as appendices to Congressional testimony, testimonial material on various proposals in draft resolutions, or material which supplements documents.
(2) Testimony (Hearings)
The various committees of the two houses of Congress often hold hearings to discuss various draft resolutions. At these times, people concerned may be asked to attend and testify, and they may provide relevant information and materials. The content of hearings is assembled into a document later. This is called testimony. It includes the questions and answers, and written materials prepared by experts in advance. The latter material is the more important.
(3) Reports
This refers to the proposals and legislative reports which the Congressional committees submit formally to the two houses of Congress.
(4) Documents
Congressional documents include various letters sent to the Congress, yearly reports to Congress from administrative departments, special reports sent to Congress, committee activity report forms, report forms for special research reports which assist the committees, and other documents of various types such as reports from patriotic organizations. These documents become material in the main historical files of the Congress.
Most of the content of Congressional publications involves analysis, trends, guiding principles, and policies related to a situation, with appended statistical source material, background material, and scientific and technical material. Most of this material is from the hands of experts. The material is not only the basis by which the U.S. Congress carries out its functions, it is also very valuable reference material for other countries formulating their own guiding principles and policies. This material is an important source of intelligence for conducting research on development strategies and on macro-management.
The U.S. Government's "Three big reports" for researchers of national defense S&T intelligence, namely, the Annual Defense Department Report, the Department of Defense Program for Research, Development and Acquisition, and the United States Military Posture, are also included in Congressional publications. The Department of Defense is one of the departments of the U.S. Government. Each year while Congress is in session the Department of Defense must send the Congress a work report and strive to obtain Congressional appropriations. It is for these reasons that the Department of Defense produces these "Three big reports." These reports represent the viewpoints of the U.S. military. The reports analyze the strategic position of the United States in the world and the so-called threats the U.S. faces, compare military forces, describe countermeasures which should be taken, and propose a research, development, and acquisition plan for weapons and equipment. Through penetrating study of these reports, one can learn:
(a) The U.S. military's view and estimate of the world situation.
(b) The research and development plan for American weapons and equipment, as well as the objectives and rationale for the Americans's development of various kinds of strategic weapons, conventional weapons, and C3I, and for their importation of foreign weapons (within the NATO system), etc.
(c) The status of American investment in the development of weapons and equipment.
(d) The status of scientific research, testing, and evaluation of American weapons and equipment.
(e) How the U.S. Department of Defense regards the Soviet Union. This can provide clues and circumstantial evidence for studying and understanding the Soviet Union.
(f) Reading articles in some current periodicals after studying these reports will make things clearer. The key points in these reports will be reflected and made more concrete in relevant articles in current publications.
The "Three big reports" are important sources of intelligence for research on the development strategy for weapons and equipment. What we receive each year is the openly published versions. It is said that there are also classified versions.
2. Congressional Information Service, Inc.
This is a source of materials produced by the United States Congress (Congressional publications). There are two sources which distribute Congressional publications. One is the U.S. Government Printing Office (GPO), and the other is the Congressional Information Service (CIS). The former is a publishing unit, set up underneath the Congress, which publishes book-type documents. The latter is an independent, specialized, privately operated company which publishes filmed-type documents. Comparing the two, the GPO is inadequate in the following respects:
(1) The GPO is not in the nature of a publishing house, and its compiling and editing capabilities are inadequate. It is mainly responsible for printing, publishing, and distributing.
(2) The GPO publishes only a portion of the Congress's publications, not all. Also, it sells until it sells out, and does not retain stocks. Therefore a Congressional publication which one might want to buy from the GPO might already be out of print.
The United States Congressional Information Service Corporation does not have these two problems.
(3) Each month the GPO publishes a list titled Monthly Catalogue of United States Government Publications. This catalogue is purely a list. It is inadequate as a reference tool for research work. By contrast, the CIS has its own set of complete reference systems suitable for research work. Using keywords in this set of systems, you can find on your own all the Congressional publications and statistical information which you need.
The United States Congressional Information Service Corporation is located near the U.S. capital, Washington, at 4520 East-West Highway, Suite 800, Bethesda MD 20814. The company was founded in 1970. From its original staff of nine it has developed into a world-class publishing company with 320 workers. The reason the company was established and has continually grown is that the U.S. Congress produces a torrent of publications. Without organization, not just foreigners but even the members of Congress themselves would be unable to make comprehensive use of them. Another reason is that print runs are limited and there is the risk that materials will be out of print. This company is very good at adapting to the circumstances and satisfying people's demands. Currently it has subscribers all over the world. Seventy-six countries purchase Congressional publications and their indexes from this company. One of the company's biggest customers is the United States Government itself.
The company sells:
(1) A complete set of Congressional publications since 1970, in microfiche, with accompanying CIS Indexes and CIS Digest for use in lookups.
(2) Statistical information issued by U.S. Government organizations since 1973, in microfiche, with accompanying Index to U.S. Statistical Data and Digest of U.S. Statistical Data for use in lookups.
(3) Statistical data issued since 1980 by all state governments and by publicly and privately established organizations, in microfiche, with accompanying Statistical Reference Data Index and Statistical Reference Data Digest for use in lookups.
(4) Statistical data issued by 76 international organizations including the United Nations and the European Community and their branch organizations since 1983, in microfiche, with accompanying Index to International Statistical Data and Digest of International Statistical Data.
The microfilm or fiche and the Index and Digest can be purchased separately. The Index and Digest are published monthly, with cumulative editions quarterly and yearly.
Currently in China the Beijing Library keeps a set of Congressional publications. The China National Defense Science and Technology Information Center keeps a full set of publications of the Congressional Military Affairs Committee and Science and Technology Committee in microfiche. The indexes and digests have not yet been acquired in China.
II. AD reports, United States National Defense Technical Information Center (DTIC), and the United States National Technical Information Service
1. AD Reports
(1) What is meant by AD reports?
"AD reports" is a general term for scientific research reports on research projects funded or assisted financially by the U.S. Department of Defense. Currently they are archived and provided for use by the National Defense Technical Information Center. These are one of the well-known four major types of S&T reports of the U.S. Government. They have a long history, their numbers are huge, and they abound in content. They are a major source of intelligence on research, design, production, testing, and appraisal work by national defense S&T personnel.
In accordance with laws and regulations, the U.S. Army, Navy, and Air Force and their combined units which engage in scientific research for national defense must compile S&T reports on their research results by phase and on final completion of a research project. These reports go to the Information Center for storage and to be provided for use. On receipt of a report, the Information Center gives it a strict examination, determines its classification, and puts it on file with a number assigned with a centralized method: AD-XXXXXX. About 20,000 AD reports are issued openly each year.
(2) Sources of AD Reports
The producing organization of an AD report, that is, the organization which is responsible for its content, is called the source unit or corporate author. There are over 20,000 source units for AD reports, of which the main ones number over 3,000. These can be put into six general categories:
(a) Scientific research organizations of the U.S. Army system
(b) Scientific research organizations of the U.S. Navy system
(c) Scientific research organizations of the U.S. Air Force system
(d) Institutions of higher learning and their subordinate research institutes and laboratories
(e) Corporate enterprises
(f) Scientific research organizations of the U.S. Government, foreign governments, and international organizations
(3) Categories and content of AD reports
An important digest-type reference book for locating and ordering the U.S. Government's four major reports is the U.S. Government Reports Announcements & Index, called for short the GRA&I. This has been published since 1946, and its name, publication frequency, and classification system have all changed many times. In July 1965 it started using the classification system of the Committee on Scientific and Technical Information. That is, it had 22 major categories and 178 secondary categories. It was published every two weeks. In January 1987 it changed again and began to use the classification system of the National Technical Information Service, with 38 major categories and 362 secondary categories. Also it became a bi-weekly publication.
The major categories currently in use are:
Administration and management
Aviation and aerodynamics
Agriculture and foodstuffs
Astronomy and astrophysics
Atmospheric science
Behavior and sociology
Biomedical technology and human factors engineering
Building industry technology
Commerce and economics
Chemistry
Civil engineering
Combustion, engines, and propellants
Communications
Computers
Detection and countermeasures
Electrical engineering technology
Energy
Environmental pollution and control
Health planning and health services research
Industrial and mechanical engineering
Library and information science
Manufacturing technology
Materials science
Mathematics
Medicine and biology
Military science
Missile technology
Natural resources and geoscience
Navigation, guidance, and control
Nuclear science and technology
Ocean technology and engineering
Ordnance
Photographic and recording equipment
Physics
Problem solving information helpful to national and local governments
Space technology
Transportation
Urban and regional reconstruction and development
AD reports are distributed in the 38 major categories above. The content of AD reports touches upon every area of national defense S&T, such as aviation, space technology, guided missile technology, nuclear technology, ordnance, military science, electricity and electronic engineering, communications research, etc. Therefore we can say that AD reports are a major source of intelligence on national defense S&T work.
(4) Classification Levels and Declassification Status of AD Reports
AD reports are in four categories, Secret, Confidential, For Official Use Only (also called Unclassified/Restricted, Limited, and Open (Unclassified/Unlimited). Secret and Confidential reports account for 16% of the total. Unclassified/Restricted account for 39%, and openly distributed, 45%.
Since 1975 some AD reports which were originally classified and For Official Use Only have gradually been declassified and had their restrictions lifted, and become openly available. They appear in Government Reports and Announcements with their original serial number. Also, the National Defense Technical Center publishes a special index to serial numbers of declassified and restriction-lifed AD reports, reporting the status of declassifications and the lifting of restrictions. As of the end of 1985, a total of 113,483 AD reports had been declassified or had restrictions lifted.
(5) Serial Numbers of AD Reports
The serial numbers of AD reports are rather complex, and the way they are composed does change. In general a serial number is related to the level of classification, and reports classified at different levels have numbers from different series. See the following for specifics.
 
AD Report Serial Number Range	Level of Classification, Time Span
 
AD-000001  to 163403		classified and open, Mar 1953 to Apr 1960
AD-163500  to 165117		open, [blank time span]
AD-175000  to 183121		not publicly announced, [blank time span]
AD-200000  to 229999		open, Oct 1958 to Jul 1963
AD-300000  to 399999		Secret and Confidential, Oct 1958 to Apr 1969
AD-400000  to 499999		restricted distribution and open, Jul 1963 to Nov 1966
AD-500000  to 532211		Secret and Confidential, May 1969 to Dec 1974
AD-600000  to 787897		open, Jul 1964 to Dec 1974
AD-800000  to 894999		unclassified restricted distribution, Nov 1966 to Jul 1972
AD-900000  to 999999		unclassified restricted distribution, Jul 1972 to Dec 1974
AD-A000001 to 999999		open, Jan 1975 to present
AD-B000001 to 949999		unclassified restricted distribution, Jan 1975 to present
AD-B950000 to 959999		open, Jan 1975 to the present
AD-C000001 to 949999		Secret and Confidential, Jan 1975 to present
AD-D000001 to 09999		openly published patents and patent applications, Jan 1975 to present
AD-E000001 to 599999		trial shared listing, 1978 to Mar 1982 when this series was abolished
AD-P000001 onward		conference document monographs, Mar 1983 to present
From January 1975 onward the AD reports used a new serial number format, with AD- followed by the letters A, B, C, D, etc. to indicate openly published, unclassified but restricted, classified, and patents and patent applications. The format AD-Exxxxxx began to appear in 1978. Starting in September 1977, four major units including the U.S. National Defense Documentation Center and the Naval Research Laboratory implemented a trial plan for shared listings. All new classified or open technical reports within this plan were assigned "D-E" serial numbers. AD-E was a temporary catalogue number. When the reports were formally entered into the technical reports database, they were incorporated into the standard system. The format AD-Pxxxxxx began to appear in May 1983. "P" represents conference proceedings. All papers in the AD-A series conference proceedings also appear in notices with an AD-P serial number.
In addition to the above, the format AD-xxxxxxL is also to be seen. Here, the letter L indicates limited distribution.
(6) The Problem of Duplicate Listings of AD Reports
One of the characteristics of modern science is the overlapping and permeation among the various branches of learning. Also, because of the development of information science and technology, the various fields of science have all created their own reference publications. Because of this, it often happens that one report or paper will be published or used in several types of publications at the same time or in succession. Thus a report may be duplicated. For example, the U.S. National Aeronautics and Space Administration's "STAR" catalogue and the U.S. Department of Energy's Energy Research Abstracts (ERA) both provide lots of clues about AD reports, and some even give the report serial numbers. The Monthly Catalogue of United States Publications also incorporates some AD report listings. Also, according to statistics, about 25% of AD reports fall in the category of documents which are issued periodically or which are reprinted from periodicals. Besides this, AD reports may also reappear in conference proceedings and patents.
This phenomenon of duplication facilitates finding and using material, but it is quite a bother when ordering AD reports. If one is not careful, the problem of duplicate collection may occur, wasting money. So it is essential to clarify the relationships among the various lists, and to rely on the Government Reports Announcements & Index when collecting documents.
(7) Repositories of AD Reports
China's National Defense S&T Information Center began acquiring openly published AD report in the early 1960's. The China S&T Information Research Institute [Zhongguo Keji Qingbao Yanjiusuo], the Shanghai S&T Information Research Institute, and the Sichuan Province S&T Information Research Institute currently have complete collections of AD reports. These organizations are China's repositories of information from AD reports.
The Beijing Document Service Office [Beijing Wenxian Fuwu Chu] acquired the GRA on magnetic tape from the United States, and set up its own GRA database.
2. U.S. Defense Technical Information Center, Cameron Station, Alexandria, Virginia 22304-6145
Since World War Two the structure of national defense S&T information work in the United States has undergone five phases of change, based on changes in missions and the demands of the objective situation. Specifics are as follows.
Figure 4.1 Historical Evolution of the Structure of National Defense S&T Information Work in the United States
Office of Scientific Research and Development (OSRD), 1941-47
which split into two organizations:
Central Aviation Documents Office (CADO), 1948-51
Naval Intelligence Research Department (NRS), 1947-51
which merged to become:
United States Armed Services Technical Information Agency (ASTIA), 1951-63
then:
Defense Documents Center (DDC), 1963-79
then:
Defense Technical Information Center (DTIC), October 1979 to the present
It was not until after 1951 that publication of S&T reports as the AD-series began. From 1951 to 1963 the repository for AD reports was the Armed Services Technical Information Agency. "AD" is an abbreviation for "ASTIA Document." In July 1963 the Armed Services Technical Information Agency reorganized as the Defense Documents Center. Reports on file continued to have AD-series numbers, but the meaning of AD changed to "Accessioned Documents." [English as published] In October 1979 the Defense Documents Center changed its name to Defense Technical Information Center. All the reports in its Technical Reports Database still have AD-series numbers, but now AD has become a kind of registration number by which the Defense Technical Information Center identifies and distributes documents.
At present, the U.S. Department of Defense system's repository for AD reports and the source of information from them is the Defense Technical Information Center. The Center is responsible for collecting, organizing, storing, indexing, publicizing, and providing the use of AD reports. However, the Center serves only the U.S. Department of Defense and its contractors, other government departments and their contractors, and some international research organizations. These are called "registered users." At present there are over 2,800 of them. Anyone other than these registered users, whether in the United States or elsewhere, who wants to obtain openly published AD reports must purchase them through the U.S. Department of Commerce's National Technical Information Service. Therefore it is this Service which is the source of widespread dissemination of openly published and declassified or de-restricted AD reports. The headquarters of DTIC is in the state of Virginia. It is under the leadership of the Defense Logistics Agency. [as published; now under Defense Information Systems Agency] Besides the onsite service center at its headquarters, DTIC has service centers in seven areas with concentrations of defense industries: New York, Huntsville, Dayton, San Francisco, Los Angeles, Boston, and Washington.
DTIC has a director and a deputy director. From the director down to the workers, all the personnel at DTIC are civilians.
On 29 March 1965 the Department of Defense issued Directive 5100.38 specifying the following nine missions for the former Defense Documents Center:
(1) Actively and continuously collect all technical reports (except those which are Top Secret or Codeword material).
(2) Quickly send out notices in index format of technical reports collected.
(3) Provide technical reports to users and provide other document services promptly.
(4) Promptly recommend valuable technical reports to the various intelligence analysis centers of the Department of Defense.
(5) Work with other government organizations to formulate data flow standards, improve technical report distribution methods, and improve the efficiency of information sharing.
(6) Have high standards in processing and distributing technical reports.
(7) In accordance with Department of Defense policies and regulations on secrecy, formulate unified rules on information collection, storage, duplication, and distribution.
(8) Adopt advanced technology and equipment and gradually improve document handling and service.
(9) Develop technical cooperation with domestic and foreign document centers and intelligence analysis centers.
Following the organizational name change in October 1979, then-Deputy Assistant Secretary of Defense for Research and Engineering R.M. Davis announced that besides these nine missions, DTIC would also take on a new mission, that of providing technical and management information to leaders and S&T personnel at all levels of the Department of Defense.
Currently, DTIC's work mainly involves two areas, technical document service and technical information service (with stress on data and trend information for management use).
(1) Technical Document Service
DTIC is the Department of Defense's center for document collection, handling, indexing, and distribution. As required by regulations, source organizations send DTIC 20 copies of each technical report. DTIC carries out document handling, establishes technical report databases, and compiles and publishes a biweekly Technical Abstracts Bulletin (TAB). DTIC also copies each report in microfiche.
DTIC provides three types of document service: ordinary service, distribution service, and onsite service.
Ordinary service involves providing the Technical Abstracts Report to registered users; using computers to print out special lists for users; compiling special-topic lists for designated users; providing users copies of archived AD reports on paper or in microfiche; and recommending useful, newly archived technical reports to various intelligence analysis centers of the Department of Defense.
Distribution service consists of forwarding 18 copies of each technical report provided by source organizations to users who specialize in that area; distributing microfiche copies of newly archived AD reports by way of an automatic distribution system to units specializing in that area; and sending copies of the original of unclassified or declassified reports to NTIS.
Onsite service consists allowing users to search document indexes and technical information using computer terminals at the headquarters and at the seven onsite service offices. Also, onsite service personnel are responsible for consulting and for answering users' questions.
(2) Technical Information Service
DTIC is responsible for managing the Defense Research, Development, Test, and Evaluation Online System (DROLS), which consists of the Technical Reports Database, the Scientific Research Project Database, the Scientific Research and Development Plan Database, and the Independent Research and Development Database. This system is for internal use within the Department of Defense system. Its objective is to allow leaders and S&T personnel at all levels of the Department of Defense to understand promptly the specifics of scientific research projects which planned, are underway, or have been completed, as well as to understand the status of development of science and technology. Ordinary users can use suitable terminals to search its unclassified documents and data. Classified users with the correct communications name and authentication code can use classified terminal and classified communications circuits to retrieve classified documents or data.
(a) Technical Reports Database
The Technical Reports Database is the largest of the four databases. It involves technical reports on scientific research projects which have already been completed (that is, AD reports).
(b) Scientific Research Project Database
The content of this database involves Department of Defense scientific research projects under way. Started in 1968, this is the earliest of the four databases to be established. This database has a total of 48 items, including scientific research project, S&T area, technical objectives, research channels, status of progress, project number, contract number, responsible Department of Defense unit and its address, contractors and their addresses, names of key scientific research personnel, start date of research work, estimated completion date of research work, major funding organization, other funding organizations, topic words, identifying words, keywords, and classification level and distribution regulations for project status summaries.
(c) Scientific Research and Development Plan Database
This database holds brief reports on scientific research projects already in the Department of Defense's scientific research plan. The data items include project name, S&T area, technical objectives, research channels, project serial number, status of progress, search words, costs, dates, classification level, etc. About 3,500 plan projects are recorded in this database each year.
(d) Independent Research and Development Database
What is entered into this database is brief reports on scientific research projects undertaken independently by contractors, provided for the use of the Department of Defense so as to strive for future Department of Defense contracts. These summaries can help the Department of Defense to understand and make judgments on industrial research activities in special areas of technology, and know the status of progress of these activities. About 7,000 entries are added to this database each year. Because what is contained in this database is patent-related information, no contractor can search it. It is provided for Department of Defense use only.
Currently it is an important mission of DTIC to step up its technical information service work. So as to improve its ability to provide technical and management information to leaders and technical personnel at all levels of the Department of Defense, DTIC has further improved the DROLS system currently in use, and besides that it is now researching how to exploit other databases in the United States. DTIC is also actively training leaders at all levels of the Department of Defense in order to improve their ability to use databases.
3. National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161
NTIS is a major source for disseminating information both within the United States and elsewhere. Falling under the jurisdiction of the Department of Commerce, it is the only government organization which assumes responsibility for its own profit and loss and which makes its living by selling information. All of its expenses, such as workers' wages, production costs, publicity, advertising, and postage, are paid out of revenue obtained from the sale of information and the provision of services. It receives not a cent of Congressional appropriations unless under a special development plan. Nevertheless, its mission is mandated by the government. According to a U.S. Government statute, it is responsible for collecting, organizing, publicizing, and selling all open-source research, development, and project reports produced with the financial assistance of the federal government, as well as foreign technical reports, and other documents provided by national and local government organizations and their contractors. The emphasis is on four major categories of reports, namely, AD, NASA, DoE, and PB.
In addition, NTIS is the center for the sale of federal government-produced, computer processed data files and software. Also NTIS is responsible for the sale of application documents for patents owned by the U.S. Government itself.
The formats of NTIS products are books, microfiche, microfilm, magnetic tape, floppy disk, etc.
NTIS is responsible for managing the Center for Use of Federal Technology (CUFT) and the Federal Software Exchange Center (FSEC). The former allows U.S. industry to learn promptly about specially selected useful and immediately effective technology. The latter promotes the exchange among government organizations of computer software which can be purchased through NTIS.
NTIS has over 370 workers. Only something more than 50 of these are engaged in information processing and indexing. NTIS is responsible for processing and indexing only PB reports. The other types of reports (AD, DoE, and NASA) are sent to NTIS after cataloguing by the original archiving organization. The other people at NTIS are all involved in promoting the sale of information, processing and shipping orders, and providing service. This point illustrates the commercial nature of this organization.
Currently NTIS has nearly two million documents on file. Of these, over 300,000 are foreign technical documents. NTIS adds about 70,000 new technical reports to its archive each year. The information is stored for the long term, and can be sold at any time. About 80,000 documents are in a database and can be provided to users directly. The remaining, less often requested documents can be duplicated from a microfiche master as users need them. Each year NTIS sells over six million documents (including fiche), sending out about 24,000 items per day.
NTIS uses bulletins, periodicals, and indexes to notify users at regular intervals about newly received U.S. and foreign technical reports and other, special information. It sends out over 3,000 types of topical lists based on users' needs. Users can use long-term order forms (microfiche selection and ordering service) to order microfiche by topic.
Users can do online searching of the NTIS Catalogue Database to find the newest technical reports or to compile special-topic lists. All of the database reading equipment can be leased from NTIS.
Currently NTIS has over 100,000 users, over half being from the business world in the United States. U.S. Government organizations are the second largest category. China is the largest foreign user of NTIS. NTIS makes one shipment a week to China.
NTIS's best known and most widespread publication is the U.S. Government Reports Announcements & Index, which gives notice in digest form of the unclassified S&T reports produced by scientific research organizations and contractors of the various departments of the U.S. Government (such as the Department of Defense, NASA, and the Department of Energy), as well as S&T reports and translations from foreign countries and international organizations. The yearly volume of reports is about 70,000. This periodical is an important tool for purchasing and searching the four major types of reports. The vast majority of material in this notice can be obtained from NTIS. A small amount of the material must be purchased separately from other selling organizations. These items are so identified in the notice.
III. NASA reports and the National Aeronautics and Space Administration (Code NTT-4, Washington, D.C. 20546)
1. NASA reports
(1) What Are NASA Reports?
NASA is short for the U.S. National Aeronautics and Space Administration. NASA established a Scientific and Technical Information Facility in order to accomplish exchange and dissemination of S&T material. People often refer collectively to the S&T reports collected, indexed, publicized, and supplied by this organization as NASA reports. Strictly speaking, its materials should be differentiated as NASA's own reports (true NASA reports, designated with an "N" and non-NASA reports. Reports from the predecessor of NASA are known as NACA (National Advisory Committee for Aeronautics) reports. Currently the S&T Information Facility holds over one million S&T reports, and it uses computers to accomplish automatic handling of information.
(2) Sources of NASA Reports
(a) One category of sources is S&T organizations subordinate to NASA, contracted companies and enterprises, and institutions of higher learning. The S&T reports they generate are official NASA reports, properly called reports from NASA itself. According to an investigation we did in 1985, NASA's own reports constitute only about 15% all NASA reports.
(b) A second category is AD reports from the Department of Defense system, DoE reports from the Department of Energy, and PB reports from government departments. NASA's S&T Information Facility takes those reports concerned with aeronautics and space, assigns them an "N" number, and archives, publicizes, and supplies them for use.
(c) A third category is S&T reports produced by some foreign S&T organizations and international organizations. NASA's S&T Information Facility collects these reports, assigns them "N" numbers, and archives, publicizes, and supplies them for use. The organizations producing these reports include NATO's Advisory Group for Research and Development, the European Space Agency, Britain's Royal Aerospace Establishment, France's Centre National d'etudes Spaciales, the Aeronautics and Space Research Institute of Japan's Science and Technology Agency, etc., involving more than 20 countries. In addition, the facility has translations of S&T reports from the Soviet Union and eastern European countries. It even has translations of S&T reports from our country. For example, the 1985 STAR [defined on the next page] index number 15 listed translations of 13 Chinese S&T reports.
The last two categories described above are not NASA's own reports.
(3) The Content of NASA Reports
NASA reports are quite specialized. They are concentrated in the areas of aviation and space flight. Also, NASA reports are high quality. They are a major source of intelligence from researchers in the scientific fields of aviation and space flight.
(4) Classification and Numbering of NASA Reports NASA reports may be open-source or classified. All openly distributed reports have serial numbers beginning with N, such as N85-27240. Numbering begins each year with 10001. All S&T reports which are classified or which have restricted distribution have serial numbers beginning with X, such as X79-10045. Numbering of these also begins each year with 10001.
X-numbered S&T reports are collected, indexed, publicized, and provided for internal use only by NASA's S&T Information Facility. They are not openly distributed. They fall within the category of NASA restricted distribution. They are also differentiated as reports on projects either receiving or not receiving financial assistance from NASA.
According to reports, the main source of X-numbered reports are NASA itself and its contractors, U.S. Government organizations, and the European Space Agency.
Because both N and X reports are stored in NASA's database, X reports can be searched not just manually but also by computer.
If a NASA report is classified, its title includes a notation for its level of classification. If the title of a report is classified, then it will not appear in catalogue searches. The classification notation indicates the report's classification level: For Official Use Only-Restricted, Confidential, Secret, Confidential Information, or Secret Information.
If a report is For Official Use Only-Restricted Distribution, its title contains a notation to that effect. The notation prescribes the report's scope of issue, explaining clearly what organizations are authorized to receive it. These are:
NASA only: For use only at NASA headquarters and the various NASA research centers.
NASA & CONTR only: For use only by NASA and its contractors.
GOVT & AGCY only: For use only by government organizations.
GOVT & CONTR only: For use only by U.S. Government organizations and their contractors (including NASA and NASA contractors).
Besides this, NASA also has numbers beginning with capital N in the series Nxx-60000, 70000, and 80000. Capital N reports are not included in the STAR index. They first appeared in the 1962 U.S. Government Report Notice. Some have the notation "declassified on such-and-such a month and year."
(5) Periodicals Which Publicize NASA Reports
Openly disclosed NASA and NACA reports from before 1963 are listed in the Monthly Notice of U.S. Government Publications compiled and printed by the Government Printing Office. From 1963 onward, NASA prepared the digest periodical Scientific and Technical Aerospace Report, called the STAR index for short. This is published twice a month on the 8th and the 23rd, one volume with 24 issues each year. The STAR index has 11 major and 75 secondary categories, by specialized area. It allows search by keyword, by source, by individual author, by contract number, and by cross-referenced report number and catalogue number.
The STAR index reports open-source S&T reports collected by the NASA S&T Information Facility. Each of these report numbers begins with N. Each issue reports over 1,000 items.
The features of STAR are:
(a) A large number of S&T reports listed, over 25,000 each year.
(b) Quite fast notification of NASA reports, normally 30 to 60 days faster than the GRA&I.
(c) High degree of specialization, limited to reports on aspects of aviation and space flight.
(d) Broad scope of collection, with quite a lot of duplicate notice of relevant reports from other departments or countries.
We researched the proportions of N-numbered reports in 1983 and 1984, with the following results:
Figure 4.2 Profile of N-numbered Reports, 1983
                
 
NASA itself			14.2%
AD				18.9%
DoE				27.7%
PB				3.6%
Other				35.6%
Figure 4.3 Profile of N-numbered Reports, 1984
                        
 
NASA itself			13.9%
AD				24.4%
DoE				13.6%
PB				4.2%
Other				43.9%
Beginning with the second half of 1974, the STAR index added summaries of S&T projects in progress. There were as yet no S&T reports for these projects, but they reflect NASA's current S&T trends and plans.
NASA X-numbered reports are listed in the Limited Scientific and Technical Aerospace Reports digest, called for short the LSTAR index. Publication of this quarterly index began in 1973. Its predecessor was CSTAR, the Classified Scientific and Technical Aerospace Reports index, which ceased publication at the end of 1972.
(6) Types of Reports Published Openly by NASA Itself
Besides reports with serial numbers beginning with N, NASA has its own meaningful serial numbers for reports which it publishes openly. See the following list.
NASA-TR-R Technical Reports: Most of these are technical summaries and descriptions of S&T accomplishments from NASA's various centers
NASA-TN-D Technical Notes: Topical technical documents compiled by technical personnel at NASA's various centers; content is incomplete, but still quite important; mostly reports of new technical accomplishments, new techniques, and new materials
NASA-TM-X Technical Memoranda: Includes preliminary test reports, data, and information, or fairly important documents whose classification has been downgraded, conference papers, etc.
NASA-CR Contractor Reports: S&T reports prepared by NASA contractors in the course of scientific research, testing, and production
NASA-TT-F Technical Translations: Mostly translated Soviet reports, papers, collections, etc.
NASA-EP Educational Publications: Publication of these began in 1971; they are a rather small amount of reading material for educational use concerning aviation and space flight
NASA-SP Special Publications: Publication of these began in March, 1962; content is quite unwieldy and complex; some items have great value as reference material; mainly these items include summary reports, conference notes, data handbooks, compilations of data, special topic papers, monographs, lists of documents on special topics, etc.
NASA-CP Conference Publications: Publication of these began in 1977; these report records of conferences
NASA-TP Technical Papers: Publication of these began in 1977; these report on quite a lot of new technologies; content is similar to TN
NASA-Case, patent descriptions and patent applications: These include descriptions of patents which NASA holds, and patent applications submitted to the U.S. Patent Office
NASA-M Memoranda: These date from NASA's early years; there are few of them, and issuance has been discontinued
NASA-RP Reference Publications: These report some NASA reference information
NASA-Release, news releases: These report NASA news bulletins
(7) Obtaining NASA Reports, and Archives in the United States
As with the Defense Technical Information Center, NASA's S&T information system has only "registered user" service, including:
(a) NASA headquarters, its various research centers, and its contractors
(b) U.S. Government organizations and their contractors
(c) Libraries in the United States which have agreements with NASA (these libraries are responsible for providing NASA reports for the public to read)
(d) Other organizations which must consult NASA reports in their work
(e) Foreign organizations and groups which have exchange agreements with NASA
Among these users, the most important are NASA headquarters, its various research centers, and its contractors. These people number more than 800. The NASA S&T information system is the internal source of NASA reports for NASA headquarters itself.
In addition, the U.S. National Space Society's Technical Information Office library archives openly published reports from NASA itself; the British Library's External Lending Department archives openly published reports from NASA itself and many non-NASA N-series reports appearing in STAR; and the European Space Agency (ESA) archives openly published reports from NASA itself. These provide service to their own system or to the public. These organizations are also sources which retain NASA reports.
So as to give ordinary people more contact with U.S. Government publications, the U.S. Congress passed a "Federal Depository Libraries Plan." By this plan, under the management of the Government Printing Office, fifty local libraries are appointed to be responsible for receiving, storing, providing access for reading, and interlibrary loan of government publications. These libraries keep complete sets of reports published openly by NASA. These libraries are other sources of stored NASA reports within the United States.
As with AD reports, ordinary users within the United States and users outside the United States who wish to purchase openly published NASA reports must go through NTIS. All NASA reports which appear in STAR can be ordered and obtained from NTIS. As for non-NASA N-series reports, some of these can be ordered from NTIS (but not NASA-adopted AD, PB, and DoE reports, which can of course be obtained from NTIS). However, a small number of non-NASA N-series reports must be purchased separately from other sales organizations. For specifics see the notations for how to obtain items under "Avail" in STAR listings.
Because of the serious overlap in reports listed in GRA&I and STAR, and because non-NASA N-series reports include a large number of S&T reports from other organization or countries, when simultaneously using several indexes, making use of different channels, and collecting different types of documents, one must clearly understand the relationships among the various indexes and take care to avoid duplicate orders. In this regard there is a set of skills which persons engaged in ordering publications should master.
At present, China's National Defense S&T Information Center keeps a full set of openly published NASA reports on microfiche, and some materials in paper form. The Center also archives some non-NASA N-series reports on microfiche or paper.
Within China, the China S&T Information Re