This 1991 monograph was written by two Chinese government intelligence professionals and is intended as a primer on intelligence collection. It shows in detail how China’s government acquires U.S. national security technology and secrets.

 

 

 

Sources and Techniques of Obtaining National Defense Science and Technology Intelligence

 

 

(Guofang Keji Qingbaoyuan ji Huoqu Jishu)

 

 

 

 

by

 

Huo Zhongwen and Wang Zongxiao

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Kexue Jishu Wenxuan Publishing Co.

 

Beijing

 

1991

 

 

 

 

 

Editor's comment

 

 

On use of the terms "intelligence" and "information"

 

 

The Sinitic term "qingbao" that appears in the title and throughout the book refers to a concept that includes both English meanings "intelligence" and "information." The distinction is a Western one not shared by East Asian languages or presumably by their speakers. There are passages in the book where "intelligence" is the better translation, as in "intelligence agency;" elsewhere "information" is preferred, such as "information retrieval." The criterion for choosing one English word or the other is appropriateness in context. Similarly, "ziliao" ("data, information, material") is rendered as "information" when used in apposition to "qingbao." These translations are supported by English-language references made in the book, although context remains the determining factor.

 

 

Table of Contents

 

 

 

 

Editor's comment                                                             2

 

Table of Contents                                                            3

 

Preface                                                                   4

 

Chapter 1      A Summary of Collection work                                  6

 

Chapter 2      A Brief History of the Development of Collection Work        20

 

Chapter 3      Overview of Information                                     36

 

Chapter 4      National Defense S&T Intelligence Sources Discussed         64

 

Chapter 5      Consumer Intelligence Needs Studies                             151

 

Chapter 6      Information Transmission Channels                            189

 

Chapter 7      Methods and Techniques of Obtaining Information             203

 

Chapter 8      A First Approach to the Study of Intelligence, Information

            And Collection                                            225

 

References                                                              249

 

Preface

 

 

   Professor Qian Xuesen gave an important speech at the National Defense S&T Intelligence Working Conference in July of 1983. His topic was: "I Maintain that the Matter of Information Collection is a Science and a Technology and We Should Put Forth Our Best Efforts to Research Information Collection." The words of Professor Qian Xuesen moved us deeply. Firstly, because we had learned from the experience of actual information collection work that, while information collection appears simple, it is by no means an easy matter to do it well, for the subject embraces many "mysteries." Secondly, Professor Qian's words moved us because, although we and many of our comrades who were engaging in information collection had already accumulated a considerable amount of practical experience in our particular posts of duty, we had not by any means elevated these practical experiences to the theoretical level. One might say that our information collection still lacked the necessary theoretical guidance, with the result that it was still mired in a state of affairs characterized by "routinism," the consideration of matters in and of themselves, and virtually complete blindness. The facts prove that the direction that Professor Qian Xuesen pointed out--putting forth efforts to research information collection learning, and establishing theory (the science of information collection) to guide information collection work--is a job that cannot be shirked by intelligence personnel.

 

   From that time on, we had a mind to summarize our experiences gained in information collection over a number of years. In the process of combining theory with practice, we hoped to make some contribution to the gradual establishment of the basic theory of the science of information collection. It happened that the China National Defense S&T Information Center (CDSTIC) was training master's degree candidates studying intelligence. We included some of what we had learned in the written teaching materials and offered a course to the master's degree students entitled "Sources and Techniques of Obtaining National Defense S&T Intelligence." The material was further revised based on several terms of teaching, and thus this book was written.

 

   Several basic intelligence science perspectives predominate in this book. Based on more than thirty years of experience in information collection, the book takes the establishment of certain new concepts and ideas as its point of departure. Then the book specifically sets forth and explains: a brief history of the development of information collection work; the nature and functions of information and the assessment of information; sources of intelligence and sources of information; consumer demand for intelligence; channels for transmitting information; methods and techniques for obtaining information; and preliminary views on the science of information collection.

 

   This book was entitled "Sources and Techniques of Obtaining National Defense S&T Intelligence" because it primarily stemmed from practical experience in the work of collecting national defense S&T information. One of the book's primary goals is to serve as a reference for those in the intelligence cause who are engaged in the work of collecting national defense S&T information. At the same time, the book purports to serve as a "road map" for those comrades in national defense S&T work and national defense S&T information-research work who are looking for information. Thus, this book's "Introduction to Typical National Defense Intelligence Sources and Materials" [Chapter 4, Section 7] is intended to make this dual role prominent, effectively "killing two birds with one stone."

 

   However, the goals of the book are by no means limited to the two goals mentioned above. Problems that are common to all S&T information collection are touched upon in its many pages, and not just problems that relate to the collection of national defense S&T information. The book takes the sharing of ideas and views with colleagues as its starting point, and serves to stimulate comment and discussion among colleagues. By means of a joint effort among colleagues, the book aims to take a great stride forward toward the goal of establishing a system of theoretical concepts for the science of information collection and bringing theorems and norms to light that have practical significance for guiding information collection work. This will facilitate the early establishment of proper academic status for the science of information collection within the broader field of intelligence science.

 

   We received help from many comrades at the CDSTIC Liaison Office during the course of writing this book. In addition, we consulted papers and books written by many of our domestic colleagues, by which our minds were fed. At this point, we extend our sincere thanks to each and every colleague.

 

   As of now, the national level information collection setup has yet to take shape in China and the science of information collection is still in the germination stage. Some of the views and perspectives in this book are merely our shallow perceptions. Some of them are far from being fully thought out and some are superficial. Where our views are unwarranted, we welcome our colleagues' criticisms and corrections.

 

-- The Authors, September 1, 1990

 

 

Chapter 1   A Summary of Collection Work

 

 

   Section One -- Establishing New Concepts of Collection Work

 

   Due to the advancement of science and technology by leaps and bounds in current society, as well as the enormous advances in information technology, computer technology and communications technology, "the production of knowledge" is just now evolving into a national industry. The rate at which knowledge is produced, and the amount produced, have increased greatly. The speed at which knowledge is disseminated has greatly accelerated. In regard to the channels for propagating knowledge, the trend is toward the application of network technology. The forms that knowledge takes are becoming more diverse. The storage modes for knowledge are more and more characterized by the application of database technology. Storage, transmission, and activation methods are also becoming more modernized. To keep in step with these developments, the work styles and lifestyles of people will undergo a series of changes. At the same time, people are being confronted with major changes in the organizational setup and economic setup of the social production system--changes that are just now coming on the scene. The problem of how to fully and promptly make use of this knowledge to further serve mankind and the society-at-large, all under the constraints imposed by the given economic conditions, has also already become a major topic for scientific researchers. In the process of engaging in scientific and productive activities, an individual can no longer obtain the knowledge that he or she needs to solve specific problems by merely relying on the mastery of his or her own information, making simple inferences, and making decisions based on direct observations. Rather, on the basis of the large amount of raw knowledge, or information, available to him or her, the individual must utilize modern scientific approaches, including the cognitive sciences and intelligent technologies, in order to activate this information, thus producing new knowledge; that is, the knowledge that we need to obtain--intelligence.

 

   In light of this new situation, the demands posed to S&T intelligence work by social development are new and rigorous, and represent a challenge for intelligence work. This kind of evolutionary process within the science of intelligence is bound to accelerate. Collection work serves as a link in S&T intelligence and the challenges to collection work are the most rigorous, for it is the first link to be affected. This is because information is the only source of intelligence. Information, whether it be information that can be directly perceived by humans and differentiated, or whether it be information that can only be perceived and differentiated with a machine, comprises the physical foundation for S&T intelligence. In this day and age, there is greater and greater appreciation of collection work, and the call for reform of collection work is growing ever more strong. Thus the proposition that information collection is a science and a technology arose in 1983 as the times required, and was first proposed by Professor Qian Xuesen. Shortly thereafter, the proposition that the science of information collection is a branch of intelligence science and information science was also put forward. On the other hand, there are also more and more people in collection work who are experiencing a sense of crisis in their practical experience. These people feel that traditional work modes, work methods, and work systems are in flux. These people feel that the modus operandi that has long been adhered to--that of emphasizing self-development, self-perfection, and one's own accumulation of resources, while slighting organic horizontal network connections--will be difficult to maintain any longer. As a result, these people believe there is a need for comprehensive reform of collection work from the organizational, managerial and technological standpoints. At the same time, there are also some people in collection work that have a sense of urgency regarding the formation of a body of collection science theory. These individuals believe that there must be a change in perceptions and the establishment of a series of new ideas and concepts.

 

   As we know, for historical reasons and reasons relating to the makeup of human resources in China, information collection work, within the broader field of S&T intelligence work, carried forward and developed the body of theory, principles, methods and means from the book acquisition work within the broader field of library work. For a long period of time, information collection work continued to follow the work mode and system that libraries adopted for the acquisition of books. For a period of time, this arrangement met the needs of society during a specific period in history. Now, however,  information must be collected quickly and accurately. This is because information is the hallmark of humankind's intellectual wealth. Now there are various and sundry types of information and a huge amount of it. We have had a so-called "information explosion." In addition, the ratio of machine readable information to the total amount of information is becoming greater and greater. Database throughput is skyrocketing. Information on microfilm is being received more and more favorably. The status and role of verbal information are increasing with each passing day. Furthermore, there has been a change in people's awareness of societal information. People are placing ever greater demands on the input capabilities of the intelligence system and on the social functions of collection work. All of these factors have impelled people in information collection work to face up to a new reality. They cannot but change their perceptions and establish new concepts of collecting information. Rapid change is still the order of the day as this transformation continues.

 

   I. The Traditional Classic Concepts

 

   1. The Perception of the Guiding Principles for Information Collection:  Geared toward academic needs; "build collections" following vertical system principles; aspire to have a "large and complete" or "small and complete" collection hub; wait for consumers to come and use one's resources, in the manner of one who stands by a tree trunk waiting for a rabbit to dash himself against it.

 

   2. The Perception of Methods of Assessing Collection Work:  Consider information piece by piece; place an excessive, one-sided emphasis on the absolute amount of the information collected; gauge the quality of collection work solely on the basis of the amount of information collected.

 

   3. The Perception of Targets of Collection:  Consider only "real" materials in written form, such as books, periodicals and documents; take expansion of the collection and replenishment of the data bank as the sole goal.

 

   4. The Perception of Collection Methods:  Regard collection work merely as a highly specific, routine sort of work; very rarely or virtually never think of collection work as a science and a technology; put great emphasis on one's own accumulation of resources and on self-perfection.

 

   5. The Perception of Collection Personnel:  Believe that someone is competent to do collection work provided he or she knows a foreign language or Chinese and can count, type and check off items.

 

   6. The Perception of Expenditures:  Put too much emphasis on the "public good" aspect of collection work; become accustomed to "eating the emperor's rations" and "spending first, planning later"; neglect the role of development and management.

 

   II. The New Evolving Concepts

 

   1. The Perception of the Guiding Principles for Information Collection:  Should be geared toward real problems; "build collections" and "build databases" following the principle of targeting; aspire to have a highly efficient, diversified network with a rational overall arrangement, parts with particular emphases, and a high degree of interconnection; actively contact consumers.

 

   2. The Perception of Methods of Assessing Collection Work:  In addition to considering quantity quotas, we should make the assessment of collection work capabilities our point of departure, considering whether the work is scientific, targeted, and prompt, and whether it can solve consumers' problems; should consider knowledge parcel by parcel and put more emphasis on the relative amount of knowledge that has been collected.

 

   3. The Perception of Targets of Collection:  In addition to collecting "real" information, should also collect "virtual" leads or information, "combining the virtual and the real" in collection work; in addition to collecting information on paper, should also stress the collection of information on magnetic media, in electromagnetic waves, in the form of acoustic images, and on microfilm; in addition to building "data banks," should also build "databases."

 

   4. The Perception of Collection Methods:  Regard collection work as a branch of learning, a science and a technology; make use of methods drawn from systems theory and cybernetics; carry forward research on information sources and intelligence sources, consumer demand, transmission channels, and technologies for obtaining information; establish a scientific, open collection system.

 

   5. The Perception of Collection Personnel:  Collection work can only be done well if there is a contingent of collection personnel which features a rational distribution of knowledge and technical posts among workers, rapid response to consumer demand, strong network management and planning capabilities, and excellent ability to cull knowledge.

 

   6. The Perception of Expenditures:  In addition to relying on government appropriations, "eating the emperor's rations," and seeking social benefits that serve a public good, should also engage in development and management activities and strive for economic efficiency; should change from "spending first, planning later" to "planning first, spending later."

 

  

 

 

   III. Accelerating the Change in Concepts

 

   Although traditional and conventional perceptions of S&T information collection practices and activities have been influenced by library science, it is true that S&T information collection has to some degree carried forward, enhanced and developed the foundation provided by book acquisition work. Nevertheless, it cannot be denied that S&T information collection still bears the clear marks of library science and library  work.

 

   Henceforth, while information collection work, within the broader field of S&T intelligence, will continue to have a complementary relationship with and be closely interconnected with book and periodical acquisition within the broader field of library work as far as their theories and actual practices are concerned, we should also recognize that traditional collection concepts and modus operandi are unable to fully meet the demands posed by current and future economic construction and national defense construction. As a result, we must now have a new appreciation for S&T information collection activities and collection work, establish new collection concepts, and transform collection work. This transformation of collection work will be carried out with an eye to assembling the intellectual wealth of humanity and from the standpoint of knowledge engineering. It will be carried out while the establishment and shaping of intelligence science, information science and collection science is being driven forward, and in an environment characterized by the transformation of the S&T intelligence cause from a traditional model to an industrial model. With the advent of the new industrial revolution as China also steps into the information society; with the deepened reform of China's economic system of organization and S&T system of organization; facing the challenge posed by mankind's pressing need to develop and utilize information resources--the internal structure and distinctive levels within collection work will, of necessity, be subject to gradual, timely adjustments. A series of transformations will also of necessity take place in the operational mechanisms. All of this will result in continual development and innovation in collection work, and will lead the work to become ever more scientific.

 

   Section Two -- Information, Intelligence and the Target of Collection

 

   Since we are dealing with collection work and problems that pertain to information science and collection science, we must first clarify what the target of collection is. Is it intelligence, or is it information? Is collection work the job of collecting intelligence, or the job of collecting information? Proposing the question in this way not only involves the basic theory of information science and collection science, it more practically touches on the purpose and orientation of collection work.

 

   I. Information Is Not Intelligence

 

   In their daily life and work, people often mix up and confuse "intelligence" and "information." This is undoubtedly because the production, transmission, and utilization of intelligence can never be separated from information. Intelligence work thus embraces information work. Unanimity has yet to be reached in different quarters as to the semantic difference between intelligence and information. Historically, information work has had a blood relationship to library work. If, during the historical stage characterized by intelligence activities, we certainly could mix up information and intelligence; and if, during the historical stage characterized by intelligence work, we still could get away with mixing up information and intelligence; then, in the historical stage characterized by intelligence as a science and a technology, we certainly must clearly differentiate information and intelligence, both from a theoretical standpoint and from the standpoint of practical experience. This is because there has been a huge increase in knowledge-related products, the intellectual wealth of mankind has greatly increased, and the structure of S&T intelligence work has become more clear cut in terms of its distinctive levels. There are currently a considerable number of people who appreciate the fact that, even though information is the primary source and basic vector for intelligence, information nevertheless is not intelligence. It is necessary to go through a catalyzing and activating process in order to extract intelligence from information. Moreover, the activation of information is yet another science and technology that awaits further development. People are gradually coming to appreciate the need to make a conceptual differentiation between intelligence and information, reflecting the fact that the social function of intelligence is now undergoing a transformation, that intelligence science is maturing with each passing day, and that development of the intelligence cause is just now undergoing a transition from the stage characterized by intelligence work to the stage characterized by intelligence as a science and a technology. Only in this way can information science research be carried forward, because only information itself is fit to be the object of information science research. Moreover, only in this way can collection work, (which is within the broader intelligence work setup), completely extricate itself from the influence of traditional acquisition work (which is within the broader library work setup), so as to open up new prospects with a brand-new look, establish a physical foundation for S&T intelligence work that is both firm and flexible, and go on to expand research work in the field of collection science.

 

   Changes in the names of certain national defense S&T intelligence units reflect the growing appreciation that people have--or at least that the relevant authorities under the responsible leaders have--of the difference between intelligence and information. When these work units were first set up, they were called "Information Research Institutes." During the period of economic readjustment they were called "Intelligence and Information Research Institutes." During the recent period of development, their names were changed to "Intelligence Research Institutes." The change in name reflects a change in what is connoted by national defense S&T intelligence. It reflects that there has been a shift in the work's focus and that differentiations between various levels of the work are more clear cut.

 

   A basic thesis and a basic point of departure for all of the discussions in this book is that information is not intelligence. Our perspective is that information, in a broad sense, is knowledge that has been put into material form, and that information, in a narrow sense, is knowledge that has been put into the form of symbols. Intelligence is knowledge that is needed to solve specific problems. Intelligence is particular knowledge that has been extracted from information. Information is the source from which intelligence is extracted--the substrate and raw material that is activated in order to produce knowledge. We will specifically deal with the definition, types, attributes and functions of information in chapter 3.

 

  

 

 

   II. The Basic Target of Collection Is Information, Not Intelligence

 

   As we know, collection is the first of the three links in intelligence work. Collection is the first of the three levels of intelligence work. If information is not intelligence, then is the target of collection intelligence or information? In view of the fact that "intelligence" and "information" are different in their natures, attributes and functions, information, not intelligence, ought to be the target of collection work, even though the ultimate goal of intelligence work is to obtain intelligence. The work should be information collection, not intelligence collection.

 

   We put forth this thesis because intelligence is knowledge that is produced from activated information and targeted toward specific problems. In addition, the specific knowledge that is connoted by information can only be drawn out, synthesized and analyzed by means of the mutual effect of the human mind upon information and information upon the human mind, as well as by means of cognitive activities. The primary task of collection work within the broader modern S&T intelligence setup is to collect information that serves as an intelligence source, and to provide raw knowledge for intelligence analysis and synthesis work. Clearly, then, the target of collection is information, not intelligence. It is both unnecessary and unfeasible to demand that collection work embrace both the collection of information and the collection of intelligence; moreover, it is becoming more and more unrealistic. Therefore, our understanding of collection work should be that it is information collection work, not intelligence collection work; viz., the work of collecting information, not the work of collecting intelligence.

 

   Is it possible to directly collect intelligence in the current real working environment? This was very much possible in the case of specific problems that were encountered by specific people during the historical stage characterized by intelligence activities, when the level of S&T was not yet high, the intellectual wealth of mankind was not yet abundant, and the amount of knowledge was not yet great. However, now it is indeed more difficult to directly collect intelligence geared to a problem, when humankind's intellectual wealth has so abruptly increased and the amount of knowledge being produced is growing exponentially. Of course, China's current S&T intelligence work is yet in a transition stage from the stage characterized by intelligence work to the stage characterized by intelligence as a science and a technology, and the intelligence system is still not organized rationally. On top of that, for various reasons related to perceptions and policies, people are ever wanting to obtain intelligence directly, and moreover are sometimes successful at doing it. However, this course of action is really very inefficient, and a good example of biting off more than one can chew.

 

   Section Three -- Sources of Intelligence and Sources of Information

 

   Up to the current time, there has been some discussion in China and abroad in regard to sources of intelligence. However, most of this discussion has been based on the premise that there is no distinction between intelligence and information, and has examined the question using research methods that follow traditional bibliographical science methods and library science methods. The task that is currently confronting S&T intelligence workers and S&T information collection workers is the need to analyze the question of intelligence sources using modern scientific methods while regarding collection work as a branch of learning and looking at matters from the standpoint of "information science" and "collection science."

 

   Currently, there is a great deal of disagreement as to the concept and definition of the "intelligence sources" that people generally speak of. For example, there is the saying in regard to "documents" that they provide "the ten major intelligence sources." Admittedly, this saying conformed to reality during the period when S&T documents were the primary and most basic source for obtaining S&T intelligence. However, in this age when there are more diverse vectors for knowledge, and particularly when the role of databases is becoming more and more prominent, we need to promote the evolution of this kind of perception of intelligence sources beyond the foundation that has been passed down to us. This is not to mention the fact that, once a distinction is made between intelligence and information, such a distinction necessitates a fresh understanding of certain concepts of intelligence sources. To sum up, the inherited perception of intelligence sources has already proven inadequate to explain intelligence S&T activities and guide the development of S&T intelligence work.

 

   Since, as we know, intelligence stems from information, this very naturally raises questions pertaining to information sources. Who produces the needed information, and where and when is it produced? What are the laws that govern the production of information, what modes is it stored in, what are the channels for transmitting it, and what are techniques for obtaining it? What is the status quo and what are the development trends? These are all questions that must be touched on when studying information sources. The study of information sources is one of the key constituents of information science and collection science research.

 

   To be able to draw out the concept of information sources from the concept of intelligence sources reflects the more profound understanding that people now have of intelligence science and intelligence practice. If we take another look at the various former concepts regarding intelligence sources, basing our assessment on the fundamental perspective that information is not intelligence and intelligence is knowledge that is extracted from information in order to solve specific problems, we will find that these former concepts all have inaccuracies, not only from a semantic standpoint, but also from the standpoint of what they connote. We will also find that it is difficult to reconcile these old concepts with the demands posed by the development of information science.

 

   The basic perspectives of this book in regard to intelligence sources and information sources are as follows: intelligence sources are what intelligence stems from; intelligence stems from information and information therefore is an intelligence source; and information sources are any systems that are used to transmit, produce, hold, or propagate information. One of the emphases of this book is a discussion of national defense S&T intelligence sources and national defense S&T information sources. This discussion will be developed in Chapter 4.

 

   Section Four -- The Substance of Information Collection Work

 

   The substance of information collection from the operational and research standpoints is far more complex, rich, broad and deep than the man in the street imagines. This is because this is a problem within the broader field of human knowledge engineering, and a systems engineering problem involving the assemblage, transmission and provision of mankind's intellectual wealth. However, sad to say, generally speaking we now lack specialized writings as well as theories that have universal application, whether we are speaking in regard to the operational aspect or the research aspect of information collection. We are still stuck in a stage in which information collection is regarded merely as ordinary day-to-day work. Few are enthusiastic about establishing a science of collection, and the majority are indifferent. Judging from the current rate of advancement, we will have to wait until the 21st century before we can fundamentally change the situation.

 

   I. The Goals, Functions and Significance of Information Collection

 

   Information is the physical foundation for all of intelligence work. Information collection is the first level and the first link in intelligence work, and it embodies the input capabilities of the entire intelligence system. Without information collection, the work of ordering and activation that is associated with the production of knowledge would degenerate into trying to make a silk purse out of a sow's ear.

 

   The practical goals of information collection are to: be problem oriented; adhere to the principle of targeting; promote the use of both "real" and "virtual" information; have a good grasp of information leads; and collect information in its various media manifestations.

 

   Some of the information that is collected must go through an ordering process before being incorporated into a data bank; some of it must go through a formatting process before being incorporated into a database; and some of it is provided to the consumer after going through a catalyzing process.

 

   Many monographs in the field of intelligence science have touched upon a general explanation of the goals, functions and significance of information collection work; therefore, we will not go into unnecessary details in this volume.

 

   II. The Substance of Information Collection from an Operational Standpoint

 

   The collection of information is a widely prevalent social phenomenon among mankind. As society advances, understanding of the substance of collection work from an operational standpoint steadily deepens. Consequently, collection techniques and methods are also continuously advancing. Now the problems posed by the practice of collection work far exceed what people generally take them to be; that is, current problems go beyond the problems within the "operational scope of acquisition", such as merely "selecting topics" and "purchasing books."

 

   1. Gradually Shape and Establish the Basic Theory for Information Collection; that is, "Collection Science," as Well as the Related "Information Science."  The theory of information collection is the theory that deals with the universal laws that govern the entire process of information collection. It is a body of scientific theory that deals with the universal principles and methods that pertain to the production, transmission, acquisition and selection of information. Collection theory involves general theory pertaining to intelligence science and informatics, and also particular theory that pertains to information collection. The first proposal of a discipline of information science within the broader field of intelligence science may be credited to Professor Qian Xuesen in July of 1983, less than ten years ago.

 

   2. Study Intelligence Sources and Information Sources; Master the Laws that Govern Developmental Changes in the Production of Information.  Knowledge stems from the human mind. Information is knowledge in material form and is the source of intelligence. A person can be an information source manifestation, as can an institution. Information source research and development is the basis for doing information collection work well. For reasons pertaining to secrecy, research on national defense S&T information sources is more difficult than research on ordinary information sources. When studying intelligence sources, in addition to studying document sources, we must also pay attention to non-document sources. We should use modern methodologies from the natural sciences when studying information sources, stressing research on the status and output characteristics of information sources. Admittedly, investigation and study of book title catalogues is an important way of studying intelligence sources and information sources. However, with the evolution of collection science technology, the limitations of such an approach are becoming more and more evident.

 

   3. Carry out Research on Consumer Demand for Intelligence.  Research on consumer demand for intelligence is the basis for information collection and is one of the key research areas in collection science. Without consumer demand, collection loses its significance. The study of the characteristics of consumer demand for intelligence and the laws that govern developmental changes in consumer demand comprise the basic subject matter of research on consumer demand for intelligence. The difficulty with research on consumer demand lies in the fact that hardly any consumers are skillful or adept at communicating their real needs in an accurate manner at the drop of a hat. Sometimes military S&T intelligence consumers are still unwilling to express their real needs. It is forecasted that this problem will become even more acute vis-a-vis important consumers' near-term needs, and especially vis-a-vis their mid- and long-term needs. Currently, the primary method for studying consumer demand is still the direct or indirect survey method. The use of mathematical or systems approaches is still not widespread enough.

 

   4. Develop and Use Transmission Channels.  If we wish to transmit information between the information source and the collection worker or collection department, then we must develop and use information channels. We are not limited to just one kind of usable transmission channel, and the special transmission characteristics of each kind of transmission channel are unique. Nowadays, the collection worker must choose the most suitable channel to use to collect the needed information, based on the consumer's particular needs and the type of information being collected. When investigating what information collection channel to use, he or she should consider the speed with which the channel transmits information, the channel's capacity, its anti-interference capabilities, whether there are specialized spectral bandwidths, the channel's secrecy and any extra charges that are involved. We certainly must adhere to the principle of cooperation when developing information transmission channels, since utilization of a channel is often not limited merely to intelligence departments. As to the transmission channels for national defense S&T information, overt transmission channels may be used as well as covert transmission channels, and military transmission channels may be used as well as civilian transmission channels.

 

   5. Cull Information at All Times.  One of the important constituents of information collection is selecting information according to the type of information and the information content. This is also a key acquisition technique. Only by sifting, differentiating and selecting information can the direction and the amount of information flowing from the information source to the information collection department, information processing department or information consumer be controlled. The work of selecting information is constant which goes on daily and hourly. The selection of information must proceed according to fixed collection policies and fixed collection limits. In addition, the "bang for the buck" should be considered and selection should center on the consumer's intelligence needs. As far as basic selection methods in information collection work, a distinction is to be made between directional selection and topical selection. Today, there is a vast amount of information of various and sundry types. The subject matter, amount and forms of information that are available for selection are constantly expanding. In addition, the increasingly indistinct and dynamic nature of consumer demand, as well as other factors such as the quality of collection personnel, pose very great difficulties to selection work. Moreover, national defense S&T intelligence needs are becoming more integrated with each passing day; often various military, S&T and economic factors must be considered simultaneously, making the already difficult work of selection yet more difficult.

 

   6. Establish Intelligence Source and Information Source Databases; Compile Manuals for Searching Out Intelligence Source Leads and Information Source Leads.  Currently, configurations for information storage are becoming more and more characterized by the application of network technology. With social phenomena such as the increasing diversity of intelligence needs and ever increasing demands for promptness and convenience, if collection work continues to adhere to the operational principle of merely collecting "real" information in order to replenish data bank collections, it will find it difficult to adapt to the demands posed by social progress. In addition to "real" information, we should also collect information that pertains to pertinent intelligence sources and information sources, establish databases for "virtual" leads, compile and print various manuals and reference books for searching out leads, and develop intelligence source and information source consulting services that can serve as a "road map" and guide to the user.

 

   7. Carry out Research on Information Collection Methods as well as Acquisition Techniques, Know-How and Skills.  Only by the use of appropriate methods and advanced techniques can we assure both the accurate and prompt collection of information and information leads and a high degree of efficiency in collection work. Acquisition know-how and skills, which are very closely connected to personal experience and attainments, can sometimes play an important, or even crucial, role. Communications techniques, electronic computer techniques and storage techniques are gradually being adopted in collection work. However, current appreciation of the need to study collection methods, techniques and know-how is, on the whole, highly inadequate. Then again, people may think of collection work as simply "making purchases for an organization," or they may have romantic notions of "obtaining information through espionage."

 

   8. Study the Management and Organization of Collection Work.  The management of collection work embraces collection policy management, management of the guiding principles for collection, collection planning management, collection technology management, management of the organization of collection work, collection quality management, management of the collection system, and management of collection personnel. When assessing management work, in addition to considering indices measuring performance, efficiency and achieved benefits, one should also consider indices measuring how scientific the work is as well as economic aspects of the work.

 

   The following four points must be considered when organizing collection work:

 

   (1) Organization should be carried out in accordance with the idea that information collection work is a science and a technology, and not in accordance with the idea that it is merely a "nuts and bolts" type of work.

 

   (2) Information collection work should be organized in accordance with systems principles and be regarded as a social activity. This overall social entity that is called a collection system is a complex system that is composed of various types of work units that cover an extremely wide range and are spread all over the world, but each of which is also independent and has its own unique form. A collection system is not merely a system that is comprised of simply a few people or a few departments.

   (3) Information collection should be organized in accordance with the demands posed by an open loop system. The collection system must often implement information and message exchanges with information sources, information consumers and information environments. Collection work cannot be organized according to the closed loop system principles of "large and complete" or "small and complete."

 

   (4) Collection work should be organized in accordance with the demands posed by dynamic systems. The properties and functions of collection systems change over time. As soon as a collection activity has been carried out, it is necessary to immediately analyze and study any feedback that has been received from the information consumer and adjust the collection process in a timely manner, thus improving the work of collection. A work unit cannot control the collection process by simply increasing the size of its collection.

 

   Section Five -- Theoretical Approaches to Guiding Collection Work

 

   As of now, the broad mass of S&T workers, S&T intelligence workers and information collection workers have a considerable amount of practical experience as to how to collect information. Moreover, in a partial and local sense, they have mastered a set of practical collection methods, and are yet in the process of continuously exploring new collection models. However, from a methodological standpoint, the problems of how to scientifically and quantitatively summarize the universal laws pertaining to collection methods and how to guide collection work via theoretical approaches--all in the light of collection science--are still far from being solved. Moreover, at this point, we are merely at the stage of just becoming aware that this problem needs to be addressed. It may be said that, up to now, we have been unable to establish any mathematical models for collection methods, and that we have yet to propose a theoretical approach that would enable us to choose the best collection activity from among a variety of possible collection activities. The question of whether search theory can provide one theoretical approach to collection would seem to be well worth investigating from a developmental standpoint.

 

   I. Search Theory

 

   The problem of information collection is, in essence, a search problem. Humans are well versed in searching behavior. Search problems are widespread in human social life. "Searching" refers to the process of planning and implementing a search for a target. Searching first became an object of scientific research as a result of military operations needs, and the first foundations of search theory first appeared in the military field.

 

   Search theory is a branch of operations research. It is a kind of mathematical approach that concerns itself with how to rationally utilize means such as human resources, material resources, financial resources and time in order to obtain the most favorable search results in the process of searching for a certain kind of target.

 

   Search problems are extremely complex. Not only do search problems involve the searching entity, the search target, the means used in the search, and search technologies and equipment, they also touch upon the search environment. In addition, each kind of search is subject to its own set of constraints imposed by physical procedures, time and various prerequisites. Therefore, the question of how to formulate the best search strategy and plan out a course of action--all in light of the given situation--is an extremely complex problem. For these reasons, search theory has yet to evolve systems theories and fixed models. We must carry out research and tests aimed at specific problems if we are to formulate indices with which to measure search results and formulate various types of feasible strategies and action plans. Moreover, these various strategies and plans must be assessed so that the best plan can be selected from among them.

 

   If we require that the problem of information collection be handled from the standpoint that it is a science and a technology, then the information collection problem is also exceptionally complex. In the first place, in regard to information, which is the target of collection, there is that information that can be directly perceived and differentiated by people, such as printed information, information on microfilm, information in the form of acoustic images, oral information, and information in the form of material objects. Then there is that information which can only be perceived and differentiated by a machine, such as modulated electromagnetic waves, magnetic tapes, magnetic disks, phonograph records, optical disks and holograms. The natures, roles, forms and amounts of these various kinds of information are quite different. In the second place, information sources can be further divided into information sources that produce information, information sources that hold information and information sources that propagate information. Each of these information sources is unique in terms of motility and output characteristics. Moreover, they are in a dynamic state. In the third place, the means of collecting information include administrative means, legal means, economic means, interpersonal interaction means, social service means, telecommunications means, and clandestine acquisition means. Channels for transmitting information can be of the linked type, the centralized type, the closed loop type or the interactive type, etc. Collection means come in all shapes and colors, depending on the information source and how the information is accessed, and also depending on energy considerations and the laws that govern transmission of the information. Finally, it goes without saying that whether useful information can be collected or not depends on the characteristics of consumer intelligence demand, the awareness of the role of intelligence in the society at large, the intelligence environment, collection capabilities, and the abilities of collection personnel. In regard to this kind of complex problem, seeking the best collection plan, based on the consumer's needs and applying search theory methods, will clearly be a task of considerable difficulty. At present, when a plan is being established, the planners often depend on the experience of a certain individual, so that the collection results are largely a matter of chance.

 

   During this "information explosion" age, the matter of how to develop theoretical approaches so as to find a preliminary solution to the problem of seeking out specific needed information in the vast ocean of knowledge is a problem of major importance which collection science researchers need to solve without a moment's delay.

 

   II. Classification of Search Problems

 

   1. Classification According to the Goal of the Search

 

   (1) The Inspection Search:  This is a search carried out under conditions where one does not have information regarding the position of the target at a given moment in time. In terms of collection work, then, this is collection carried out when one does not know if the needed information is located at a given information source at a given moment in time. This may be called "inspection-type collection" or "scanning-type collection."

 

   (2) The Follow-Up Search:  This is a search carried out under conditions where one does have information regarding the target at a given moment in time. In terms of collection work, then, this is collection carried out when one already knows that the needed information is located at a given information source at a given moment in time. This may be called "tracking-type collection."

 

   (3) The [Communication] Line Search:  This is a search carried out under conditions where one does have information regarding a line section that may lie in the track of a target and that a target may cross over into. In terms of collection work, then, this is collection carried out when one already knows that the needed information may appear in a given transmission channel section. This may be called "surveillance-type collection."

 

   2. Classification According to the Manner of the Search

 

   (1) The Area Search:  This normally refers to a search for a target that is presumed to be in an entire predetermined area. In terms of collection work, then, this is collection carried out when the needed information is presumed to be in a certain class or kind of information. This may be called "set collection" or "complete set collection."

 

   (2) The Scattered Point Search:  This is a search for targets that are scattered. In terms of collection work, then, this is collection carried out under conditions where distribution of the needed information is scattered. For the most part, this may be called "topical collection."

 

   III. Measuring Search Results

 

   In search theory, capability indices and probability indices for the search serve as the norms for evaluating search efficiency.

 

   At present in collection work we still do not have a set of methods for scientifically measuring collection work results. People are still following the custom of measuring collection work results by the absolute amount of information collected or by whether a certain individual states that the information is useful. This is not scientific in the strict sense of the term. From now on, we should use numerical probability values to assess collection work. For example: the probability of collecting the needed information within the period of time stipulated by the consumer; the mathematical expectation of the amount of the needed information that will be collected within the period of time stipulated by the consumer; and the mathematical expectation of the amount of time required to collect the needed information, etc. Looking at the matter from the point of view of the information consumer, demanding that there be a 100% probability of the collection worker collecting the needed information is unrealistic.

 

 

Chapter 2:   A Brief History of the Development

of Collection Work

 

 

   Intelligence activities represent a social activity that is innate in humans. People had a need for intelligence and consequently intelligence collection activities arose. Only after the advent of intelligence collection did activities such as intelligence processing and intelligence analysis arise. Thus one might say that the history of intelligence collection is even longer than the history of intelligence processing and intelligence analysis.

 

   As in the case of intelligence activities, collection activities have gone through several historical stages during their course of development. Collection activities develop along with the social activity represented by intelligence activities. Collection activities are inhibited and stimulated by factors relating to the level of human S&T development.

 

   If one were to say that S&T intelligence work is now directly confronted by a situation in which intelligence technology is way out ahead and intelligence science is lagging behind so that intelligence work lacks theoretical guidance, then one might say in regard to collection work specifically that it is lagging even further behind than intelligence work, both in terms of practical experience and in terms of theory. In regard to information science (which is a branch of intelligence science) and collection science (which is a branch of information science) one may say that they are not only lagging behind intelligence science from an R&D standpoint, but also that up until today there is still a dispute as to whether there is a body of theory to guide collection work.

 

   When studying the developmental history of collection work, in addition to analyzing developmental changes in intelligence work and intelligence technology as well as how the society deals with the problem of intelligence demand, one should also stress an understanding of developmental changes in the role of collection work and developmental changes in the forms taken by collection targets, transmission and exchange.

 

   While dividing the developmental history of collection work into several historical periods certainly should not be done in an arbitrary manner, it is also true that it is very difficult to devise a fixed rule that will be accepted by all. According to the authors' understanding, the developmental history of collection work may be divided into three historical periods: the period of collection acts; the period of "collection work"; and the period of collection as a science and a technology.

 

   Section One -- The Period of Collection Acts

 

   The primary characteristic of this historical period is that most information collection activities were spontaneous isolated acts by scientists and engineers. This historical period may be roughly considered to start with ancient times and proceed right up to the conclusion of the Second World War.

 

   Science and technology developed slowly in ancient times. The scope of mankind's scientific and technological activities was extremely small. Little knowledge was produced. There were few items that could be exchanged. Moreover, most scientists were eclectics or quite multi-talented, versatile individuals. Therefore, except for the comparatively pressing need for military intelligence, the demand for S&T intelligence was by no means urgent. If S&T intelligence was needed, an individual could collect some information and use it directly. This is a classic example of an isolated collection act. Verbal information--information in the form of a spoken language--was one of the items collected. A second item that was collected was symbols that were recorded by hand, on media such as stones, bamboo slips, paper and metal, etc. The primary collection approach that was used during this period was the informal exchange process. Collection activities during ancient times still basically did not feature any organized collection work or organized intelligence work to speak of.

 

   Science and technology developed rapidly in more recent times. The scope of mankind's activities expanded with each passing day and the amount of knowledge produced steadily increased. Scientists could no longer follow the multi-talented model. Rather, they could only become "experts" in certain academic disciplines. Although, as before, scientists had some needs vis-a-vis S&T intelligence work, "collection work" had yet to come on the scene. Whether an individual or a collective body that had been spontaneously organized to carry on scientific research, scientists and engineers still had to collect and arrange information themselves. However, these same scientists and engineers felt that the amount of information was considerable, that they were unable to do as well as they would have wished, and that the task was of considerable difficulty. Collection activities during this time could still be considered isolated acts, and they had not by any means evolved into an independent vocation or profession. During this period, oral information was one collection target, and this period also featured a greater emphasis on documents as a collection target--documents which had arisen out of the new printing technologies. The approach to collection activities during this period featured an equal emphasis on formal exchanges and informal exchanges.

 

   To sum up, during the period of collection acts, collection activities were characterized by the fact that they were primarily carried out in an isolated manner by scientists and engineers themselves. The goal was to use the information oneself, not to share it. The scientists and engineers primary "operational fronts" were academic societies and libraries. The collection targets were verbal information and documents.

 

   Section Two -- The Period of "Collection Work"

 

   The main distinguishing characteristic of collection activities during this period is their evolution into a profession within the broader field of S&T intelligence work. Thus, collection activities have been made to serve the needs of society to a greater extent. "Collection work" is carried out in an organized fashion. Its goal is to share information, not to use it oneself. The period of "collection work" is considered to have begun after the conclusion of the Second World War, and has continued right up until today.

 

   In this era of modern science and technology, the amount of S&T knowledge and S&T information being produced is increasing sharply at an exponential rate. As S&T intelligence work has been confronted by this "information explosion," it has been spurred on to become a social profession in its own right. Moreover, S&T intelligence work has become an important and inseparable component part of the national S&T cause and it is entering a brand new developmental stage. In the train of these developments, information collection activities have also become differentiated and have evolved into a profession; they have evolved into "full-time" "information collection work."

 

   The target of collection has become primarily documents during the period of "collection work." The approach to collection and transmission has become primarily the formal exchange process. Clearly, for scientists and engineers to continue to simply rely on the actions of one individual to collect the continuous flow of information would be of no avail whatsoever. They must avail themselves of S&T intelligence work, thus facilitating the professionalization of collection work. At the same time, it has become more and more difficult for scientists to directly carry out intelligence exchanges among themselves. Collecting verbal information via the informal exchange process has also come to play less of a role. Moreover, whether intentionally or unintentionally, the influence of library acquisition work approaches on collection activities has served to gradually sever the connection between the two exchange processes, even to the point where the perception and modus operandi has arisen that collection activities featuring the informal exchange process should be relegated to a position outside the domain of "collection work."

 

   People have gradually begun to feel that "documents," "information," and "intelligence" are three concepts that are both mutually connected and mutually distinguishable. This has been because the number of information sources has been continuously increasing, the forms that information takes have been becoming more and more diverse, and especially because large amounts of machine readable information have come to the fore. It has also been because people are placing an ever stronger demand on information processing and information activation capabilities. As a result, collection workers are facing a series of work-related questions and theoretical questions. This has served to further promote the development of collection work and has facilitated the gradual transformation of collection work from acquisition work associated with libraries to "information collection work" associated with S&T intelligence.

 

   We should also point out at this point that, although the complete evolution of collection into a profession occurred within the broader field of S&T intelligence work, the development of collection has nevertheless been sluggish. For a long time now, the everyday work of merely "incorporating into collections" and "building collections" has been thought to be the role of collection work. Yet the scientific and technological nature of collection has been overlooked. Also, the fact that collection represents an open system and that we ought to give full play to its overall social effect has been overlooked. We often think of collection in too simplistic a manner. In regard to theory, for example, theories in intelligence science regarding searches, etc. have already been quite thoroughly thought through; while only in regard to collection theory have such inquiries been few and far between. Another example: Realistically, collection serves as an extremely important prerequisite and foundation within the entire intelligence work; yet we have been unable to think of collection from an overall standpoint and incorporate it into the national systems. Even though collection practice and experience has had considerable usefulness in every vertical administrative system, we have been unable to give full play to the effect of large national systems, and the nation has also not received the overall beneficial effect that it should have.

 

   Section Three -- The Period of Collection Work as a Science and a Technology

 

   In the genuine information age society of the future, this is the stage that collection work will be in. At that time, collection will be regarded as a national undertaking and its beneficial overall social effect will be realized to the utmost. At that time, every department will shake off sectarianism and interact with each other and stimulate each other, forming a large collection system throughout the whole society. At that time, it will not be administrative departments alone that intervene vis-a-vis the operational mechanisms of the collection system. Rather, we will move from the traditional model featuring administrative decrees exclusively to a model in which three kinds of mechanisms coexist: administrative decree mechanisms; market mechanisms; and mass organization mechanisms. At that time, collection will have become a comparatively independent work within the broader S&T intelligence system, and will be generally regarded as a branch of learning to be studied, with collection guided by the theory of "collection science." At that time, people will utilize a set of new concepts to guide collection. They will utilize a set of new technological resources to assure the efficiency of collection. Work methods will undergo qualitative changes, and a brand-new situation will emerge vis-a-vis information collection.

 

   If we consider the past for a moment, we find that S&T intelligence is considered to have begun in 1769 in Germany, with the advent of the first digest-type periodical. Following about two-hundred years of development, talented Soviets proposed the scientific term "intelligence science" for the first time in 1962. The term immediately obtained recognition in intelligence circles in every country and has also gone through almost thirty years of subsequent development. Nevertheless, as of today a full-fledged intelligence science has yet to be formed, and the branch of learning dealing with intelligence as a science and a technology has yet to be set up. Such being the case, there is little reason to expect that the era of collection as a science and a technology will be upon us very quickly. The fact is, in ancient times people were already engaging in collection activities, and not until 1983 did Professor Qian Xuesen propose the scientific term "information science" for the first time, pointing out that we cannot regard collection work as merely a routine work, but that it is rather a branch of learning, a science, and a technology. What a vast amount of time from ancient times up until Professor Qian Xuesen's proposal! This is not even to mention that there is still a dispute as to whether the theory that guides collection work is called "information science," to the point that even many collection workers to this day still do not have a sense of urgency as to the need for theoretical guidance! The heavy and historic responsibility of pioneering the new period of information collection as a science and a technology can only be undertaken by information collection workers. Collection workers must pool their practical work experience and their work-related research, improve quality at the level of the individual, improve the macrostructure, increase their level of learning, perfect their knowledge, and endeavor to be ready to greet the advent of the period of collection as a science and a technology in the 21st century.

 

   Section Four -- Regarding the Reform of Information Collection Work

 

   China's S&T intelligence cause has already been developing for more than thirty years. As of now, we have assembled a contingent of collection workers of considerable scale in approximately four-thousand intelligence organizations throughout all of China. We have also achieved preliminary results as far as the establishment of S&T intelligence sources.

 

   While China's information collection work has experienced many ups and downs during these thirty-plus years, it has nevertheless made outstanding contributions to the rejuvenation of the S&T intelligence cause, the invigoration of science and technology, the construction of the national economy, and the construction of national defense.

 

   I. The Predicament Faced by Information Collection Work

 

   As of now, profound changes have already occurred in the larger environment in which China's S&T intelligence work and information collection work finds itself. As we go into the information society age, intelligence as a science and a technology is about to become a burgeoning discipline. Intelligence work will become the heart of the new industrial revolution. The economic system of organization in China is just now changing from a rigid planned economy model to a planned commercial economy model. New mechanisms that are self-regulating and self-restraining from an economic standpoint are just now inducing the occurrence of corresponding changes in the intelligence system. The purpose of S&T intelligence work is just now swinging from being primarily oriented to scientific research and leadership concerns to being primarily oriented to economic construction concerns. To boil it all down to one sentence: The consumer and his needs in regard to the content of intelligence, the forms that intelligence takes, and intelligence products, have undergone fundamental changes. However, whether from the standpoint of concepts and the management system, or from the standpoint of operational mechanisms and work methods, China's current information collection work is far from coming into line with the demands posed by the changes in the larger environment. Therefore, it has fallen into a predicament. Intuitively, one feels that this predicament manifests itself in the following ways:

 

   1. The image of a collection worker is warped. He or she is regarded merely as a mechanical worker who provides labor services and simply "checks items as approved," "checks off items," "purchases books," and "sends books." Collection is regarded as work that anyone is capable of doing.

 

   2. As far as developing collection work as a science and a technology, it is very difficult to realize accomplishments with a distinctive "collection science" flavor. This is for reasons relating to the environment, leadership and policies. In addition, the quality and structural composition of collection personnel are also contributing causes.

 

   3. Urged on by the planned commercial economy and lured on by market mechanisms, collection departments at every level have found it necessary to be able to gradually squeeze into the technology market and the information market by presenting themselves as producers and managers of information products. On the other hand, the broad mass of collection workers still rigidly cling to the matter of the "public good" and, as a result, are at a loss what to do.

 

   4. Few collection achievements, especially high-level achievements, receive awards, and the quality of the awards that are received is low. This has gone to the point where some people hold that collection achievements cannot be separated from S&T hardware achievements and stand in their own right.

 

   5. The approach of emphasizing collecting and downplaying usefulness continues to play a role. On the one hand, great amounts of information are collected. However, consumers are few, giving rise to an "information explosion." On the other hand, the information that is needed by consumers who are oriented to economic construction is difficult to obtain, giving rise to an "information famine." All of this necessitates that we adjust the guiding principles and the operating emphases of collection as quickly as possible.

 

   6. Due to factors such as the rise in book prices in China and abroad, upward revisions of management costs, and the devaluation of the Renminbi, contradictions resulting from shortages vis-a-vis information costs are growing keener with each passing day in each work unit, even to the point where accounts have been overdrawn. For these reasons, every intelligence organization has no choice but to reduce the amount added to its collection with each passing year. The situation where each intelligence organization independently builds its own "library" is not tenable any longer.

 

   The various manifestations of our predicament that we have enumerated above are in regard to collection work as it pertains to the collection of ordinary S&T information. In regard to collection work as it pertains specifically to the collection of national defense S&T information, it goes without saying that we are in even more of a hard place. This is due to the strategic shift in the guiding ideology for national defense construction; viz., the need to move from the state of affairs in the past, which was based on early, large-scale fighting capabilities "on the eve of the battle," to a new state of affairs emphasizing national-defense construction in peacetime.

 

   II. Defects in Information Collection Work

 

   As far as the predicament which China's information collection work is currently in, everybody is going through it personally, it is obvious to all, and people's experiences are basically identical. However, when inquiring into the reasons why this predicament has arisen, the focal points that are emphasized by different people vary, due to the fact that each individual's work experience and intellectual background is different. Therefore, there is not a great deal of unanimity in what people express. It may be summarized in the following several points:

 

   1. Inferiority Complex.  For a long time, a considerable number of collection workers have been accustomed to explaining away their own profession as a kind of service profession that supports other professions and is attached to other professions. However, very few have genuinely promoted the systematic relationship between the information collection profession and other professions, in which they are mutually dependent and interact with each other. Nor have they done their utmost to urge that the collection profession can also put forth its own distinctive flowers and bear its own distinctive fruit, to the point that it has really made people feel that it doesn't matter if there is information collection or not, and that its role is merely to "nourish" and nothing else.

 

   2. Looking Down on Science.  One of the diseases that has resulted in society's disapproval of the collection undertaking is the cold shoulder that has been given to collection work theoretical research and the lack of zeal and enthusiasm for setting up an information science and a collection science. As people attach greater importance to economic efficiency, the problem of looking down on collection as a science and a technology will tend to become more serious.

 

   3. Lacking Systematization.  That our collection system lacks systematization is something that everybody knows. It is very difficult to implement coordination and cooperation because each managerial department goes its own way, collection work organizations overlap, forces are dispersed and each gets along by defending his own "library." For many years there have been cries for an information collection network featuring a rational overall arrangement, each part having its particular emphasis, with a high degree of interconnectedness and outstanding usefulness. However, real achievements have not been great.

 

   4. A Single Operational Mechanism.  Currently, we still primarily rely on administrative mechanisms for the operation of our collection system. Collection departments are overly dependent on administrative departments, making it very difficult for the various collection departments to handle matters in accordance with economic laws and the laws of the science and technology of intelligence. Moreover, it is very difficult for such departments to carry out collection activities fully, conscientiously and independently in a self-supporting manner. They are unable to quickly come into line with the change from collection as a "cause" to collection as an "industry," under planned commercial economy conditions.

 

   5. A Drab Assortment.  Many collection departments frequently overstress the collection of unadulterated S&T information, neglecting information of a more comprehensive nature, such as information with S&T and economic content combined and information with military and economic content combined. In regard to the forms that information takes, too much emphasis is put on information in the form of printed symbols, and not enough on information in the form of electromagnetic signals, acoustic signals and optical signals.

 

   III. A Turning Point in the Reform of Information Collection Work

 

   As we have noted above, the larger environment and the boundary conditions present a very large challenge to China's collection work; for example, the reform and opening up to the outside world and the developing of a planned commercial economy, as well as the implementation of the guiding policies of improving the economic environment, rectifying the economic order and deepening reform. Furthermore, various inherent defects in the collection system have led information collection to fall into a predicament. However, on the other hand, this also presents an opportunity for the reform of collection work. Provided we conform to this type of environment, seize the opportunity, deepen reform, adjust, and improve and rectify, we will be able to gradually extricate ourselves from the predicament and change a turn for the better into a turning point. An excellent case in point is the plan for the rational overall arrangement of national defense document resources, which was organized and implemented by the S&T Intelligence Bureau [Keji Qingbao Ju] of the State Commission of Science, Technology and Industry for National Defense (COSTIND), and which has obtained substantive progress after several years of work. Actually, this work was driven by the predicament. Recently, the focus of the S&T document work of the State Science and Technology Commission's (SSTC's) S&T Intelligence Department [Keji Qingbao Si] has been to "adjust and reform current document resource management methods" and to "implement a rational overall arrangement and resource sharing." This is yet another very persuasive concrete example.

 

   We can begin our consideration of seizing the opportunity and changing a turn for the better into a turning point by considering the following few points:

 

   1. Limited Goals, Not Acting with Undue Haste.  The task of promoting the beneficial, abolishing the harmful and reforming collection is extremely formidable. The process of extricating collection from its predicament is extremely complex. We must take this fully into account. Given that they cannot control the larger environment themselves, and that they cannot choose the system of administrative leadership themselves, it certainly will not do for information collection workers to conceive of their reform goals in terms that are too grand. To demand that the transformation move at too rapid a speed will also cause us to miss an opportunity due to delay and to bungle the navigation of this critical turning point. The reform task at this stage is not to form a set of new self-regulating, self-restraining collection systems. Rather, it is to seek out an operational mechanism which, while it may be flawed, may nevertheless be controlled so that collection workers can really take care of a number of matters well.

 

   2. Demands for Increases in Appropriations Must be Appropriate.  Currently, the focal point of China's economic construction and reform is still to improve the economic environment and rectify the economic order. Based on society's current perception of S&T intelligence work, to demand that the nation grant special consideration vis-a-vis information costs and continuously increase inputs is impractical. No matter how many times the importance of intelligence resources and the great increases in the costs of domestic and foreign information are pointed out, while administrative leaders can understand, they find themselves willing to help but unable to do so. On the other hand, to speak too much of these matters may even have negative side effects. Therefore, while appeals for increased appropriations vis-a-vis information costs are necessary, such calls must be appropriate. What is more important is to do solid work on matters such as the implementation of a rational overall arrangement and the sharing of resources so that more abundant results are seen.

 

   3. Adjust the Information Assortment Structure.  Adjusting the assortment structure of information that is collected refers to the need to gradually increase the proportion of information products used and gradually decrease the proportion of information recorded on paper relative to the total amount of information, and also to the need to energetically enhance the collection of verbal information and the collection of information of a comprehensive nature that is integrated with economic information. All of this is geared to the national economy and the demand of many consumers under the socialization associated with a planned commercial economy. All of it serves to increase the beneficial social effect and the beneficial economic effect of collection work, and all of it is carried out under the aegis of a combined command task and market-guided management task.

 

   4. Seek Development Via Data Collection.  The collection of electromagnetic media information is a comparatively weak link in current collection. In all of its various kinds of levels, such electromagnetic media information provides an important foundation for national economic development, especially large-scale document banks, fact databases and numeric databases. In its predicament, collection might well consider striving for development by collecting data that is needed to build these databases. We should make up our mind to shift the direction of investments to this work in a step-by-step manner. Work units that meet the prerequisites can carry out unified implementation of economic data collection, management data collection and document information collection.

 

   5. Enhance Network Construction.  In line with reducing the intervention of administrative departments in the operation of the collection system, the motive forces driving the deepening of collection reform include giving full play to the integrated role of administrative mechanisms, mass organization mechanisms and market mechanisms, and promoting the construction of information transmission networks. Only in this way will it be possible to overcome a state of affairs characterized by ossification in which the function of each collection organization is identical, and thereby lead every collection organization to augment its own individuality in an environment of mutual competition and mutual interaction, incorporating itself into a network, and exhibiting its own peculiar characteristics in the process of self-regulation and self-development.

 

   6. Enhance Research on Collection as a Science and a Technology.  Whether with respect to the need to improve the efficiency of information collection work, or with respect to the need to establish the standing of information collection in an information society, the task of enhancing research on collection science and of shouldering the historic responsibility of establishing a science and a technology of collection has already, objectively speaking, been set forth before collection workers. There will perhaps be some people who will be relatively interested in this topic in the 1990's. In the 21st century, some people will undoubtedly realize achievements in this area.

 

   Section Five -- The Rational Overall Arrangement of S&T Information

 

   Implementation of a rational overall arrangement of S&T information is an important indicator of the transition of information collection from the stage of "collection work" to the stage of collection as a science and a technology. The problem of the rational overall arrangement of information is becoming more and more prominent with each passing day. From outward appearances, it appears that the problem stems from increases in the price of information and hardships arising from a lack of financial support. However, the significance of the implementation of a rational overall arrangement certainly does not lie merely in how to allocate and use limited funds. Rather, the implementation of a rational overall arrangement is significant in that the objectives of a "rational overall arrangement, a particular emphasis for each part, a high degree of interconnectedness and outstanding usefulness" are the basic prerequisites for building a collection system in accordance with systems principles.

 

   I. The Overall Arrangement of Information in Some Foreign Countries

 

   Every developed country abroad has taken definite measures in regard to the overall arrangement of information, in order to reduce the collection of duplicate information.

 

   The USSR has managed the introduction of information from abroad very strictly, and has adopted a number of measures in regard to the overall arrangement of information. The first measure has been to set up a coordination committee. This committee explicitly stipulates that there generally be only three to five subscriptions to any given foreign language periodical original. It is calculated that the USSR imports 16,000 foreign periodicals, and that it imports 70,000 books annually. There are only an average of four duplicates in any given collection. The second measure has been to transfer information to microfilm, reducing the number of periodicals in the form of original editions. 15% of the entire collection of the Pan-Soviet S&T Intelligence Office is information on microfilm. About one-half of the foreign periodicals at the Leningrad and Tbilisi Intelligence Offices are on microfiche. The third measure has been to make photocopies. For example, of the 1000 foreign periodicals that are collected by the Tbilisi Intelligence Office, about 200 are photocopied periodicals. The fourth measure has been to make union catalogs so that each makes up what the other lacks. Every republic in the USSR is making a union catalog. Moreover, the USSR is advocating replacing purchases with exchanges, and the USSR has already established information exchange relationships with several thousand work units located in dozens of countries. It is especially worth noting that the USSR has an organization that is responsible for the free allocation and transfer of information that is left unused. Every ten years, the USSR's intelligence organizations do an information "housecleaning" in which unused information is allocated and transferred without charge to a work unit that needs it.

 

   The former German Democratic Republic also emphasized coordinated collection. The entire country imported a total of 8000 foreign periodicals. However, the Central Intelligence Document Research Institute, which served as an intelligence center for the nation, only collected 500 different periodicals. The Germans maintained that intelligence sources ought to be near to the consumer and that, if a periodical is imported, it should first be used to meet the need of a specialized intelligence work unit.

 

   Although the U.S. is comparatively flush in terms of funds, it nevertheless also emphasizes coordinated collection and attention to the matter of an overall arrangement. In order to solve the problem of duplicate collecting, the Ohio University library entered into an agreement with four work units in the city. In regard to certain periodicals that were read relatively infrequently, the agreement was that just one subscription would be made for all the parties to the agreement, rather than each party getting a subscription. The subscription was handed over to one work unit for safekeeping, and every work unit shared this subscription. In view of their positive experience with this measure, the approach was later expanded to apply between cities. Currently, more than 200 work units have been organized to use this type of subscription approach.

 

   II. A Tentative Plan for Implementing a Rational Overall Arrangement of Information

 

   As we have explained above, due to a lack of unified organization and coordination and due to the irrational overall arrangement of information, information collection and the work of building data banks and databases in China are characterized by a situation where some regions have a surplus with low utilization rates and high duplication rates, while other regions have a shortage and are unable to meet demand. This situation has been caused to some degree by limitations imposed by historical and economic factors. However, the situation is also closely related to factors such as collection work's excessive dependence on administrative departments, the presence of a single operational mechanism in the collection system, and a guiding policy for construction that emphasizes collection and downplays usefulness in intelligence work.

 

   It is true that, in the light of the daily increase in the amount of information in the world, the amount of demand for information in China is also showing a marked increase. However, it is by no means true that, in the light of the huge price increases for information, China will be able to make corresponding increases in expenditures for information. Thus, the implementation of a rational overall arrangement and resource sharing is absolutely imperative.

 

   To this end, SSTC's S&T Intelligence Department has put forth suggestions for adjustment and enhancement vis-a-vis pertinent areas, such as the overall arrangement of information. These suggestions were put forth in two documents that were published respectively in 1988 and 1989: "Suggestions in Regard to the Adjustment and Enhancement of Document Work in the Pan-China S&T Intelligence System," and "Several Suggestions in Regard to Enhancing and Adjusting the Construction of Pan-China S&T Intelligence Computer Retrieval Systems." Some of these suggestions were as follows:

 

   1. Regarding the Overall Arrangement of Document Resources

 

   (1) Further Free Ourselves from Old Ways of Thinking and Adopt an Overall Point of View

 

   In our thinking, we must smash sectarianism and adopt an overall point of view. On the basis of its own unique nature, task and capabilities, each work unit must spell out the distinctive characteristics and scope of its own collection. Each work unit must regard itself as a component part of the whole document support system, with mutual coordination, mutual cooperation and mutual complementation, thus giving full play to the system's overall beneficial effect.

 

   (2) Enhance Coordination via Organizations; Develop Horizontal Combinations

 

   In order to coordinate the overall arrangement of document resources throughout China and benefit the development and construction effort, it is necessary to set up high-level organizations to coordinate and manage lower-level organizations. Every ministry and commission, and every province, municipality, large city and autonomous region can set up an appropriate organization and formulate a coordination plan, all on the basis of its own specific situation and needs.

 

   (3) Implement a Rational Overall Arrangement; Establish a Document Resource Support System Featuring Different Levels

 

   The overall arrangement of documents in the Pan-China S&T intelligence system may be divided into three levels: a national level; a specialized department level; and a regional level.

 

   Some examples of national-level S&T intelligence organizations are: the National Comprehensive S&T Intelligence Center [Guojia Zonghexing Keji Qingbao Zhongxin], the National Natural Sciences Intelligence Center [Guojia Ziran Kexue Qingbao Zhongxin], the National Military S&T Intelligence Center [Guojia Junshi Keji Qingbao Zhongxin], the National Patent Documents Center [Guojia Zhuanli Wenxian Zhongxin], and the National Standards Documents Center [Guojia Biaozhun Wenxian Zhongxin]. These national-level S&T intelligence organizations collect documents as appropriate in accordance with their respective designated spheres of collection.

 

   The S&T intelligence centers of the various departments and ministries of the State Council are examples of S&T intelligence organizations at the specialized department level. The sphere of document collection for these organizations is primarily that information which is most closely related to the specialty of the organization in question.

 

   S&T Intelligence Research Institutes [Keji Qingbao Yanjiusuo] in provinces, municipalities, large cities and autonomous regions are the comprehensive S&T intelligence centers for those provinces, municipalities, cities and autonomous regions. The sphere of document collection for these organizations should be determined on the basis of the long-term plans for the economy, and S&T and social development in the particular province, municipality, large city  or autonomous region, and also on the basis of the focal points of the particular province, municipality, large city or autonomous region and its own capability to render processing services. The S&T Intelligence Research Institutes in the prefectures, cities and counties are the local, grassroots intelligence organizations. The sphere of document collection for these organizations primarily revolves around urgent needs vis-a-vis local industrial and agricultural production. The organization in question collects and provides pertinent practical technical information.

 

   (4) Enhance the Work of Supplying Photocopies, Reproductions and Microfiche

 

   In accordance with the demands posed by a rational overall arrangement of information, the S&T Intelligence Research Institutes of every ministry and commission, as well as every province, municipality, large city and autonomous region should, as a matter of principle, only collect those documents that are the most closely related to its own specialty or the development of its own region. Other relevant documents may be requested from the pertinent collecting work unit or that work unit may be requested to provide a photocopy, a reproduction or microfiche.

 

   2. Regarding the Overall Arrangement of Database Resources

 

   (1) We should consolidate our forces and aggressively develop Chinese-language document databases. We should strengthen and improve Western-language document databases. Setting out on a practical basis, we should engage in the wholesale building of fact and numeric databases. Every department under the Party's Central Committee and the State Council should build document banks. Every department, and every province, municipality and large city can build fact databases and numeric databases.

 

   (2) We should make ample use of foreign document database magnetic tapes that can be conveniently imported. We should import and use optical disk database systems in a reasonable manner. In regard to ordinary grassroots intelligence work units and the great majority of the intelligence centers of provinces, autonomous regions, municipalities under the central government and Independent Planning Cities, it is not easy for them to purchase or copy magnetic tapes and build Western-language database systems themselves. [Translator's Note: In 1989, the Independent Planning Cities were Chongqing, Wuhan, Shenyang, Dalian, Harbin, Xi'an, Guangzhou, Qingdao, Ningbo, Xiamen, Nanjing, Chengdu, Changchun and Shenzhen.]

 

   (3) We should build four comprehensive on-line retrieval centers and six specialized on-line retrieval centers.

 

   III. A Brief Introduction to a Rational Overall Arrangement of National Defense S&T Document Resources

 

   The organization of the implementation of a rational overall arrangement of national defense S&T document resources was begun by COSTIND's S&T Intelligence Bureau in 1986. After several years of work, the S&T Intelligence Bureau has, in accordance with systems principles, evolved a set of plans and measures for the rational overall arrangement of foreign S&T document resources. It has adjusted the overall arrangement of the primary foreign document resources in pertinent S&T intelligence organization collections throughout the national defense S&T industry--resources such as periodicals, large and complete document sets, major document series, conference papers and serial publications that form small series. The S&T Intelligence Bureau has formulated "The Year 2000 Long-Term Plan for the Building Up and Rational Overall Arrangement of National Defense S&T Documents." It has developed database software and an associated computer management system for the rational overall arrangement of foreign periodicals, conference papers, and serial publications that form small series.

 

   By means of a rational adjustment of the overall arrangement of information, the S&T Intelligence Bureau has fundamentally brought the relations between the various S&T intelligence organization collections at the ministerial and commission levels into better balance. It has spelled out the focal points for collection, as well as the varieties and amounts to be collected, for each respective intelligence organization. Duplicate importation has been avoided, new varieties have been added, the scope of sharing has been expanded, the overall usefulness of national defense S&T document resources has been improved, and funds have been saved by avoiding duplicate orders for documents.

 

   1. Principles for Overall Arrangement

 

   The following principles are abided by in the rational overall arrangement of national defense S&T documents:

 

   (1) Unified Long-Term Planning.  Proceeding from the standpoint of the entire national defense S&T industry, give full play to its overall usefulness. On the basis of the demands posed by the development of the national defense S&T industry, carry out overall long-term planning for a rational overall arrangement of national defense S&T documents, while considering, as far as possible, the processing capabilities of the various collecting work units and the traditions that they represent.

 

   (2) A Particular Emphasis for Each Part.  On the basis of the different tasks for each respective intelligence work unit that participates in the overall arrangement, spell out the collection focal points for each respective work unit and give full play to the strong points of each respective work unit.

 

   (3) Resource Sharing.  By means of a rational overall arrangement of national defense S&T documents, and from the standpoint of the collection and provision of documents, form all of the work units into an integrated system in which each work unit can make up for what the other lacks, and in which the work units are complementary and mutually beneficial.

 

   (4) User-Friendly.  Once the overall arrangement has been achieved, immediately implement a series of measures to assure that use of the overall arrangement of information is user-friendly. Such measures would include the making of reproductions, the drawing up of union catalogs, and the provision of microfiche.

 

   (5) Equality and Reciprocity.  Each member work unit that participates in the overall arrangement is equal in terms of its status. Problems must be resolved via negotiations. Principles of reciprocity and mutual benefit must be observed when implementing the overall arrangement.

 

   2. Implementation Methods

 

   (1) Establish an Organization.  Under the leadership of COSTIND's S&T Intelligence Bureau, establish a Group for a Rational Overall Arrangement that is composed of each and every participating work unit. This group will be permanent and will be responsible for supervising the implementation of the plan for the overall arrangement, providing coordination in the event of problems that arise during the implementation of the plan, researching issues that are related to the overall arrangement, and revising the structure of the overall arrangement.

 

   (2) Gradual Development.  Establishing a rational overall arrangement for national defense S&T documents is an extremely complex systems project. The overall arrangement should be centered on general goals and should be implemented in a step-by-step manner. For example, in regard to regions we should first implement a rational overall arrangement in the Beijing area. In regard to organizational levels, we should first implement a rational overall arrangement between intelligence organizations at the ministerial and commission levels. In regard to types and varieties of documents, we should first implement a rational overall arrangement where there are rules that can be followed. In regard to domestic and foreign documents, we should first implement a rational overall arrangement of imported foreign documents.

 

   The sequence to be followed in the overall arrangement of different types of documents is as follows. First, implement the overall arrangement of periodicals. Then implement the overall arrangement of large and complete document sets, major document series, and other serial publications. In regard to the overall arrangement of periodicals, first implement the overall arrangement of high-priced periodicals that have an annual cost of 1000 RMB or more. Then implement the overall arrangement of periodicals that have an annual cost of 500 RMB or more. Finally, implement the overall arrangement of the other periodicals.

 

   (3) Agreement on Norms and Standards.  Once plans, measures and methods for the overall arrangement have been decided upon through consultation, each and every work unit must strictly comply with them. When there is a need for adjustment and revision, it must be done through discussion and approval by the Group for a Rational Overall Arrangement. No member work unit has the right to implement adjustments and revisions on its own.

 

   (4) Appropriate Duplication.  One must of course do one's best to keep duplicate collecting to a minimum when implementing a rational overall arrangement. However, when such a course leads to a negative effect on utilization, necessary duplication must be permitted. One may also consider duplicate orders in the case of low cost documents, when the cost of making a reproduction is higher than the original cost of the document.

 

   (5) Draw Up Subscription Union Catalogs.  The overall arrangement can only be upheld if resource sharing is achieved. If we are to realize resource sharing, the drawing up of union catalogs is a very important measure, and the facilitation of interlending and the making of reproductions at favorable terms are also significant measures.

 

   3. The Results of the Overall Arrangement.  If we just take the example provided by the last three years:

 

   (1) The overall arrangement has improved the overall capability of the national defense S&T information collection system. Implementation of the overall arrangement has served to enhance the mutually dependent and mutually interactive relationship between work units. It has served to moderate the strong administrative flavor of collection work, and has led to some overall construction of the national defense S&T information collection system and some improvement of its capability.

 

   (2) The overall arrangement has given an impetus to research on collection as a science and a technology. The practical experience stemming from implementation of the overall arrangement has served to pose a series of theoretical questions to national defense S&T information collection workers, particularly questions relating to sources and techniques of obtaining national defense S&T intelligence. Solving these questions will undoubtedly be a precious gift to the cause of establishing a collection science.

 

   (3) The overall arrangement has served to reduce duplication and increase variety. For example, the number of duplicate copies of high-priced periodicals having an annual cost of 1000 RMB or more per year has been reduced by 153 copies, and there are now 21 more varieties of such periodicals. The duplication rate for high-priced periodicals of 73.7% before implementation of the overall arrangement has been reduced to 32.8% after the implementation of the overall arrangement. The number of duplicate copies of serial publications has been reduced by 74 copies, and there are now 8 more varieties of such publications. The duplication rate for serial publications of 54% before implementation of the overall arrangement has been reduced to 37% after the implementation of the overall arrangement.

 

   (4) The overall arrangement has led to cost savings. Work units that participated in the overall arrangement realized cost savings of 568 thousand RMB in 1987. In 1988, they realized cost savings of 763 thousand RMB. The total savings for the two years was 1.331 million RMB.

 

   (5) The overall arrangement has improved collection targeting. The work of implementing a rational overall arrangement of national defense S&T documents has, on the one hand, led to macro-adjustments of the overall arrangement. On the other hand, it has also led each participating work unit to micro-adjust the varieties that it collects, thus enhancing collection targeting.

 

   (6) The overall arrangement provides valuable experience. The work of implementing a rational overall arrangement of national defense S&T documents represents a pioneering step in the work of overall arrangement throughout the entire nation. The experience furnished by the implementation of a rational overall arrangement of national defense S&T documents serves as a model for a number of systems or work units where carrying out a overall arrangement is desirable.

 

Chapter 3   Overview of Information

 

 

   In Chapter One of this book we pointed out that information is not intelligence. Information is the source of intelligence. In extracting intelligence from information it is necessary to go through a process of application and activation. We also pointed out that the target of gathering is information and not intelligence, and that the source of intelligence is not identical to the source of information. So what really is information?  What are its categories, attributes and functions? This is the main content of this chapter.

 

   Section One -- Explanation of Symbols

 

   Before introducing what information is, we will simply explain the problems of symbols. This will deepen our understanding and knowledge of information.

 

   I. The Symbolic Expression of Knowledge

 

   In order to achieve the transmission of knowledge, it is necessary to turn the knowledge in people's brains into matter. As humans desire to express knowledge, they must use the help of various classes of symbols. In their essence symbols are matter. In order for there to be communication and exchange between humans and humans, between humans and machines, and between machines and machines, symbols are essential. When people need to express more complex concepts and content of knowledge, they must use systems of symbols, strings of characters, and strings of digits.

 

   Certain systems of symbols express certain significance. Distinct systems of symbols can express distinct knowledge content, and can express the same knowledge content. Different symbols may be interchanged, as language can be converted to writing, and writing can be converted into code.

 

   II. Categories of Symbols

 

   In knowledge-transmission activities, people have created a great variety of symbolic systems to meet the needs of many classes of information.

 

   Symbolic systems can be divided into two kinds. One kind is natural symbols, like natural language and writing. Humans can directly perceive and distinguish this class of symbols. Another kind is symbols created by humans. Humans create such symbols as various kinds of codes, digit strings, and character strings for specific purposes. There are also retrieval languages. Some of these can still be directly perceived and distinguished by humans, but the majority must first be converted before humans can perceive and distinguish them. Similarly, machines do not understand human language. The only way to carry on interchange with a machine is to convert natural language into machine language.

 

   Symbolic systems are a human convention. They are a standard for both partners in any communication.

 

   Section Two -- What Information Is

 

   There have always been many understandings and explanations about what information is. Overall, the concept that human beings have of information has grown gradually deeper and more complete with the development of the social capabilities that technological information has.

 

   I. Information Is Documents

 

   This attitude is quite widespread in China. If we say that the archives of a technical intelligence organization has such and such a quantity of information, the information that we speak of here refers to documents. Information in this sense is largely the same as the English word "document".

 

   In order to distinguish between information and documents, people have suggested "documents are information that is expressed in writing". There is some truth to this explanation. The theory is also easy for people to grasp. In practical retrieval work, however, that definition is not universally acknowledged or it presents some intuitive or cognitive difficulty for some people.

 

   There are two reasons why the concept that information is documents is universal and deep-rooted. One reason is that technical information work has evolved from or is an offshoot of library research. This appears even more to be the case with the work of collecting information. The fact that traditional library work uses publications as the main focus of study has had a far-reaching influence on people's understanding of information. A second reason is that written information like printed items enjoy the most pervasive application in the information activities of today's society. This has led people to consider information to be documents.

 

   Today information is becoming more diversified all the time. Data read by machine, and information other than books and paper have appeared in great quantity. In order to solve the new problems of theory and guidance that intelligence gathering has met in practical work, the people who consider information to be documents have extended the traditional concept of documents. Now they regard "machine-readable data", "audio data", "object information", and "verbal information" as "machine-readable documents", "audio documents", "object documents", and "verbal documents". All of these, along with printed documents, are considered to be "documents". In the same vein, the people who hold this view, aside from mentioning "first-degree documents", "second-degree documents", and "third-degree documents" also talk about "zero-degree documents". With this kind of understanding, "information collection work" is "documents collection work". "Data processing work" becomes "documents processing work". Though there has really never been anything wrong with this explanation, when it is applied to collection work, however, there is a concern. Talking about document collection rather than data collection does not really adhere to the custom and mindset of people in the information age, and there is always the concern of a bias.

 

  

 

   II. Information Is Intelligence

 

   This understanding is quite universal in foreign countries. What they mean by science and technology [S&T] intelligence [qingbao] work is what China calls S&T information [ziliao] work. What they call S&T intelligence gathering is what China calls S&T information gathering. In this sense, the Chinese word "ziliao" is close in meaning to the English word "information".

 

   NTIS (National Technical Information Service) and ISI (Institute for Scientific Information) in the US, VINITI (the Soviet Science and Technology Information Institute) in the USSR, and JICST (Japan Information Center of Science and Technology) in Japan all consider information to be the focus of their research.

 

   In China, people already know intellectually and intuitively that intelligence and information are not the same thing. In expression, however, there is still a considerable amount of confusion, for instance the "intelligence information work" that we often see and hear about. Regardless of whether "intelligence" is an attribute or an appositive of "information," in either case this expression is an unclear logical concept from both a semantic and connotative perspective. At the very least it is insufficiently rigorous. Getting to the point, what is called "intelligence information work" is in fact information work. When applied to collection, it is not necessary to say "intelligence information collection"; "information collection" is altogether sufficient. This will spare people a sense of tedium and gilding the lily.

 

   III. Information Is Intellectual Material that Serves the People's Scientific Research or Practice

 

   In this sense of the word, "information" is very similar to the English word "material". People with this understanding believe that information is experience generalized from practical work; it is intellectual information. This new viewpoint attempts to summarize information from the perspective of information science and explain information from the angle of the human store of knowledge.

 

   IV. Concept of Documents

 

   In discussing the concept of documents, some people consider documents to be "the material form for recording, preserving and transmitting knowledge". Some say documents are "the medium or carrier on which knowledge content is recorded, stored and transmitted using technical methods". These interpretations tell us that in reality information is not identical to printed documents. The scope of information is much broader. For example, information includes object information. This understanding attempts to use principles from information science to treat documents from the angle of transmitting knowledge.

 

   V. Expanding the Concept of Documents and Publications

 

   With the rapid advance of knowledge storage technology, some information scientists and library scientists feel that rigidly adhering to the traditional library science concepts of documents and publications has led to a conflict between the progress of their work and the information needs of the actual users. They therefore have included the new information science content that has appeared with the new computer, storage and communications technology in their theories. Aside from the new concept of information, the concept of "information carrier" has come to the fore. They call the medium for recording and transmitting information content the "information carrier." Information carriers can be divided into "carriers of written information", "carriers of visual information", "carriers of sound information" and "new carriers". These "new carriers" refer to "carriers of written, graphic, and sound information that are transmitted using computers and long-range communication networks." This explanation makes a clear distinction between intelligence and information in its investigation of problems.

 

   VI. Information Is Knowledge that Has Been Turned into Matter

 

   We believe that information is knowledge that has been turned into matter. Some people say that information is solidified knowledge. In this sense, our word "ziliao" is close to the English word "data". This is a broad view of information.

 

   From the perspective of the theory of knowledge, information is the material expression of human knowledge. Only through information can knowledge be expressed.

 

   Formal logic considers information to be subsumed under "knowledge". The specific difference is that information is materialized.

 

   In a narrow sense, information is knowledge that has been turned into symbols. Here we should understand that the use of symbols is matter or a material phenomenon. This definition fits quite well with customary usage. The symbols of which we speak here include writing and pictures, as well as various codes, character strings, and numerical strings. It also includes sound, light, and electromagnetic signals.

 

   Overall, information is a material expression of humans' knowledge of the objective world; it is the material manifestation of the human store of knowledge. Seeing information like this in the theory of knowledge can help retrieval work become more specialized and scientific. In addition, it becomes easier to define the chosen target of research in information science and retrieval science, which will in turn accelerate the development of these sciences.

 

   Section Three -- Categories of Information

 

   At present there is no unified standard and method for making distinctions between classes of information. Classified according to the transmission characteristics, there are verbal, object and document information. Some are classified according to the level of processing of the information being transmitted. These are zero-degree, first-degree, second-degree and third-degree information. There is classification between disciplines, such as chemical- or electronics-related information, etc. Some information is grouped by industry, such as information used specifically in a given industry, information for commercial purposes, or scientific research data. The most universal method of grouping is by the transmission medium. Here, information is considered as printed, miniaturized, machine-readable or audiovisual data. Some people classify information according to the nature of the needs of the user.

 

   In gathering together the human store of knowledge, our goals are to advance the formation of information science and retrieval science and to inspire retrieval work to advance to a new level. We want to quickly transform the traditional understanding and methods of restricting the target of practical retrieval work to documents. When we make distinctions between classes of information, we should move away from the classical concept of documents, and use the standard of whether or not humans can directly perceive and distinguish documents in classifying these documents.

 

   I. Information that Humans Are Able to Directly Perceive and Distinguish

 

  Humans can directly perceive, distinguish and utilize this category of information. Examples are printed data, miniaturized data, verbal data, and real object data.

 

   By "perceive" we are not at all limited to the sense of sight. Linguistic data uses the sense of hearing. Braille information requires the sense of touch. In order to distinguish real object data, it is necessary to use the senses of smell and taste.

 

   Retrieval workers have always favored printed information. Whether in the present day or far into the future, printed information is going to be the main target of retrieval.

 

   In recent years retrieval workers have shown a strong liking for miniaturized data. Miniaturized data have now become an important target of retrieval.

 

   Even though people customarily acknowledge that verbal and real object data are intelligence resources, there is considerable difference of opinion as to whether collecting this information is truly intelligence work. The actual situation in China at present is that intelligence departments to a greater or lesser degree have all undertaken the work of gathering and transmitting verbal and real object data, such as in academic exchanges inside and outside China and in technical exchange work. The intelligence departments, however, do not complete the main and fundamental aspects. They are directed and implemented by technology management departments, foreign affairs departments, trade and economics departments, and scholarly associations. Unfortunately, many of these departments are not connected as they do the work of attaining information. They lack mutual contact, and the overall effectiveness of retrieval work is diminished. Consequently the social utility of retrieval work is not fully realized. Nevertheless, with the arrival of the information age, people put higher and higher demands on the timeliness of the knowledge that is transmitted. The collection of verbal and real object data will receive more and more emphasis and the coordination of collection work will gradually be improved. Of course there is no need and it is not possible to assign all the work of retrieving verbal and real object data to S&T intelligence departments.

 

   Printed, miniaturized, verbal and real object data will be discussed in more detail in Section Two of Chapter Four. We will not present them further here. We would like to emphasize one point here, however. That is how to convert the information that humans can perceive and distinguish into data that machines can perceive and distinguish. At present there are still considerable technical difficulties. We will need artificial intelligence technology and the fifth generation of computers to accomplish the task.

 

   II. Data that Only Machines Can Perceive and Distinguish

 

   Humans cannot directly use the knowledge expressed by this kind. Only with the help of machines to convert the knowledge into a form that humans can perceive and distinguish can people utilize it. Examples of this class include modulated light waves, electromagnetic waves, tapes, floppy disks, optical disks, and phonograph records. The appearance of this category of information shows that the information work of human beings may advance to an all-new depth and with unprecedented speed. People still do not pay enough attention to the collection of this class of information and the work is carried on in a haphazard manner. The level of application of this information to society is not yet sufficient.

 

   At present there is still no unified standard for distinguishing between the classes of this kind of information. For example they can be divided according to the form of the carrier, as radio wave or magnetic medium data, etc. Another way of distinguishing is by the class of signals that are received, as in graphics, writing, language, natural language, or artificial language information.

 

   A retrieval worker must certainly give full attention to high-density storage data, such as floppy disks and even optical disks. Optical disks in particular are able to gather text, images, and sound data in one. In addition they have amazingly high storage density. If optical disk data ever become more widely used, they will surely bring great change to retrieval work.

 

   With simplicity of nomenclature in mind, some people call this class of information that can only be perceived and distinguished by machines "electronic data" or "electronic publications".

 

   III. Classifying the Information According to the Characteristics of the Users' Demands

 

   Whether distinguishing information by the transmission characteristics, the level of processing of the knowledge that is transmitted, or by whether or not humans can directly perceive and distinguish the information, these methods of classifying information all consider the nature of the information itself in the classification. Now, however, it is necessary to emphasize what intelligence work addresses. Distinguishing between information by the characteristics of the needs of the users will add focus to the work of retrieval, and help overcome the trend of stressing collecting information more than using it.

 

    Shannon, the founder of information theory, has developed five classes of information depending on where it is used.  They are directional information, program information, concrete activity information, product information, and revised (feedback) information. Referring to his method of classification, information may also be grouped into the following five kinds according the their function and use.

 

   1. Directional information that is needed for a certain purpose.

 

   2. Information needed for plans or programs that are synthesized from directional data that are needed for various purposes.

 

   3. Information that is needed for decisions on concrete action.

 

   4. Information that is needed by products.

 

   5. Constantly fed back and revised information that is needed for the goals, measures, and items of extensive programs.

 

   IV. Features and Categories of Information that are Needed for Macro-management of National Defense Technology

 

    Different levels of leaders and leadership organs need information of different natures. The higher the level of leadership, the higher the level of synthesis of information they need, and the harder it is to predict. Generally speaking, leadership no longer urgently needs information on problems that have already been decided. They do not urgently need information on problems that they have not even considered either. For the problems they have considered but have yet to set policy on, however, they do urgently need information. What are the characteristics for classifying this kind of information? This is a concept that the gatherer of information must have in the work of gathering information for macro-management.

 

   Of course, a large quantity of data alone will not be able to meet the needs for information in leadership policy-making. The information needed at the various stages of raising the questions, answering the questions, supervision and implementation are not the same. The classes and characteristics of information needed by the users who manage national defense technology are as follows:

 

   1. Making distinctions by time, information can be divided into historical and predictive. The quantity of historical data is greater. These data are most helpful for leaders in the process of setting problems and in management and implementation. Predictive data are most suitable for selecting the direction, finalizing programs, and in adopting action. Statistical data, documents, ordinances, regulations and laws related to national defense technology all have a strong time element.

 

   2. Making distinctions by level of expectation, information can be divided into predictable and unpredictable data. Predictable data are data whose appearance from a certain data source can be foreseen. This class of information is very useful to leaders as they solve problems and supervise implementation. Information retrieval personnel should practice monitoring and tracing of this class of information. Unpredictable data are data whose occurrence is not easily foreseen. This kind of data often helps leaders discover information and will influence the selection of a direction, the setting of programs and revisions of plans. The retrieval personnel must be sensitive and flexible toward this class of information.

 

   3. Information can be divided into internal and external according to the source from which it comes. Internal may mean within China and it may mean within the work unit. External can mean foreign and it can mean outside the work unit. The higher the level of management, the more pressing the need for foreign information and information from outside the work unit. At lower levels of management, more often the information needed is from within the work unit or within China. No matter what level, however, there is always a need for internal and external information. At present the work of gathering information within China that is concerned with national defense technology management often goes beyond the responsibility of the intelligence departments. Administrative pathways are also needed to complete the work.

 

   4. Information can be divided into specialized information and synthesized information, according to the content. If it is a manager that needs the information, it will certainly not be single, specialized information. Rather it will be synthesized information that comprises political, economic, scientific, technical and military information. The higher the level of management, the more synthesized the information that is needed. Due to historical reasons and the quality of the information collection personnel, the collection of synthesized information for now is still a difficult point in the retrieval work.

 

   5. According to the level of organization, information can be divided into highly organized information and diffuse information. The information that has been ordered, processed and perhaps even activated by the information worker is considered highly organized information. Information that has not been processed or has been only slightly processed by the information worker is diffuse information. Generally speaking, the higher the level of policy making, the more diverse is the information that is needed. It is very difficult to gather all of the information that relates to the issue. It is also difficult to gather a lot of relevant information in time through selecting topics and looking them up. At the lower levels of management, it is easier to obtain the information that is needed, and after most of this information has already been put in order. Here we would like especially to point out that the information used for raising questions, determining a direction, and setting a plan is usually not directly available in large quantity from libraries or data banks. For example there was very little information that had already been organized and made available for China's year 2000 national defense technology strategy.

 

   6. According to the level of compression or processing, information can be divided into detailed information and summary information. Generally the policy-making and program development information that is needed by managers is summarized data or intelligence data. Very rarely are they detailed or original data or source language information. Moreover, at the higher levels of management, there is greater need for highly condensed summary information. Gathering volumes and volumes of original data, therefore, very often will not satisfy the demands of the high-level user who manages national defense technology. Likewise large sets of series data will not meet the needs of this level of leader.

 

   7. Classifying information according to the possibility of its occurrence. Generally speaking, not only are there few information sources related to national defense technology management and national defense development strategy on a national level, the quantity of information from those sources is very small. For this reason the information is difficult to gather. Information that deals with a concrete item of technology, however, is relatively likely to be produced. The quantity is greater, and the information is relatively easy to gather.

 

   8. Dividing information according to the accuracy of the content. Overall, the information used by a policy maker at any level needs to be accurate. In general, when tactical policy is being made, the information needs to be accurate. When making policy on strategic problems, relatively accurate information is needed. There was never a requirement that the information needed for the year 2000 national defense technology plan be 100 percent accurate in describing reality and phenomena. 80 or 90 percent accuracy was required, though.

 

   The following table explains the trends of the relationships between the categories of policy making and the categories of information.

 

Table 3.1

 

Trends in the Relationships between the Categories of Policy Making and the Categories of Information

 

Information Characteristic    Category of Policy Making                

 

                        Tactical                Strategic

                        --------               ---------

Time                    Historical             Predictive

Expectation             Predictable            Unpredictable

Source                  Internal               External

Content                 Specialized            Synthesized

Organization            Highly Organized       Diffuse

Compression             Detailed               Summarized

Rate of Production      High                   Low

Accuracy                High Accuracy          Fairly High Accuracy

 

 

   Section Four -- The Essential Elements, Attributes and Functions of Information

 

   In this section, we focus on the nature of information, which includes the main elements that constitute information, and the attributes and functions of information.

 

   I. The Elements of Which Information Is Composed

 

   We have pointed out before that in a broad sense, information is materialized knowledge. In a narrower sense, information is symbolized knowledge. Information is a form of material expression of humans' understanding of the objective world. From a physical perspective, the following elements are needed to constitute information.

 

   1. A Certain Quantity of Knowledge. Knowledge is the fruit of humans' understanding of the objective world and is the intellectual wealth of human society. Without a certain quantity of knowledge content, it is impossible to form information. A blank piece of paper, an empty tape, an electromagnetic wave that has not undergone modulation does not constitute information. A set of symbols that represent matter or a material phenomenon depicts a certain quantity of knowledge that has a specific meaning. In their practical work, gatherers of information must investigate the density and the level of processing of the knowledge of the information they will collect or that has already been collected. They must also consider the appropriateness of the knowledge content for the user as well as its originality and usefulness.

 

   2. A Specifically Chosen Physical Quantity. If the knowledge inside people's brains is to be turned into matter, it must be represented by the variation of a specifically selected physical quantity. Braille information is expressed through the variation of magnitude and direction of mechanical force. Written and graphic information are manifested through the variation of light intensity, color, frequency and energy density. Electronic data, data in databases, radio wave data and verbal information are expressed through variations of the electric intensity of electromagnetic waves, magnetic field strength, or frequency. In gathering information, the retrieval worker must choose a specific gathering method depending on the physical quantity that was used to materialize the knowledge. For example, when we receive wireless signals, we need the appropriate receiver and signal conversion equipment. Sometimes it is necessary to use code-cracking techniques or system identification.

 

   3. An Appropriate Carrier. The carrier is a material entity that matches the selected physical quantity. Through modulation, the carrier can express the variations of the physical quantity. Knowledge must be materialized on the carrier. Paper, magnetic media, electronic media, film, electromagnetic waves and sound waves are all carriers. Systems of human knowledge are expressed through systems of carriers that comprise various carriers. The transmission of knowledge is achieved through the movement of the carrier through space and through time. When collecting information, we can never depart from the carrier. We must therefore investigate the system's structure, physical and chemical characteristics, as well as the distribution qualities and activity characteristics of the carrier that has been modulated. There are three main categories of carriers. The first kind does not easily store knowledge, but transmits knowledge very quickly, including light, electromagnetic and sound waves. The second kind of carrier including various magnetic media, paper, compact disks and film, can both store and transmit knowledge. The third kind as exemplified by various real objects generally does not materialize knowledge in order to produce information, yet it fulfills the purpose of a carrier of knowledge.

 

   4. Finally we would point out that energy is an element of information. It takes consumption and conversion of energy to turn knowledge into matter or symbols and to modulate that physical quantity.

 

   II. The Attributes of Information

 

   As the material record of the human store of knowledge, information has three basic attributes:

 

   1. Objectivity. The objectivity of information can be understood from two aspects. First, information along with carriers are real objects that exist in nature. Once information is formed it remains forever and preserves its original appearance, unless it is deleted or destroyed. Another aspect is that information content is the expression of knowledge that exists objectively. Unless the variations of the physical quantity that are expressed in the carrier are erased, the knowledge that has been materialized will exist forever and preserve its original significance.

 

   2. Transmission. Information can be transmitted in time and space. If information could not be transmitted, it would lose its purpose. The transmission of knowledge is achieved through the movement of information. The movement of information from the source to the user constitutes data flow. Modern data transmission frequently is assisted by the organization and adjustment of information workers and retrieval workers. The retrieval worker usually exerts some control over the transmission process. This is not the case, however, with exceptional classes of information or transmission processes.

 

   3. Activation. Information can be activated. The knowledge that is stored in information can be directly known and distinguished by people, or it may require machines to make knowledge perceptible. The process by which humans activate information is actually the process of demodulating and re-modulating the variations of a physical quantity. It is a process of decoding and re-coding symbolic knowledge. Activation is logical processing of the knowledge content (not the external characteristics) in order to extract and produce new knowledge.

 

   III. The Functions of Information

 

   Information can have five functions:

 

   1. A measure of the level of humans' knowledge of the natural world. Information is the material expression of humans' knowledge of the objective world. The deeper the knowledge that humans have of the objective world, the more accurate will be information's expression of the objective world, and the more valuable the information will be. For this reason it is said that information is a measure of humans' knowledge of the objective world.

 

   2. A form for storing knowledge. Information is the material result of humans' understanding of the objective world. Created by humans, knowledge expresses people's understanding of the objective world. Knowledge is something that all humans possess. It is objectively stored and kept in data storage, in archives, and in databases. Information is the only form in which humans can store knowledge.

 

   3. A method for transmitting knowledge. If the knowledge in people's brains is not made into material information then it has no use for the collective and cannot be transmitted to succeeding generations nor exchanged in any way. Only through the movement of information can knowledge be transmitted and utilized. Information is the only way that humans can transmit knowledge.

 

   4. A tool for understanding the objective world. If people desire to know the objective world, not only do they need to have contact with that world as the object of knowing, they must also have contact from the start with the materialized store of knowledge, or information. In order to advance society, the timely and complete use of the information that keep in storage the sum of human knowledge and the conscious use of information as a tool for advancing knowledge of the objective world and expanding the reproduction of knowledge are required.

 

   5. A fountainhead of intelligence. Intelligence is knowledge that is needed to solve a specified problem. It is a special kind of knowledge; it is a special kind of knowledge that is extracted from information. Information is not intelligence. Information is the material from which intelligence is extracted, a source material for processing knowledge. Dead information is not intelligence. Intelligence is enlivened knowledge. Information is the fountainhead from which intelligence is extracted and the source of intelligence is information.

 

   We have explained above that in their natures and functions, intelligence and information are not the same. When we study retrieval work and further the study of retrieval science we must therefore first make clear that the target of retrieval is information and not intelligence. Retrieval work consists of information retrieval, not intelligence retrieval. Intelligence is special knowledge that is extracted from information. Information is the fountainhead of intelligence, the foundational medium for activating knowledge. The specified research target of retrieval science is information, and it is nothing else.

 

   Section Five -- Data Banks and Databases

 

   After information is collected together, it is first put in order, and then stored. The information is further sorted into various kinds of storage, like data banks and databases.

 

   I. Data Banks

 

   Generally speaking, any information that humans can directly perceive and distinguish can be accumulated in a data bank. The basic function of data banks is to store the information that humans can directly perceive and distinguish.

 

   Information that has existed for a long time may be included directly into data banks, immediately improving the holdings. Printed information can form "the stacks", and audiovisual information forms the "tape library". Gathered together, the information in the form of samples make up a "display item collection."

 

   Information that is short-lived cannot be directly included in the data bank. Data such as light wave signals, electromagnetic signals and sound wave signals cannot be stored in a data bank unless they are converted.

 

   The structure and organization of data banks is a discipline in itself and is an important component of information science. How a data bank is set up and data retrieval are closely connected. From the aspect of input, setting up a data bank requires attention to the scope, quantity, quality and speed of the specified materials. As the specified user of the output of a data bank, the data retrieval department will collect the material it needs from the respective data bank according to its own collection policies, financial situation, and level of technology.

 

   In recent years, the status and function of databases has grown day by day. Databases have already taken the place of some data banks, and have achieved certain functions that data banks cannot do. Data banks and databases each have their own strength, however, and will continue their mutually beneficial existence for a long time.

 

   II. Databases

 

   Since the sixties, many kinds of databases have been set up. This has not only advanced the development of intelligence work, intelligence technology and information science, it also sent a powerful impulse to retrieval practices and retrieval work. At present the gathering of written publications information remains the main focus of collecting practice for the worker in technology, the individual, or the departments that specialize in retrieval work. Anyone who does information retrieval work, however, whether in the target or content of retrieval, or in the methods and techniques of retrieval, and especially in the research of sources of intelligence and information, have all consciously or unconsciously become connected with databases. This connection will grow continually closer along with the development of retrieval science and technology.

 

   1. What databases are. As to what databases are, at present there is not a consistently acknowledged definition. Some people believe that "databases are new sets of data documents that are produced and supplied by computers and that are stored and organized on magnetic media (tape and disk). Other people believe that "databases are the set of machine-readable data or information that have a certain access method in common." More simply stated, databases are computerized sets of documents, abstracts, almanacs, handbooks, dictionaries, encyclopedias, etc. From the angle of information science, databases are also no more than compendia of data. It's nothing more than people customarily calling sets of bound volumes or miniaturized data banks and calling the sets of data that are perceived and distinguished by machines databases. Without being overly rigorous, we may therefore say that databases are sets of electronic data or electronically published materials. In fact, the individual documents that are formed into databases are not necessarily all data documents.

 

   Of course, the study of the structure and organization of databases forms an academic discipline. The main characteristics of databases are their high flexibility and the ease of expanding and revising the data that is stored, as well as the versatility of applications. Furthermore, databases are easier to share as the source for extracting information. The quantity of databases has therefore become one of the criteria by which the level of modernization in technology and intelligence work is assessed. Because database technology is closely coordinated with modern communications and computer technology, in application it is easier for networked computers to achieve real-time processing. From here it is not hard to realize that when the data retrieval worker or technical personnel is collecting information, they cannot afford to neglect gathering information from databases.

 

   2. Categories of databases. Databases are in the process of formation as an industry that develops the national economy. Each database has a unique use. They are small and large, have all kinds of professional content, and are recorded on different media. It is therefore difficult to make distinctions of category using a single viewpoint. The most frequently seen method of categorizing databases of technological data is to divide them into databases of technology documents, databases of facts and numerical values, and management databases.

 

   To help improve the effectiveness of information collection work, we will make the following finer distinctions of databases that are related to military technology.

 

   (1) Databases that are directed toward leadership and leadership organs. This class includes planning and programming databases, databases of research projects, weapons and equipment databases, databases of the real industrial strength of national defense technology, databases for managing national defense technology results, databases for managing national defense patents and databases covering trade of military products. The above databases are all in the management category of databases.

 

   (2) Databases that are directed toward technology personnel. These include Chinese and foreign discipline-related databases of technical documents, subject catalog databases, databases of abstracts, and databases of complete texts. There are also Chinese and foreign discipline-related databases of master data, numerical values, and computer software.

 

   (3) Databases that are directed toward industries and trades in national defense technology. These include military technical databases made suitable for civilian use, databases of national defense technology results, databases of national defense patents. There are also databases that list names of work units in national defense technology and industry, databases of foreign companies supplying the military as well as databases of the technical market, business trends, product samples and military standards.

 

   (4) Databases that are directed toward foundational work. These include databases of such materials as almanacs, handbooks, encyclopedias, dictionaries, and dictionary-like reference works.

 

   3. Compiling and Utilizing Databases

 

   When an information retrieval worker desires to compile a database or use a database for search purposes, he or she must consider the following factors.

 

   (1) The relationship between the producer of the database and the host computer. The relationship between the producer of the database and the host computer is very close. An intelligence unit is at times both the producer of the database and the host computer. Some intelligence units are either the producer of the database or the host computer. Of course some basic level intelligence organs are often neither the producer of the database nor the host computer. From the standpoint of the producer of the database, the more computer hosts there are the more opportunities there are for utilizing the database that they produce. The more databases that a computer host has, the more users they will be able to attract.

 

   If the intelligence unit is both the database producer and a host computer, then the relationship between the computer and the database is fairly simple. When the intelligence unit is not both the producer of the database and the host computer at the same time, then the following relationships are possible.

 

   The first kind. The intelligence unit is a computer host. They buy database tapes from the database producers, and make their own databases.

 

   The second kind. The intelligence unit is a host computer. They rent database tapes from the producers and set up their own databases.

 

   The third kind. The intelligence unit produces databases. They rent computer time from the host computers.

 

   The fourth kind. These are databases that are set up through coordinating the efforts of the database producers and the host computers.

 

   When collecting database tapes or utilizing databases, intelligence units must decide which class to use. This is settled by the status, nature and function of the work unit, and by their human, material and financial resources. It is also necessary to do unified programming and coordinated development. When importing foreign databases, it is important to avoid buying the same tape twice.

 

   (2) Utilizing the Channels for Transmission of Databases

 

   As they undertake the work of retrieving information, the intelligence units may use three channels for transmission of the information from the database producers or host computers.

 

   The first kind: The intermediate medium is a tape or a disk. For example, buying or renting a GRA database tape from NTIS (US) in order to use the GRA database to look up an AD report.

 

   The second kind: Setting up a communications network with the host computer and installing terminals when necessary. It is possible to network computers and do searches for information related to national defense science and technology on systems such as Lockheed's Dialog system, System Development Corporation's Orbit system, Bibliographic Retrieval Services BRS system, or Defense Marketing Services' DMS system.

 

   The third kind: Using printed materials that reflect the content of the database. For example, buying the printed version of the GRA contents journal from NTIS to look up information.

 

   The expense of the first kind is rather high for intelligence units. It will be necessary to analyze the capacity for economic support as well as the level of equipment and the frequency of use of the databases that have been installed. Though the expense of the third kind is low, it is hard to fully exploit the benefits of a database. The expense of the second kind is in the middle and it appears to fit with the trend of networking computers. The key is the frequency of use. It is also necessary to consider the communications conditions.

 

   (3) Databases in Chinese and Databases in Western Languages. The present situation in China is that both the Western language databases that are available through networks or have been purchased have a good foundation and are being utilized. However, there has not been enough emphasis on the utilization of large quantities of economic and management factual and numerical value databases from foreign countries for which there is a need.

 

   Databases of documents in Chinese have still not been given positive support as an endeavor of foundational construction in the nation and industry or for social benefit. Though the Chinese factual and numerical databases have made a good start, there is still a need to coordinate work, reduce duplication, uphold sharing, and to gradually increase coverage and the continuity and stability of production. Overall, utilizing databases in Chinese is still difficult. China's database service is still backward.

 

   4. The Influence of Databases on Information Retrieval Work

 

   Modern electronic and communications technology and high-density storage technology are the technical foundation for the rapid development of the database industry. The daily progress of database technology, the ever-increasing production of databases and the continuous progress of retrieval technology on networks have had a great influence on information retrieval work. This progress will bring about a gradual reform in retrieval thinking, the steady improvement of retrieval ability, and a gradual reform of styles and methods of retrieval.

 

   (1) The target of retrieval has been adjusted. The target of traditional retrieval is "hard" printed materials and miniaturized items that are stored and replenished in data banks. The appearance of databases requires use of both "hard" and "soft". Besides gathering "hard" materials, it is necessary to understand information and clues. According to the needs of the user, one must use communications networks to request information from outside sources and even from very distant databases.

 

   (2) Challenging the idea of "Center of all titles". An intelligence unit traditionally has wanted to make their data bank as complete as possible and become the "Center of all titles". With the use of databases to search for information, however, it is not possible or necessary to require that all related databases be gathered together.

 

   (3) The construction of retrieval networks has progressed. The launching and utilization of database resources is closely connected to communications networks and to the transmission networks of databases on media such as tape and disk. The need of society to gather fully and effectively database materials has driven the development of retrieval networks and especially of communications networks.

 

   (4) The transmission speed of intelligence and information has speeded up. Because all of the intelligence and information that are output from databases are transmitted through electronic communications networks at a very high speed, it can meet the user's needs for immediate use very well.

 

   (5) It has promoted renewal of the knowledge of retrieval personnel and their retrieval skills. Doing a good job of putting together and utilizing databases requires the growth and maturity of a large group of new cadres who are involved with retrieval work. The modernization of retrieval work has promoted a restructuring of the knowledge of retrieval personnel and the improvement of retrieval techniques.

 

   Section Six -- Evaluation of Information

 

   The research target of information science is information, as it is the target of retrieval work. In order to gather information, it is necessary to make selections of external characteristics or knowledge content of the data. From there the assessment of the value, the content, and the overall evaluation naturally come forth.

 

   At present, people have not yet found a scientific and practical way to evaluate the content and worth of information. In custom, the user of the information provides the evaluation. In evaluating information, they consider if and how useful the information is for reference purposes. Some scholars consider the circulation links of the information. They use such indices as the circulation rate to evaluate information. Granted these assessment methods are good for practical use during the gathering stages. From the perspective of information science or retrieval science, however, such evaluation seems insufficient at the science and technology stages of retrieval. There is urgent need to give theoretical guidance, and bring completeness to the practical work. The authors will attempt to develop some new ways of thinking from the new angles of the content and value of information. Finally, some comprehensive methods of evaluating information from the perspective of practical use will be introduced.

 

   I. Assessing the Value of Information

 

   As stated in Section Two of this Chapter, information in a broad sense is materialized knowledge. In a narrower sense, information is symbolized knowledge. In summary, information is a material expression of the knowledge that humans have of the objective world. It is a material manifestation of humans' store of knowledge.

 

   1. The Value of Information. The value of information is expressed in:

 

   (1) Information that is needed by society or intelligence users to solve a particular problem.

 

   (2) In the process of scientific labor the intelligence users may activate information and extract the useful knowledge, which is intelligence.

 

   (3) This intelligence can promote the progress of science and technology. Turned into productive forces, this progress benefits the society and the economy.

 

   (4) Production of information expends the human intellect, requires labor time, and expends a certain quantity of energy and materials.

 

   2. Obstacles to Assessing the Value of Information. Though the value of information may be seen in the above ways, there still remain many obstacles to carrying out evaluation of information.

 

   (1) The Obstacle of Demand. The users have a definite need for intelligence. The various social environments and quality of the users, however, lead to extremely complex specific needs. This poses the most fundamental obstacle for evaluating information.

 

   (2) The Obstacle of Understanding. In principle, the advance and development of science and technology are the true desire in achieving China's economic vitality. In reality, this has not been universally accepted by society. There are many important people in society who consider intelligence and information work to have a "supplemental" status and function in China's economic construction. This means that it is difficult to accurately assess the value of information.

 

   (3) The Obstacle of Indirect Benefit. Information is only able to benefit the society and the economy after the user has activated it and extracted the useful knowledge for use in their scientific and technical activities. This makes the benefits of technical information less direct, which increases the difficulty of evaluating information.

 

   (4) The Obstacle of the Vagueness of the Value. In all of the above expressions of the value of information, it has been difficult to find clear quantities. The value was expressed with vague terms such as "extremely", "very", "average", or "not". This produces a challenge to accurately assessing the value of information.

 

   3. Assessing the Value of Information. The evaluation of information is an objective judgement involving many indices. They comprise the degree of need for the knowledge product in the information, the ease in activation of the information, the amount of benefit, how much mental, energy and material resources are expended, and the amount of required labor time expended. Because many obstacles exist in evaluating information, it is almost too hard to begin a complete assessment of the value of information. The following ways of thinking can be useful in the assessment, however.

 

   (1) If information is seen as a product of complex labor, then it is possible to turn their value into a complex function of simple product value.

 

   (2) If information is seen as a product, it is possible to disregard a few factors, or over-emphasize the weight of other factors and focus on assessing the exchange value of information in the economy. In this aspect, retrieval workers have accumulated considerable experience and have found that often it is feasible to make assessments and judgments this way.

 

   (3) Using a fuzzy evaluation method. With the help of fuzzy comprehensive evaluation of fuzzy mathematics, it is possible to analyze the value of information into a series of measurable and directly related indices. After comprehensive optimization, the value of information may be assessed. This evaluation method is both scientific and relatively easy to use. It has reliable results and has potential practical value when the retrieval department decides on policy in light of a certain class of information or certain specialized information.

 

   II. Evaluating the Content of Information

 

   The content of information is a specified quantity of knowledge. Intelligence is knowledge that is needed to solve a specific problem, and information is the source from which intelligence is extracted. In evaluating the content of information, we may meet with obstacles similar to those met in assessing the worth of information. The obstacle of the specificity of the needs of the user is even harder to overcome. From a research perspective we may do principled evaluation of the content of information from the angle of increasing knowledge or from the angle of problem solving.

 

   1. Evaluating information content from the angle of increasing knowledge. The British scholar Brooks believes that knowledge is a comprehensive (structure) of concepts that are connected by relationships. He considers intelligence to be a small part of this structure. He has suggested a basic formula to be used to describe the relationship between intelligence and knowledge:

 

K(S) + DI = K(S + DS)

 

where K(S) is the original knowledge structure, I is the increment of intelligence, and K(S + DS) is the improved knowledge structure obtained from this increase of intelligence, and (S is the result of the improvement.

 

   He also notes that he has not actually assigned a definite meaning to each symbol in the equation. It would also be correct to replace DI with DK. Using DI, however, it is possible express that distinct knowledge structures may have distinct results.

 

   Brooks also has pointed out that the increase of knowledge is not simply piling up knowledge. After intelligence has been included in the knowledge structure, what it adds is not simply more; it actually performs a certain adjustment of the knowledge structure.

 

   Brooks' equation provides a mental avenue as we evaluate the content of information. When evaluating the content of knowledge, it is necessary to evaluate the extent to which the knowledge (intelligence) contained in the information can improve the knowledge structure that the user needs in solving a specific problem.

 

   If people encounter a problem, in the first place they ought to have an understanding of the problem. Once a certain amount of knowledge is attained, then this knowledge can be materialized into a series of symbols of matter or material phenomena. People utilize and activate information in order to solve problems. From information they extract useful knowledge and obtain intelligence, and can thereby gain a new understanding of the problem. With increased new knowledge, the problem may obtain a partial or complete solution. This new knowledge can be materialized into a series of new symbols. Comparing this new set of symbols with the original set reveals that the relationships between the individual symbols have been adjusted, and have been ordered and organized anew. We may therefore consider the difference between new and old structures of knowledge to be a measure for evaluating the content of the information. So that people are able to perceive this measure, it must be expressed through the exchange of information or of symbols.

 

   From the angle of increasing knowledge, it is also possible to apply fuzzy mathematics to the problem of quantifying the evaluation of information content.

 

   2. Evaluating Information Content from the Angle of Problem Solving. When interacting with information, what people care most about is the content of the information. They are most interested in how much intelligence they can draw from the information. As such, evaluating the content of information is identical to evaluating the quantity of intelligence in each class of information. We know that information is an entity that can be seen and touched, and that intelligence is knowledge that is needed for solving problems. There is no way to observe or directly measure this intelligence. It is possible only to observe and evaluate information with the help of some accompanying phenomena that can be measured.

 

   According to the basic tenets of Shannon's theory of information, we may see problems as an event, as a system that we must understand. If we are to solve a problem, we must understand the situation of the system. If we have complete knowledge about it, then we will be able to affirm completely the situation in which the system resides, and the problem will receive a complete solution. On the other hand, if we have no knowledge about it at all, then we know nothing about the situation of the system, and the problem will not be solved to any extent. If we have partial knowledge of a problem, then we only know the situation that the system might be in. The problem may achieve a partial solution. Every time we obtain new intelligence (new useful knowledge) from information, then the situation of this system becomes more certain to us. The possibility that we can solve the problem becomes greater. This proves that there is a close relationship between intelligence and the uncertainty of things. Part of the process of knowing is activating information and obtaining intelligence from information. The uncertainty of the situations of things is reduced through this process. For this reason we can consider this uncertainty to be a measurement of how much knowledge we have of this thing or this system. The degree to which uncertainty is reduced can be seen as a measurement of the quantity of intelligence, and as a standard by which to evaluate the content of information.

 

   Suppose we know in advance that the probability of an event (a solution to a problem) occurring is P₁. After obtaining a certain amount of intelligence from information we know that the probability of this event occurring is P₂. (P₂ ³ P₁.) Then the quantity of intelligence that is obtained from the information is:

 

I =  -log₂ P₁/P₂

 

The unit of calculating the quantity of intelligence in this way is the bit. We may use the size of the "I" value to evaluate the content of the information.

 

   Using "I" to evaluate the quantity of intelligence matches our general understanding. If the specific problem of the user has already been completely solved and the probability is 1, then any information that is collected has no purpose for the user. When I is 0, there is much further to go before a solution to the user's problem is found. It is then easier for the user to find the necessary intelligence in the information that is collected, and the requirements of the user are more easily met.

 

   Finally we would like to point out that the quantity of intelligence obtained from a class of information is greatly affected by the individual intelligence level and knowledge background. The quantity of intelligence obtained may vary according to the user or researcher.

 

   III. Comprehensive Evaluations of Information

 

   In doing retrieval work and in selecting information, retrieval workers consider not only their own evaluations of the worth and content of the information. They must often consider some factors like the category of the information, its external characteristics and its circulation utility, and make a comprehensive evaluation of the information. Here we introduce some principles and methods for comprehensively evaluating information from the perspective of practical use.

 

   1. Principles for Selecting the Evaluation Method. There are many methods we can use to evaluate information comprehensively. In order to decide which method to use, it is important to abide by the following principles.

 

   (1) Ease of use. The method chosen must be made as simple as possible so that it can be used fully or used for the most part. If the method is too complicated to use, then it will have little meaning for daily retrieval work.

 

   (2) Suitability for many classes of information. There are many classes of information, such as documents, verbal information, real object data, machine-readable data, audiovisual data and radio wave data. The evaluation method chosen should be suitable for evaluating various classes of information, so that the evaluation results may be compared.

 

   (3) The Principle of Quantifying. The method that is chosen should employ a certain degree of quantitative analysis. These quantities may be used to assess the value of information.

 

   (4) The Principle of Qualitative Adjustment. Because of the vagueness and relativity of the value of information, human subjectivity may have an excessively large role in the assessment. It is therefore necessary when choosing an evaluation method to use qualitative measures to adjust the quantification, and revise the results of the quantified assessment.

 

   2. Index Systems for Evaluation of Information

 

   (1) Reliability. How close the knowledge contained in the data matches actual practice and real results. Only when information is reliable can it have considerable value for activation. If information is not reliable, it will be less valuable to the user. In studying the characteristics and conditions of the intelligence sources, an understanding of the patterns of the external features may make it easier to judge the reliability of the information content.

 

   (2) Suitability. Suitability is how useful the knowledge contained is to the user. It refers to the social and economic benefit after the information has been activated and scientifically processed by the user. The content of information must match the intelligence needs of the user. Specific users need information of specific content. One kind of information will be more useful to one user than it will to another. Investigating the suitability of the information must be carried out with the research of the user's needs, the information source and the information circulation in mind.

 

   (3) Timeliness. Timeliness is both the originality of the content of the information and the time it takes for the information to be transmitted from the information source to the retrieval department. The time lag for national defense technology information is generally quite large.

 

   (4) Availability. Availability means how easy or difficult the information is to obtain. The organ or individual that produces the information must protect their own political, technical and economic interests. They must also often enact security measures in the movement of some information. Hence there is public information, internal information, confidential information, secret information, and top secret information. The higher the level of secrecy, the less available the information is. Market conditions may also affect the availability of information. Generally speaking, once the reliability and suitability conditions are met, classified information has the most intelligence. By contrast, national defense technology information is rather difficult to obtain.

 

   (5) Ease of Decoding. How easy is information for people to understand.  Data are encoded systems of symbols. There are all kinds of symbols, and a great variety of encoding methods. Some symbolic systems are easy for people to understand and others difficult. Some decoding is easy, and some decoding is harder. For example the frequent problems encountered in language and writing. People have no way of understanding machine-readable data unless they are converted.

 

   (6) The Network Element. Has information been adequately distributed in macro-intelligence and mid-intelligence systems? Though certain information may have considerable reliability, suitability and timeliness, if it already exists at a network point, there is less need to obtain that information.

 

   (7) Economics, or the price of the information. People are recognizing the commercial attributes of information more and more. In fact, the intelligence contained in information is not always in direct proportion to its price. At times, an inverse relationship may exist. Nowadays, funds for information retrieval are short everywhere and the cost of information is on the rise. People therefore pay more attention to the economic factor in evaluating information.

 

   At present it is not possible to find one best scientific and practical method or standard for comprehensively evaluating information. The experience method of evaluation, however, has been in use for many years and the theoretical quantification method is being studied.

 

   3. The Experience Evaluation Method. This is mainly conducting evaluation based on the practical experience of the retrieval worker. This method is the one used most frequently and most extensively in actual retrieval work. When a retrieval worker selects information, it is not always a choice made according to a qualitative or quantitative evaluation of information. Frequently the decision is made according to experience.

 

   The experience evaluation method is simple to use, but because the experience, history, and knowledge background of the retrieval worker restrict it, it is not easy to evaluate information completely and accurately. It is possible that individual preference will affect the decision.

 

   4. The Individual Scoring Method. First a system of indices for evaluating information is set up. Each index is assigned a set of standards, and then the retrieval workers assign a point value to each index. Then the scores of each index are added up for each of the various classes of information to give the overall score for a class (or category) of information. Finally qualitative revision is done according to the total point value, and ordering and selection of the information can be completed.

 

   Because the users of some specified information have expectations and demands for each index that is evaluated, it is possible to weight the various indices according to their importance. The score of each index is multiplied by the index weight and then summed to give the total. This evaluation result is more likely to be to be closer to the actual situation.

 

   In its essence, this evaluation method combines both qualitative and quantitative methods. Though it reflects a comprehensive evaluation of information to a certain degree, the method is still very rudimentary, and not very accurate. The main reason is that the scoring is still very subjective. The individual evaluator's work history, knowledge background and understanding of the standards for the index are all unique. The evaluation results may therefore have low validity, or even lead to an opposite conclusion. The method of direct evaluation by the individual however is convenient to blend with the experience evaluation method, and will certainly provide some practical reference verification when selecting information.

 

   Organizing evaluation committees of retrieval workers in theory would make the evaluation results more accurate. Each committee member would separately score each data set according to his or her own evaluation program. All of the data would be statistically analyzed and then put in order by the final point total. Granted this method of evaluation to a certain extent eliminates the deviation due to human individual differences. However, Since this method is rather troublesome to use, it does not have very much real significance for retrieval work.

 

   5. Fuzzy Evaluation Methods. Fuzzy mathematics studies and processes vague phenomena. The value of information has such vagueness, so the evaluation of information is also vague. The use of fuzzy methods to evaluate information has drawn much attention.

 

   (1) Basic Assumptions:

 

   - Acknowledging that evaluation of information is vague, and believing that methods of fuzzy mathematics may turn the vague evaluation into precise measurement.

 

   - With a focus on the comprehensive result of factors, emphasis on overall optimization.

 

   - Belief that the evaluator can use vague information and his or her own knowledge and experience to make the correct decision.

 

   - Use of computers to process information quickly, accurately and reliably.

 

   (2) Arranging the evaluation committee. An intermediate link is needed to quantify the fuzzy evaluation. The judgments and opinions of the members on the committee form the basis of the quantification. Since the information is evaluated for retrieval purposes, the committee is composed mainly of retrieval workers. The committee members should be appropriate for the task. The committee should have authority, be representative, and be just.

 

   (3) Setting up the index system and its standards. Due to the many classes of information, there are many indices that need to be assessed. The goal is to address the key conflicts, and make the system of indices detailed and complete, so that it can fully reflect the objective value of the data. The system must not excessively increase the amount of data processing, yet the evaluation indices must also be set up to reflect the objectivity, transmission ability, and capacity for activation of the information. The indices must not be overloaded and should be easy for the evaluators to understand. These are the difficult points in selection. For example, the following eight indices might be chosen for evaluation: reliability, appropriateness, originality, timeliness, availability, ease of decoding, network attributes, and economy. When appropriate some of the less important indices may be disregarded.

 

   After the evaluation indices have been decided, each index must be divided into levels, such as "extremely", "very", "generally" and "not". Then each level of each index is given content of principle. This gives the reference standards table for evaluating the indices. With this table, the evaluators can evaluate the information by making a check mark for a certain level of a particular index of the information that is evaluated. The single-factor fuzzy matrix can be obtained according to the judgment results from the committee.

 

[matrix omitted]

 

  The term r_ij in the above fuzzy matrix represents the membership grade of level j of index i.  r_ij £ one.

 

   If eight indices are being evaluated, and there are four levels, then R is a fuzzy matrix with eight lines and four columns.

 

   (4) Determining the Weight Coefficient. Considering only the factors in the matrix is not enough. Because the importance of each index and its influence on the value of the information vary from one index to another, it is necessary to assign a weight coefficient ak to each index.

 

  Various methods may be used in determining the weight coefficient a_k, such as the experience method, the Delphi Approach and the voting-statistical method.

 

   If there are m evaluation indices, then

 

A = ( a₁, a₂, ... a_m)

 

   If there are eight evaluation indices, A is a fuzzy matrix with one line and eight columns.

 

   (5) Setting the mathematical model. Once we have the evaluation index matrix R and the weight coefficient matrix A, then we may obtain the fuzzy evaluation matrix B per the fuzzy comprehensive evaluation method.

 

                                    r₁₁    r₁₂ ...... r_1n

B = A · R = ( a₁, a₂, ... a_m ) (  r₂₁    r₂₂ ...... r_2n )

                                    r_m1    r_m2 ...... r_mn

 

   =   ( b₁, b₂, ... b_n )

 

 

where b₁ is the sum of the first level for all the indices, and b₂, b₃, ... b_n for the subsequent levels.  b_j £ 1. The comprehensive evaluation matrix uses a value between 0 and 1 to express the overall evaluation result given to the particular information category by the evaluators.

 

   (6) Determining the Evaluation Standards. In order to sequence and compare all the information that is being evaluated, it is necessary to do another weighting. This second weighting matrix is:

 

             f₁

     F =   ( f₂ )

             f_n

 

   where f_j is the weighting of the j^th level. Adjoining matrices B and F gives

 

                                  f₁

G = B · F = ( b₁, b₂, ... b_n ) (f₂) = b₁f₁ + b₂f₂ + ... + b_nf_n

                                  f_n

 

   This is the comprehensive score for the evaluated information.

 

   The fuzzy evaluation method is simple and easy to use because all the evaluators need to do is make a check mark. This evaluation method may be used on many classes of information and the results are reliable. It may also be used in coordination with qualitative evaluation methods. This method of evaluation has potential application value in the actual work of evaluating information.

 

   Section Seven -- The Present State of Technological Information and Trends for Development

 

   Many scholars have done analysis and prediction related to the present state of technological information and trends for development using "documents" as an indicator. They have pointed out the exponential growth of the quantity of documents, the overlapping of document content, the scatteredness of documents, the decrease of time before documents are no longer useful, the diversity of carriers, the continuing increase of languages, the rapid increase of translated documents, the increasing trend toward industrialization, and the increasing seriousness of the "time lag" problem. We would like to set forth some ideas on the present state and trends for development of technological information from the broad perspective that information is materialized knowledge.

 

   I. The Rapid Increase in the Production of Information

 

   At present, the human store of knowledge is very abundant and is becoming more plentiful all the time. As a material sign of humans knowledge, the rate of production of information has continued to increase rapidly, and the speed is increasing all the time. This has led to the great variety and quantity of information today and the consequent challenges of finding the right information in this new sea of data.

 

   The rate of increase of information is not the same for the various fields. The rate of increase of information in science and technology is higher than that of basic sciences information. For a long time, high technology information has been produced more rapidly than general science information.

 

   II. The Proportion of Machine-Readable Data Increases Daily

 

   Nowadays people most frequently use vision and printed materials to access information. There is a clear trend toward an increasing proportion of machine-readable data. There will come a day when the main way in which people utilize information is on the foundation of machine-readable data.

 

   A technological revolution is occurring in the world today. The central content of this revolution constitutes the nation's and even the world's information systems. In the future people will no longer rely solely on their brain memories in doing information work. Instead, humans will join forces with information systems and computers. The memory and search tasks will be allotted to information systems. The only requirement is that the speed at which knowledge is turned into matter be rapid, that the data can be transmitted quickly from the information source to the user and that information can be found rapidly in the data banks and databases. All of these tasks are easily achieved with database information. Machine-readable data fits the information society. It will therefore develop rapidly, and gain special support and the protection of state policy.

 

   The quantity of databases produced is ever increasing and new electronic books, magazines and newspapers appear all the time. They may become the main way in which people access information. These electronic media, however, will never completely replace visual materials. The information that humans can examine with their eyes will always coexist with information that is "examined" by machines. The two will complement each other and have areas in common.

 

   III. The Extensive Future of Miniaturized Materials

 

   Miniaturized data are printed materials that have been reproduced in miniature on a photosensitive medium. The main kinds of miniaturized data are microform, microfiche, and micro-cards. In recent years, laser holograms have also appeared.

 

   Miniaturized data have small volume, are easy to transmit, and are inexpensive. They are growing in popularity among retrieval workers.

 

   The following two factors contribute to the broad future of development for miniaturized data:

 

   1. In contrast with printed items, miniaturized data may be easily integrated with computer search systems. Miniaturized data may be the input film and the output film for computers, thus significantly increasing the speed at which the data is processed.

 

   2. Holographic data that are produced using laser hologram technology will make high-density storage possible. The development of fiber optics transmission technology will increase the value of miniaturized data tenfold.

 

   IV. The Status and Role of Verbal Information Increases Daily

 

   Verbal information is an important component of information that has always been valued. When people have a problem, they first hope to solve it through direct verbal communication. The specificity of verbal information is strong, transmission is fast, and feedback is immediate. These assets are acknowledged the world over.

 

   The following reasons account for the high status of verbal information in the information age:

 

   1. Telephone technology, satellite communications technology, and other such modern communications methods have made it possible for people to have direct verbal communication though they may be 10,000 miles apart. The advance of modernized transportation--in particular the aviation industry--has shrunk the distances between people and increased the opportunity for face to face direct verbal exchange.

 

   2. The progress of artificial intelligence technology and the launching of the fifth generation of computers have made direct dialog between humans and machines possible. One day it may become possible for machines to directly understand and process human natural language. That will lead to a great increase in the status of verbal information.

 

   3. Security is very important for knowledge concerning national defense science and technology. The private ownership of know-how knowledge is more and more pronounced. When information of this nature is desired, verbal information are often the most helpful. There are frequent occurrences of "laying bare a secret with a single remark".

 

    These days, verbal exchange activities are more frequent. Every year there are thousands of international conferences on technology scholarship and technical exchange. The range and frequency of such activity is high for scientists. In the past, China's technical personnel, for various reasons, have had very limited opportunities for international interaction. As the state policy of reform and opening-up has been put into practice, however, the situation has improved immensely. Scholarly and technical exchange within China faces many new problems due to the trend of commercializing technology, however.

 

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 Research Institute, the Shanghai S&T Information Research Institute, and the Sichuan Province S&T Information Research Institute collect full sets of NASA materials on microfiche.

 

   2. National Aeronautics and Space Administration

 

   (1) Concept

 

   NASA reports are generated by the National Aeronautics and Space Administration.  The Soviet Union launched the world's first manmade satellite in October 1957. After that, the second session of the 85th Congress of the United States passed the "National Aeronautics and Space Act," establishing NASA on 1 October 1958. In the structure of the U.S. Government, NASA is at a level equivalent to that of a department, on an equal footing with the Department of Defense and the Department of Energy. NASA is under the direct leadership of the Congress and the President. Under the provisions of the Act, NASA assumed control of the property, facilities, and personnel of the National Advisory Committee for Aeronautics, which was founded in 1915. 

 

   NASA's duties and responsibilities are:

 

   (a) To direct research related to problems of flight both within and beyond the atmosphere.

 

   (b) To organized the development, construction, and testing of air and space flight vehicles.

 

   (c) To direct the use of various types of manned and remotely controlled flying vehicles conducting space exploration.

 

   (d) To establish cooperative relationships with air and space flight research organizations in other countries.

 

   (e) To be responsible for the exchange and dissemination of research results and data.

 

   According to the Act, NASA is mainly responsible for guiding and coordinating air and space research activities other than those of the military. But in fact, NASA serves military departments directly or indirectly.

 

   NASA headquarters is located near Capitol Hill in Washington, the District of Columbia. The headquarters has six offices: Office of Air and Space; Office of Space Applications Technology; Office of Resource Planning; Office of Space Flight Planning; Office of Space Science; and Office of Tracking and Data.

 

   NASA has 14 research centers and laboratories. Those mainly engaged in aeronautical research work are the Langley Research Center, the Ames Research Center, the Lewis [now Glenn] Research Center, and the Dryden Flight Research Center. Those mainly engaged in astronautics research work are the Goddard Space Flight Center, the Johnson Space Center, the Marshall Space Flight Center, the Kennedy Space Flight Center, the Wallops Space Flight Center, the Jet Propulsion Laboratory, the National Space Flight Technology Laboratory, the Michoud General Equipment Plant [Assembly Facility], the Western Test Range Work Station, and the White Sands Test Station.

 

   (2) NASA's S&T Information Work

 

   (a) NASA's S&T Information Facility has the centralized responsibility of collecting, evaluating, examining, digesting, cataloguing, and indexing materials, as well as services such as retrieving documents, making microfiche copies, and distribution.

 

   (b) The NASA S&T Information Facility provides round-the-clock service to retrieve various types of information for users. Copies of the information must be mailed out within 48 hours. Inquiries made from terminals in various places receive a reply within two or three minutes.

 

   (c) The facility gives prompt notice and supply of new materials. It is a requirement that various technical reports collected be processed and publicized within four to six weeks. Microfiche copies of technical reports and dissertations listed in each issue of STAR and IAA [International Aerospace Abstracts; explained below] must be provided on time to NASA's libraries, research centers, and laboratories a week before the issue goes out. The volume of microfiche sent out each year is about two million.  Microfiche are distributed in three ways: As required, automatically to users who receive full sets of the documents; selectively, based on a user's specific choice of categories; and based on the requirements of NASA's contractors and on materials exchange agreements with organizations within the United States and in foreign countries.

 

   (d) The facility has cooperative relationships with various concerned information organizations within the United States. NASA maintains close and cooperative relations with DTIC, NTIS, TIS (the Department of Energy's Technical Information Service), and other federal government information organizations, which exchange catalogues on magnetic tape. Also the facility coordinates with concerned academic bodies, and has a rational division of work with them.

 

   (e) The facility exchanges information with foreign organizations.

 

   NASA makes use of information exchange measures for the wide-ranging collection of various types of materials concerned with its mission and objectives. In coordination with NASA's International Affairs Group, the S&T Information Facility negotiates the conditions by which materials are exchanged with information organizations in various countries, and it signs exchange agreements with them.

 

   The counterpart must first send NASA samples of exchangeable materials, estimate the yearly volume of what will be sent, declare that NASA is allowed to duplicate in microfiche form the materials provided, and agree to open provision of the materials in the United States.

 

   What NASA provides to its exchange partners is mostly STAR and NASA's own reports.

 

   If NASA discovers that the quality or quantity of documents provided by a counterpart does not meet NASA's requirements, it may at any time propose to the counterpart that a clause in their agreement should be revised, or that the agreement should be terminated.

 

   Currently, NASA has signed exchange agreements with 225 organizations in 49 countries and with some international organizations. Each year NASA receives over 2,000 types of materials from them.

 

   (f) Search service. NASA's S&T Information Facility can search various types of materials as registered users require.

 

   (g) Translation service. Based on requirements from NASA scientists, engineers, and administrative personnel, NASA can provide a translation service for materials and official documents from over 30 languages other than English.

 

   (h) NASA publishes various items to satisfy the differerent needs of different users:

 

   -- It compiles, publishes, and prints NASA's own reports, about 1,000 each year.

 

   -- It compiles and publishes STAR and LSTAR.

 

   -- It has delegated the American Institute of Aeronautics and Astronautics to compile and publish International Aerospace Abstracts, and it contributes funds to the effort.

 

   -- It compiles and publishes catalogues of specialized materials such as Aeronautical Engineering (monthly); Aerospace Medicine and Biology (monthly); Earth Resource [as published] (quarterly); NASA Patent Abstracts Bibliography (half-yearly); and Selected Current Aerospace Notices (SCAN), a selection of about 200 topics on a particular theme (bi-yearly). The number and scope of articles in each edition of SCAN is not fixed, and it may be increased or reduced according to actual requirements.

 

   The titles appearing in the above five types of periodicals are selected from STAR and IAA.

 

   Quarterly Listing of AGARD Reports is a compilation of technical reports from AGARD, publicized in STAR. It has no index.

 

   AGARD Index of Publications includes digests and various kinds of indexes.  Issue number 1 lists documents issued between 1952 and 1970. After that, one issue was published every three years.

 

   -- NASA compiles and publishes NASA Activities (every two months).  This reports on NASA's research activities.

 

   -- It compiles and publishes Research and Technology Objectives and Plans Summary (yearly). This provides brief explanations of the objectives and plans of in-progress research supported by NASA.

 

   -- It compiles and publishes Journal Holdings for NASA Libraries (yearly). Publication of this began in 1983. In 1984 it included 7,768 items. This index tells a reader which types of periodicals are held in various libraries, so as to achieve the objective of sharing.

 

   (i) NASA provides search service by linked equipment.

 

   NASA has a NASA RECON (Remote Console) linked equipment search system. Users far away can make use of terminals to link directly with the main computer at the NASA S&T Information Facility. The NASA RECON system has the following seven databases:

 

   -- Aerospace database. The provides online search of all materials appearing in the two periodicals STAR and IAA since 1962. Over 1.4 million documents have been entered in this database. Each year over 70,000 more are added. Originally use of this database was restricted to NASA and other government organizations, but beginning in 1985 it was connected for search with the American company Dialog Information Services. 

 

   -- Restricted Aerospace Science and Technology Reports Database, the content of which is similar to LSTAR.

 

   -- Undistributed Restricted Documents Database.

 

   -- Research and Technology Objectives and Plans Summary Database, the content of which is the same as the yearly paper version.

 

   -- NASA Research and Development Contract Search File.

 

   -- NASA/RECON NALNET - Periodicals File, the content of which is similar to the printed version of Journal Holdings for NASA Libraries.

 

   -- Numerical Data Databases Index, which is a list of 144 NASA and seven non-NASA numerical databases.

 

   IV. American Institute of Aeronautics and Astronautics, AIAA Conference Paper Preprints, International Aerospace Abstracts, and AIAA documents

 

   1. The address of AIAA is 555 West 57th Street, New York, NY 10019.

 

   (1) Introduction

 

   AIAA is a multi-profession, non-governmental, academic body. Its membership consists of scientific researchers engaged in aeronautical and space flight research, technical personnel from companies and enterprises, and students and graduate students from some large institutions of higher learning. The institute also attracts foreign scientists and technical personnel, including some from China.

 

   This organization was founded on 1 February 1963 by merging the Institute of Aerospace Sciences (IAS) and the American Rocket Society (ARS). Prior to 1961 the IAS was called the American Aviation Society. Founded in 1922, the American Aviation Society was the authoritative body for the science of aviation in the United States. The American Rocket Society was founded in 1930. It was one of the earliest academic bodies to be engaged in rocket technology and space flight research. In the early 1960's, in order to contend with the Soviet Union for supremacy in space, the United States implemented major changes in its scientific research structure, information research, materials services, etc. To meet the need for developing research activities concerning aviation and interplanetary flight, and to avoid duplicative waste of manpower, materiel, and time in scientific research work, after a year of deliberation the Institute of Aerospace Sciences and the American Rocket Society merged to become the Institute of Aerospace Sciences. It has over 36,000 members.

 

   AIAA has under it 32 technical committees: Aerospace and Atmospheric Physics; Atmospheric Environment; Fluid Mechanics; Plasma Dynamics; Atmospheric Flight Mechanics; Celestial Mechanics; Propellants and Combustion; Power Supply Systems; Electrical Propulsion; Liquid Propellant Rockets; Solid Propellant Rockets; Gas Propulsion; Nuclear Propulsion; Underwater Propulsion; Communications; Instruments; Guidance and Control; Structural Mechanics; Structures; Materials; Aviation Flight Vehicle Design; Aviation Flight Vehicle Operation; Space Flight Vehicle Design; Space Flight Vehicle Reentry; Launch Apparatus and Guided Missiles; Maritime Systems; Flight Testing; Surface Testing; Reliability and Durability; Life Science Systems; Project Management; and Outer Space Law. Each technical committee is responsible for academic activities in its particular area of specialization.

 

   AIAA holds its annual conference each year in early November in New York. In June it holds a midyear conference. Also, each year it holds 15 to 20 symposia based on specialized branches of learning.

 

   AIAA is a producer of institute or association-type materials.

 

   (2) AIAA's Publications and Conference Documents

 

   The main types of S&T publications issued by AIAA are:

 

   (a) AIAA Journal (monthly). Publishes research documents pertaining to aviation and aerospace. The content includes jet and rocket propulsion technology, flight mechanics, celestial mechanics, guidance, communications in space, atmospheric and space physics, materials and structures, spacecraft research, development, and design, etc.

 

   (b) Journal of Aircraft (every two months). Mainly publishes papers concerning aspects of aircraft design, flight mechanics, flight testing, flight safety, airport design, air traffic control, navigation, propulsion systems, structures, and ground equipment.

 

   (c) AIAA Student Journal (quarterly). Mainly publishes essays by the institute's student members and papers by teachers of aviation and space flight technology.

 

   China's National Defense S&T Information Center archives all three of these periodicals.

 

   AIAA's conference papers are mainly advance copies -- AIAA Papers Preprints.

 

   Also, members of AIAA's technical committees compile copies of all (not just AIAA's) conference papers on important topics into Progress in Astronautics and Aeronautics. These are published, printed, and distributed by MIT and other publishing houses. The first edition of this series appeared in 1960, and as of the present they number 96 volumes.

 

   2. Advance Copies of AIAA Conference Papers: AIAA Papers Preprints

 

   (1) Concept

 

   On its own, AIAA convenes 15 to 20 symposia each year.  These are mainly of two types. One is secret, with conference papers which are not openly disseminated. An example would be a conference on AIAA's joint strategy. The other type is open, with openly distributed conference papers. An example would be an AIAA conference on aerospace science.

 

   As for joint symposia, when AIAA is the host and other associations are participants, then AIAA's name appears first. An example is "IAA/ASME Conference on Structures, Structural Dynamics, and Materials." Conference papers carry AIAA report numbers, such as AIAA 78-355, and conference paper preprints can be purchased from AIAA. When another association is hosting the conference and AIAA is a participant, the name of the other organization comes first, as for example in "EEE/AIAA Conference on Space and Atmospheric Observation and Measurement Instruments." Conference papers for this conference would not be given AIAA report numbers, and they cannot be purchased from AIAA. They would be supplied by IEEE.

 

   AIAA conference papers normally appear as preprints one or two months before the conference. These papers are all read aloud at the symposium, and they are sold to conference attendees and provided to pre-designated subscribers. Each year over 1,000 preprints are published either individually or as collections.

 

   Quite a large proportion of these papers either have or will appear in one of AIAA's periodicals. Thus there is duplication in the content of conference paper preprints and the institute's periodicals.

 

   The content of AIAA papers is original, and the writing is succinct. The papers can reflect new achievements, new levels attained, and new trends in the world's aviation and aerospace S&T. They are an important source of information widely appreciated by aeronautical and aerospace S&T personnel. China's National Defense S&T Information Center and other organizations hold full sets of AIAA papers from 1963 to the present.

 

   (2) Publication Formats and the Course of Their Evolution

 

   AIAA papers are available on paper and as microfiche. The microfiche form is included in IAA documents.

 

   Distribution in paper format began formally in 1963. At first there were only a few hundred items per year. Publication formats were not fixed. Some items were published alone, with each item having a report number. Sometimes items were included in bound volumes, with some of the items assigned their own report numbers and some not. So there was a lack of standardization. This situation continued from the 1960's to the early 1970's. After that, the number of reports grew year by year, and publication of them gradually became more standardized. The fairly fixed, three format publication scheme took shape by the end of the 1970's. In the first, all the papers for a conference are issued individually, each with its own report number. In the second, all the papers for a conference are bound into one volume, with each paper having its own report number. In the third method, some of the papers for a conference are together in one volume, while others are distributed individually. Each of the papers is assigned its own report number, and stand-alone reports and the ones in collections do not duplicate each other. In combination with each other, the three methods constitute a complete set of AIAA conference paper preprints.

 

   (3) Output Channels

 

   The channels by which AIAA sends out AIAA papers are as follows:

 

   (a) Member purchase. Members pay a certain amount of money each year (about $50), and get preference in the purchase of conference papers.

 

   (b) Onsite purchase. All conference participants can select and purchase papers at the conference, but nonmembers get no preferential treatment.

 

   (c) Ordering in advance. Subscribers in China can place orders by way of the Foreign Languages Bookstore for individual AIAA papers which interest them.

 

   (d) Long-term advance ordering. Subscribers who need to order a full set of AIAA papers can do so with a long-term advance order. They pay in advance based on prices set by AIAA, and AIAA provides a full set of conference paper preprints after each conference. In China one can arrange with the China Books Import and Export Corporation [Zhongguo Tushu Jinchukou Gongsi] for a long-term advance order for the next year's papers.

 

   (e) After-conference sales. After a conference, users can purchase either a full set or individual conference papers, in paper form or on microfiche. The price goes up after a year has elapsed, and it is often difficult to guarantee the supply of a full set.

 

   (f) Sale by authorized agent. For example, AIAA and Jane's Publishing Company have signed a contract by which Jane's is a sales agent for AIAA's publications.

 

   Comparing these various channels, member purchases are best in terms of price, delivery time, and quantity. Apart from this channel, in terms of acquisition time onsite purchase is the fastest. Next best is long-term ordering, by which items are normally received three to six months after a conference, with a small number taking a year. Sometimes papers from one conference arrive in several different deliveries. Ordering piecemeal from the Foreign Languages Bookstore is quite slow.

 

   Currently, problems with collecting AIAA papers by way of long-term advance ordering are that, in terms of quantity, for various reasons deliveries each year are incomplete, sometimes even short by several hundred items. There is no list of what is to be provided, and delivery can take a very long time. This often makes it very difficult for us to determine within a short time which missing numbers represent delivery shortages and which numbers represent no materials at all.

 

   (4) Reasons for Missing Numbers

 

   Each year there are many numbers missing from AIAA conference paper preprints. Why is this?  To clarify the exact reasons, someone researched this topic in 1984. The results of the research showed clearly that the main reasons for missing numbers are:

 

   (a) Insufficient number of papers. Each symposium is pre-assigned a range of report numbers. If there are not enough papers, then numbers will be missing.

 

   (b) Failure to gain approval. Writers send AIAA the topic of their paper and an abstract of its content. But if the content is secret or it reflects incomplete preparation, the paper is not approved for distribution.

 

   (c) Writer withdraws. A writer will sometimes recognize on his own that the quality of his paper is less than ideal, and will withdraw the paper.

 

   (d) Issuance in a periodical. For various reasons, a writer may be unable to deliver the prearranged conference paper on time. It might appear in a periodical some time later.

 

   (e) Partial sellouts. Some conference documents sell out because of a large number of buyers, and thus complete sets cannot be provided.

 

   (f) Mistakes. Personnel who do the shipping may make mistakes and send incomplete shipments.

 

   (5) Contingency measures

 

   The following contingency measures can be taken to complete sets of this material:

 

   (a) After a time, check the AIAA report numbers as publicized in IAA (International Aerospace Abstracts) to determine whether there is no document for a missing number or whether the shipment was incomplete.

 

   (b) Expedited shipment to make up the set. If shipment of a series is incomplete, then many expedited overseas shipments are necessary. AIAA regulations say that it is responsible for expedited shipment within 12 months after a conference. Supplementary shipments are no longer made after that, and all one can do is to send a new purchase order. In our experience, expedited shipment is most effective six months after a conference. However, expedited shipments out of the country are certainly not completely reliable.  Sometimes several expedited shipments still do not arrive, or the shipment contains serious duplication. Then it is best to use IAA material on microfiche and make a duplicate to complete the set.

 

   3. International Aerospace Abstracts

 

   Besides organizing various specialized symposia and publishing periodicals, collections, and conference papers, AIAA's Technical Information Service also compiles and publishes International Aerospace Abstracts (IAA). 

 

   Publication of IAA began in 1961. Originally it was a monthly periodical compiled and published jointly by the U.S. Aviation Association and the U.S. Air Force Aviation Research and Development Command's Air Force Scientific Research Office (AFOSR), with financial assistance from the National Science Foundation (NSF). From 1963 onwards it became a twice-monthly periodical compiled and published by AIAA with financial assistance from NASA. NASA and AIAA reached agreement whereby International Aerospace Abstracts and Scientific and Technical Aerospace Report (STAR) became "sister publications" reporting on aviation and aerospace documents. The two periodicals have a clear division of labor. STAR is responsible for reporting on S&T reports, and IAA is responsible for reporting on "on-report documents:" periodical articles, books, conference papers, etc.

 

   IAA is an abstract-like index. Its classification system and layout are similar to that of STAR, and it has five indexes at the end. Each edition reports over 1,000 abstracts, over 30,000 each year. IAA is published on the 1st and the 15th of each month.

 

   Documents reported in IAA are assigned unified "catalogue numbers," or "abstract numbers," beginning with the letter A to distinguish them from the N numbers in STAR. Examples are A74-10001, A78-10002, etc. The serial numbers begin each year with 10001.

 

   4. IAA Documents

 

   All documents reported in the International Aerospace Abstracts are collectively called "IAA documents."

 

   (1) Sources and value of IAA Documents

 

   IAA Documents are mainly selected from conference papers of associations, societies, and research organizations of the United States and other countries, from books, and from over 900 S&T periodicals. The selection is limited to aviation and space flight. Conference papers noted as IAA documents include:

 

   (a) American Institute of Aeronautics and Astronautics (AIAA) papers

   (b) American Society of Lubrication Engineers (ASLE) papers

   (c) American Society of Mechanical Engineers (ASME) papers

   (d) American Society for Testing and Materials Engineers (ASTME) papers

   (e) American Combustion Institute (CI) papers

   (f) American Institute of Electrical and Electronics Engineers (IEEE) papers

   (g) American Institute of Chemical Engineers (AICE) papers

   (h) American Instruments Society (ISA) papers [as published; ISA is International Society for Measurement and Control]

   (i) American Society of Automotive Engineers (SAE) papers

   (j) American Society of Motion Picture and Television Engineers (SMPTE) papers

   (k) Jet Propulsion Laboratory (JPL) Reports

   (l) NATO Advisory Group for Aerospace Research and Development (AGARD) Reports

   (m) International Council of the Aeronautical Sciences (ICAS) papers

   (n) United Nations Conference on Peaceful Uses of Nuclear Energy, UN papers

   (o) British Aeronautical Research Council (ARC) papers

   (p) British Institute of Mechanical Engineers (IME) papers

   (q) French Office National d'Etudes et de Recherches Aerospatiales (ONERA) technical papers

   (r) German Deutsche Gesellschaft fur Luft- und Raumsfahrt (DGLR) reports

 

   It is especially worth pointing out that in IAA Documents, the proportion which are Russian language documents is very large. Statistics from 1982 to 1984 show that Russian documents constitute about 40% of all documents on microfiche. Under our current situation with a lack of Russian language materials, IAA Documents provides us a path by which to understand the status of aviation and space flight in the Soviet Union.

 

   IAA Documents is a major source for scientists and technicians engaged in aviation and space flight research. The strong point of IAA Documents is that it contains many conference papers, and they have original subject matter. Because of the confusion with organizations which issue conference papers, it is difficult to follow the thread of how to order. Also, the number of copies issued is usually not very large, and ordering must be timely. So personnel doing the acquisition find that it is not easy to get full sets. AIAA's unified compilation of documents and its publicizing of them in IAA at regular intervals, although rather late, is nevertheless more centralized and complete. Also, the thread is easy to follow, and searching is easy.

 

   The weak points of IAA Documents are that many papers are abstracted from periodicals, and many others are from conference papers of other associations and societies, and so there is quite a lot of duplication with the content of other publications such as periodicals and conference notes. Also, domestic users are still not very familiar with it, and so its circulation rate is very low.

 

   (2) Status of Acquisition and Holding of IAA Documents

 

   The publication IAA Documents is archived by the AIAA Technical Information Service's library, and it sells reprints of documents to users in paper and microfiche form. That is where the source material for IAA is kept. Since 1966, about two-fifths of the documents reported in International Aerospace Abstracts have been sold in microfiche form. (All items sold in microfiche form have "#" after the abstract number in IAA.  Russian language documents for sale have "+" after the number.)

 

   At present, China's National Defense S&T Information Center is the only organization in the country with a full set of IAA Documents on microfiche.

 

   V. DoE Reports and Their Intelligence Value

 

   1. The Evolution of DoE Reports

 

   The U.S. Congress passed the Atomic Energy Act in August 1946, and at the same time established the U.S. Atomic Energy Commission (AEC). Documents collected, organized, and reported by AEC's Division of Technical Information are collectively called AEC reports.

 

   AEC reports are research reports, focusing on military use but also reporting on dual military-civilian use of atomic energy, submitted by the U.S. Atomic Energy Commission's scientific research organizations and contractors. The Atomic Energy Commission had underneath it famous atomic energy research organizations such as Los Alamos Scientific Research Laboratory, Lawrence Livermore Laboratories, Ames Laboratory, and Oak Ridge National Laboratory. Besides these research reports, numerous reports on atomic energy research were supplied by atomic energy research organizations in countries which had bilateral agreements with the Commission, such as Australia, Canada, Denmark, Finland, France, Japan, the Netherlands, Norway, Sweden, Britain, and the Federal Republic of Germany.

 

   The U.S. Atomic Energy Commission was abolished in October 1974. The U.S. Energy Research and Development Administration (ERDA) was established in January 1975. The creation of ERDA was a measure taken by the U.S. Government to deal with the nuclear threat which it faced at that time. Besides taking over relevant functions of the Atomic Energy Commission, ERDA conducted extensive development and research activities on various kinds of nuclear energy. In terms of administration, ERDA not only took over the control of AEC's various specialized research organizations, it also took over the U.S. Department of the Interior's Coal Research Bureau, the Bureau of Mines' Energy Research Center, the U.S. Environmental Protection Agency's advanced motorized propulsion systems research organization, the U.S. National Science Foundation's organization researching solar energy usage and its organization researching and developing geothermal energy.

 

   As the organization changed, AEC reports became ERDA reports, which the ERDA Technical Information Center was responsible for collecting, organizing, and publicizing. Although AEC's organization was abolished in October 1974, its publishing work did not stop until June 1976. For this reason, AEC reports and ERDA reports coexisted side by side for a time.

 

   In October 1977 the United States established the Department of Energy. This department took over all of the functions of the Energy Research and Development Administration, the Federal Energy Administration, and the Federal Power Commission. Their S&T information work became the responsibility of the Department of Energy's Technical Information Center. Since then, people have customarily used the general term DoE reports for all S&T reports and other materials collected, organized, and publicized by that Center.

 

   2. Sources and quantities of DoE reports

 

   DoE reports come from several thousands of domestic sources, but the main ones are the Department's eight main operations offices, its five main energy technology centers, its 18 large-scale laboratories, and their contractors. For details, see the following chart. The S&T reports they generate are "true DoE reports."

 

   Main Organizations Subordinate to the U.S. Department of Energy

 

   1. Eight main operations offices

 

Albuquerque Operations Office

Chicago Operations Office

Idaho Operations Office

Nevada Operations Office

Oak Ridge Operations Office

Richland Operations Office

San Francisco Operations Office

Savannah River Operations Office

 

   2. Five main energy technology centers

 

Bartlesville Energy Technology Center

Grand Forks Energy Technology Center

Laramie Energy Technology Center

Morgantown Energy Technology Center

Pittsburgh Energy Technology Center

 

   3. Eighteen large-scale laboratories

 

Ames Laboratory

Argonne National Laboratory

Battelle Pacific Northwest Laboratories

Bettis Atomic Power Laboratory

Brookhaven National Laboratory

Fermi National Accelerator Laboratory

Hanford Engineering Development Laboratory

Idaho National Engineering Laboratory

Knolls Atomic Power Laboratory

Lawrence Berkeley Laboratory

Lawrence Livermore Laboratories

Los Alamos Scientific Laboratory

Mound Laboratory

Oak Ridge National Laboratory

Princeton University Plasma Physics Laboratory

Sandia National Laboratories

Savannah River Ecology Laboratory

Stanford Linear Accelerator Center

 

   In addition, an extensive range of documents produced by energy and atomic power research organizations of other countries, from international atomic power bureaus, international systems of information about nuclear matters, NASA, the National Bureau of Standards, and other organizations, including AD reports, are adopted and reported in "Energy Research Abstracts."

 

   Currently DoE reports on about 24,000 items a year, about 34% of all the acquisitions of NTIS. About 4,000 of these research reports are from countries other than the United States. These represent 17% of newly added reports each year.

 

   3. The Content and Types of DoE Reports

 

   The establishment of the Department of Energy allowed the centralization in that Department of the United States' dispersed work on energy research, development, and usage. Along with the centralization, a large amount of scientific research has been done on energy development, usage, conservation, etc. The content of these reports mainly includes nuclear energy, chemical energy, hydroenergy, solar energy, geothermal energy, wind energy, wave and tide energy, as well as the basic science of energy, the application of energy science and technology, energy management and policy, energy transformation, atmospheric environmental science, surface environmental science, biomedical science, earth science, materials, chemistry, engineering, etc. The proportion of S&T reports which deal with non-nuclear energy is very large, slightly more than half.

 

   The types of documents catalogued in Energy Research Abstracts include S&T reports, articles from periodicals, conference papers, books, patents, standards, etc.

 

   4. DoE Report Serial Number Formats

 

   Unlike AD reports, PB reports, and NASA reports, which have unified serial numbers, DoE reports are numbered by various different systems. This creates difficulties in distinguishing DoE reports. However, its serial numbers do follow rules. A report number normally consist of an abbreviation of the organization name as the leading letters, followed by a sequence number. A summary of the main types is as follows.

 

   (1) Reports published by Department of Energy headquarters all start with the letters DoE. For example, DoE/TIC stands for Department of Energy, Technical Information Center; DoE/EIA stands for DoE Energy Information Administration; and DoE/ER stands for DoE Energy Research reports.

 

   (2) Contracted reports published by the Department of Energy have serial numbers in the format DoE/abbreviation for the name of the contracted party. For example, DoE/NASA indicates a report prepared under contract between the Department of Energy and the National Aeronautics and Space Administration, and DoE/JPL indicates a report prepared under contract between the Department of Energy and the Jet Propulsion Laboratory.

 

   (3) Reports from organizations subordinate to the Department of Energy each have their own system of serial numbers. For example, COO designates Chicago Operations Office reports, NVO designates Nevada Operations Office reports, and ORNL designates Oak Ridge National Laboratory reports.

 

   (4) Report designators indicate the type of report. For example, CONF (Conference) indicates a document from a Department of Energy conference, and DoE-tr (Translation) indicates a DoE translation of a foreign document.

 

   Because the numbering system of DoE reports basically continues that of the former AEC and ERDA reports, if one wishes to search among the report numbers of organizations subordinate to the former Atomic Energy Commission, one can consult the republished TID-85 (10th Rev) of October 1972. This is a report from the NEC Technical Information Office. This 185-page report lists the various report designators used by the AEC, normally the organization designator, but also some with letter designators referring to a special project or a type of publication. Part one of TID-85 is an alphabetical list of report designators, and part two explains the report publishing organizations.

 

   5. The Intelligence Value of DoE Reports

 

   DoE reports are one of the four main categories of U.S. reports. They touch every aspect of energy research and construction. Energy is a country's economic lifeline. It is the springboard for a country's economic takeoff. Given China's current shortage of energy, good research of this set of reports and benefitting from the advanced experience of the United States and other countries is of great usefulness in accelerating our country's energy buildup and accomplishing the four modernizations [agriculture, industry, S&T, and military]. Actual experience proves that DoE reports are an important source of intelligence for our country's S&T personnel engaged in energy research and construction.

 

   Besides this, DoE reports include a large number which are concerned with research into nuclear energy, and which involve dual military-civilian uses.  Example are reactors of various types (including those used on ships); nuclear power systems used in space; research, development, testing, and production of nuclear weapons; laser nuclear fusion technology; isotope separation technology; production and control of nuclear material; nuclear material safety issues; personnel security issues; secret information security issues; export control issues; nuclear weapons control issues; nuclear power stations, etc. This portion of the reports continually gets a great deal of attention from those engaged in national defense S&T work in various countries, and it is a source of intelligence with great value.

 

   Research reports concerned with nuclear power mainly originated with research organization subordinate to the former Atomic Energy Commission.  This portion of the reports is in three categories: unclassified reports, declassified reports, and classified reports. Classified reports are subdivided into two types, secret and top secret. Of all the reports, each year about 35% are issued and sold openly, and the remaining 65% or so are listed as classified.

 

   6. Searching and Obtaining DoE Reports

 

   The main reference books for searching DoE reports are:

 

   (1) Energy Research Abstracts (ERA), compiled and published by the Department of Energy's Technical Information Center every two weeks since 1976. ERA describes DoE reports in abstract and index formats. The abstracts are listed under the main scientific category, with six types of indexes at the end of each issue: group authors, individual authors, main topic, contract number, report number, and ordering number-report number cross reference.

 

   (2) Government Reports Announcements & Index, a reference book for searching and ordering all four major types of U.S. reports, including DoE reports.

 

   (3) International Nuclear Information System Atomic Index (INIS Atomindex), started in 1970, compiled and published every two weeks by the International Nuclear Information System (INIS). Mainly this index reports abstracts of atomic S&T reports from countries and areas which are members of the International Atomic Energy Agency, including some DoE reports. INIS Atomindex is currently an abstract-type reference publication with six major categories and 24 sub-categories. At the end of each issue is an individual author index, an organizations index, a report number and periodical number index, and a keyword index.

 

   As with AD and NASA reports, DoE reports must be purchased through NTIS. Government Reports Announcements & Index or Energy Research Abstracts can serve as the reference book for ordering, but if the two are used at the same time one must take care to avoid duplication.

 

   7. Status of DoE report holdings in China

 

   The China S&T Information Research Institute, the Shanghai S&T Information Research Institute, and the Sichuan Province S&T Information Research Institute hold complete sets of openly published DoE reports, on microfiche. The Ministry of Energy Resources' [since abolished] Nuclear Information Center holds microfiche copies of openly published DoE reports which concern nuclear energy, and it prints these out.

 

   VI. U.S. military standards and the Naval Publications and Forms Center (Department of the Navy, Naval Publications and Forms Center, 5801 Tabor Ave., Philadelphia PA 19120)

 

   1. Introduction to U.S. Military Standards

 

   (1) What are U.S. military standards?

 

   The objectives of military standards are to achieve overall strengthening of research and development, design, and maintenance in national defense engineering projects, to improve military materiel procurement and logistical supply management work, to ensure the interchangeability, compatibility, reparability, and reliability of military materiel, to improve product design efficiency, to reduce as much as possible the number of types of products and lower product cost, to simplify management and logistical supply work as much as possible, and thus to strengthen units' latent power and wartime combat power. Under the overall leadership of the Office of the Secretary of Defense, the various military departments and staffs under the Department of Defense have formulated many military standardization documents. At the same time, with the prerequisite that military use requirements are fulfilled, these departments and staffs also transplanted some standardization documents formulated by other parts of the federal government or by specialized associations and societies, and some regional standardization documents, to become military standardization documents. We will refer to this series of military standardization documents collectively as "U.S. military standards."

 

   (2) Brief History of the Development of U.S. Military Standards

 

   U.S. military standards were developed from the standards of the Army and the Navy. Later, because the two services had some products in common, the formulation of common standards was necessary. Thus appeared the Joint Army-Navy standards, designated JAN, which were the predecessors of U.S. military standards. There are still a small number of JAN among the U.S. military standards currently in effect.

 

   During World War II the United States needed to send a great deal of military materiel to the European battlefield. The level of standardization at that time was not high, and this caused extreme difficulties in the transport, storage, maintenance, employment, and logistical supply of the materiel, difficulties which had a direct effect on the combat power of units. To resolve these problems, the United States, Britain, and Canada got together and formulated U.S-Britain-Canada standards, designated ABC-STD. These standards were mainly used in their navies. This category of standards is still in effect in the current U.S. military standards.

 

   After World War II, so as to strengthen the direction of the standardization of military materiel, the U.S. Department of Defense designated the Office of the Secretary of Defense as the highest authority for military standardization work throughout the armed forces. Under this Office were set up eight departments to unify leadership and divide work and responsibilities in standardization work and in the formulation, review, approval, and application of military standards forces-wide. Standards formulated during this period are designated MIL (short for "military". In 1954 the United States promulgated the Defense Standardization and Specification Program Policies, Procedures, and Instructions (DSSP). This document was issued throughout the armed forces as Department of Defense order DoD 4120.3, to serve as the yardstick for standardization work throughout the forces. The document prescribed the direction, mission, guidance, and policy for standardization work in the Department of Defense. The document directed that all military specifications, standards, manuals, diagrams, and concerned documents of all types constitute a complete, standardized system of Department of Defense documents.

 

   By the 1970's, issues in technical standardization became more and more connected with international technical exchanges and trade competition. This situation caught the attention of countries all over the world. Technical standards began to move toward internationalization. To adapt to this situation, U.S. military standards began to make a transition from the British system to the metric system. Some military standards have already adopted the metric system. These use the designation "DoD" to distinguish them.

 

   (3) The Specialized Content, Characteristics, Role, and Uses of U.S. Military Standards

 

   The specialized content of U.S. military standards is extremely broad. It involves conventional weapons, nuclear weapons, fire control equipment, ammunition, explosives, rockets, missiles, spacecraft, aircraft, ships, engines, electronic equipment, computers, mechanical equipment, tools, metallic materials, nonmetallic materials, chemical products, photographic equipment, medicines and medical equipment, electric material, fuels, oil, refrigerants, firefighting, clothing, and various other kinds of military materiel.

 

   U.S. military standards form a complete system. From the overall system to the various component systems down to spare parts, standards and regulations have been formulated for everything. U.S. military standards are not just a complete system, they fit together with each other.

 

   So as to obtain greater technical and economic efficiency, U.S. military standards must promptly reflect the more mature, advanced S&T achievements of their times. For this reason, standards are revised very promptly and very frequently. Each year there are six to seven thousand changes in the standards, including formulations, revisions, corrections, supplements, rescissions, etc. The lifespan of a U.S. military standard normally does not exceed five years.

 

   In summary, U.S. military standards are characterized by their complete system, rich content, rigorous structure, advanced technical nature, unified format, and strong practicality. Thus many other countries, including countries as industrially developed as Japan, have adopted U.S. military standards. The formulation of some international standards begins with U.S. military standards as the starting point. Internationally, U.S. military standards are widely recognized as authoritative technical standards.

 

   The introduction and study of U.S. military standards can promote the standardization of military industrial products, and U.S. military standards can be used for reference in formulating one's own standards. Referring to them can yield an understanding and a grasp of the level of technology and developmental trends in U.S. military industrial products. It can improve the level of one's own research and design, promote the technical transformation of industrial enterprises, accelerate innovation and upgrade to new generations of products, improve operations and management, expand foreign trade and exports, and increase economic efficiency.

 

   U.S. military standards are a source of information of great value to technical personnel engaged in national defense standardization work and in national defense S&T, production, and management.

 

   (4) The Structure of U.S. Military Standards

 

   Besides standards formulated by the more than 100 military organizations under the Department of Defense, the current U.S. military standards also include some standards written by federal government organizations and specialized associations and societies, as well as some regional standards. The content of various types of standards and the proportion of each is approximately as follows.

 

   (a) Standards Formulated by U.S. Military Organizations

 

   About 100 military departments and staff organizations under the Department of Defense participate in the formulation of military standards. Among these participants are 13 defense supply centers, 20 Navy organizations, 26 Army organizations, and 41 Air Force organizations. They complete each assigned standardization mission, such as the formulation of military standards, under the direct leadership of the Office of the Secretary of Defense. These organizations both write and use standards. The standards written by these organizations represent about 82% of all military standards. Mainly they are military specifications, military standards, military standard drawings, military standard manuals, and lists of acceptable products.

 

   (b) Standards Formulated by Non-U.S. Military Organizations

 

   About 18% of the standards used by the U.S. military were formulated by organizations other than those under the Department of Defense. Of these:

 

   -- About 11% were formulated by the federal government. Mainly these are taken from federal specifications, federal standards, federal lists of acceptable products, and federal information processing standard publications.

 

   -- About 4% were formulated by associations and societies. Mainly these are taken from aviation and space flight standards formulated by the American Society for Materials and Testing, the National Aeronautics and Space Administration, the American Society of Automotive Engineers, and from American National Standards Institute standards.

 

   -- About 3% are regional type standards. Mainly these are taken from North Atlantic Treaty Organization Standardization Agreements, U.S.-Britain-Canada standards, four-country U.S.-Britain-Canada-Australia standardization plans, five-country U.S.-Britain-Canada-Australia-New Zealand Air Force Standards Coordinating Committee agreements, and North Atlantic Treaty Organization joint quality assurance regulations.

 

   Details on the structure of U.S. military standards are as follows (according to statistics from a list of U.S. military standards published on microfiche in March 1983 by the American National Standards Institute).

 

   Standards Formulated by U.S. Military Organizations:

 

Military Specification (MIL); 27,000

Military Standards (MIL-STD); 1,000

Military Standard Drawing (MS AN, AND); 5,000

Military Handbook (MIL-HDBK); 147

Qualified Products List (QPL); 1,600

 

   Standards Formulated by Other Than U.S. Military Organizations:

 

Federal Government Standards

 

Federal Specification (alphabetic designation); 5,600

Federal Standards (Fed-STD); 134

Federal Specification QPL (QPL plus alphabetic designation); 114

Federal Information Processing Standard publication (FIPS); 73

 

Specialized Association Standards

 

American Society for Materials and Testing (ASTM); 1,400

National Aeronautics and Space Administration standards (NAS); 280

American Society of Automotive Engineers (SAE); 900

American National Standards Institute (ANSI); 630

 

Regional Standards

 

North Atlantic Treaty Organization Standardized Agreements (NATO STANAG); 335

U.S.-Britain-Canada standards (ABC-STD); 46

U.S.-Britain-Canada-Australia standardization plans (ABCA-STD); 13

U.S.-Britain-Canada-Australia-New Zealand Air Force Standards Coordinating Committee (ASCC); 317

North Atlantic Treaty Organization joint Quality Assurance Provisions (AQAP); 12

 

   (5) The Major Categories of U.S. Military Standards

 

   (a) Military Specifications

 

   Military specifications are standardization documents specially formulated to support the procurement of military goods and materials. These documents may provide complete design details for a project, or they may just prescribe an item's functions and specify requirements. The Department of Defense stresses that as much as possible the specifications should specify performance requirements, so as to facilitate soliciting competitive bids widely in the world of industry.

 

   Military specifications constitute about 75% of the military standards formulated by U.S. military organizations.

 

   Military specifications are classified by their use as the following.

 

   -- Common specifications, for use by two or more services; reviewed and approved by the Department of Defense; use mandatory for all the armed forces.

 

   -- Limited use specifications, formulated, reviewed, approved, and used by one of the services, and not binding on the others. There is often a designator at the end of a specification's serial number to show what organization formulated it. For example, in MIL-T-85549 (AS), the "AS" stands for Aviation Systems Command.

 

   Military specifications are classified according to product and material types as follows.

 

   -- General Specifications: Technical requirements formulated for use with all products of a certain type. Normally these specifications have the words "General Specification" after the specification title.

 

   -- Sub-specifications: Technical requirements for a particular type of product. These have /1, /2, /3, etc., to indicate requirements for different products. For example, MIL-C-3098/140C.

 

   Military specifications are classified according to formulation procedures as follows.

 

   -- Formal specifications: Specifications which have been formally issued.

 

   -- Interim specifications: Formal specifications which have not yet been promulgated and are provisional. These are designated with the work "Interim." Also they have they numbers 00 before the specification number, as in MIL-M-008856.

 

   The format and content of military specifications is as follows.

 

   -- Range of applicability (Scope): The type, class, specifications, and range of variation in the various parameters of the object discussed in the specification.

 

   -- Applicable Documents: The various relevant documents used with the specification, the document editions, and how to acquire them.

 

   -- Requirements: This is the core content of a specification.  Mainly this consists of specific requirements for a product's materials, performance, structural dimensions, weight, interchangeability, external appearance, allowable defects, installation, maintenance, reliability, manufacturing techniques, quality markings, etc.

 

   -- Quality Assurance Provisions: These are a series of tests, inspections, and verification methods specified to assure and verify a product's quality, as well as the testing environment and conditions, the sampling plan, testing equipment, etc.

 

   -- Preparation for Delivery: This includes a product's oil seals, packing, crating, and the standards used for such things.

 

   -- Notes: This includes product uses, alteration markings, and relevant commercial and legal clauses for the overall specification.

 

   -- Ending: This includes the organizations which formulated, manage, review and approve, and use the specification. The Air Force uses numbers to indicate this, but the other services use abbreviations.

 

   -- Appendixes:

 

   Military specification serial numbers consist of a capitalized abbreviation of the word "Military," namely, MIL, plus the first letter of the first word of the topic of the specification, plus the specification number. This gives a composite military specification serial number. For example, in MIL-L-45528A, "L" stands for the first word of the topic. When formulating new specifications or revising old ones, specifications using the metric system all have the new designator DoD instead of MIL.

 

   Designators for changed military specifications are as follows.

 

   -- The letters A, B, C, D, etc., indicate the number of the change. The date is also given.

 

   -- Amendment 1, 2, 3, 4, etc., indicates number of the amendment, and the date is also given.

 

   -- Supplement 1, 2, 3, 4, etc., indicates the number of the supplement, and the date is also given.

 

   -- "Notice" indicates information about a military specification.  These are classed as Notices, Change Notices, Cancellation Notices, Reinstatement Notices, etc. All Notices show the corresponding date.

 

   (b) Military Standards

 

   Military standards are a set of documents specially formulated for designers, in order to resolve the problem of design standardization in military industrial goods and materials. Military standards explain and put forth requirements for materials, products, techniques, operating procedures, quality control, methods, packing, tolerances, diagram symbols, terminology, customary practices, etc., which already serve as standard. Military specifications are provided to designers for their selection and use in their work.

 

   The object of formulating military standards is to reduce variety as much as possible, and thus achieve the design objectives of good product interchangeability, compatibility, reliability, and maintainability.

 

   Military standards constitute about 3.2% of all the standards formulated by U.S. military organizations.

 

   The format and content of military standards is as follows:

 

   -- Foreword: The reason the standard was formulated or revised, and the objective of its use.

 

   -- Contents: [no added explanation]

 

   -- Text and illustrations: The standard's scope of applicability, related documents, definitions, normal requirements, detailed explanations, and appendixes.

 

   -- Notes: [no added explanation]

 

   Composition of military standard serial numbers:  These consist of MIL plus STD plus a serial number. For example, in MIL-STD-781D, "STD" is an abbreviation of "Standard."

 

   Revision, amendment, supplement, and notices for military standards are the same as for U.S. military specifications.

 

   It is necessary to explain here the differences and the relationship between military specifications and military standards.

 

   Military standards are formulated to fill the needs of designers. The objective is to provide designers basic information and data. The standards themselves are not procurement documents. They are put to use in the procurement process through the medium of specifications. Military specifications are the true procurement documents. Military specifications are provided for the use of the military in procuring goods and the use of manufacturers in competitive bidding.

 

   Military standards are the foundation on which military specifications are drawn up. To assure that the technical requirements specified by military standards are fulfilled, besides military specifications themselves one must also rely on a large number of standards concerned with aspects of design techniques, testing, and acceptance. These standards are incorporated into a specification in order to standardize one or more features of an item (such as its dimensions, numerical values, or structural details), or to standardize design requirements which are key to the achieving the equipment's design objectives. At times, one specification will involve dozens or even more than a hundred specifications. For example, aircraft hydraulic system specification MIL-H-5440C involves 548 related standards.

 

   The following is a brief example to explain the relationship between specifications and standards.

 

   The specification for spark plugs must incorporate standards for bolt threads in order to assure the interchangeability of spark plugs made by different manufacturers. The spark plug specification in this example may specify requirements for all styles, dimensions, and types of spark plugs needed for equipment currently in use by the military. Nevertheless, in terms of scope of applicability, it might happen that the specification might include requirements for some types of spark plugs whose use is about to be discontinued. Even though these spark plugs are about to be discontinued, they must still be procured for use in some equipment which is still in use. It might also happen that the specification would include more types than what are actually needed. In this situation, to prevent spark plugs which are about to be phased out from being incorporated in future design plans, and to eliminate types which are not needed, it is necessary to issue a standard to restrict the design and selection of spark plugs, and to specify the selection principles for the spark plugs described in that specification. Then, this standard will be incorporated in specifications for equipment and facilities (and internal combustion engines) to restrict the types of spark plugs they will use.

 

   (c) Military Standard Drawings

 

   Military standard drawings mainly use diagrams or tables to specify the structural dimensions and design characteristics of spare parts. They are issued in loose-leaf format. Designers can use them directly to assure interchangeability.

 

   Military standard drawings constitute about 15% of the standards formulated by U.S. military organizations.

 

   Military standard drawings are numbered by using the designator MS plus a serial number, as in MS-27990A.

 

   Revisions of military standard drawings are indicated by the letters A, B, C, etc., after the serial number, or by the use of the word "Revised" followed by A, B, C, etc.  Also the date of the revision is shown.

 

   Use of the unified designator MS began in 1974 with newly formulated or revised "Air Force and Naval Aviation Standard Drawings" (abbreviated AN) and "Air Force and Naval Aviation Design Standard Drawings" (abbreviated AND). Military standard drawings which use the metric system have the designator DS.

 

   (d) Military Handbooks

 

   A military handbook is a kind of comprehensive reference document. It is a compilation of engineering technical data for relevant products, techniques, customary practices, maintenance, etc. Military handbooks are supplements to standards, providing commonly used design and engineering examples. Military handbooks are reference-type documents. Their use is optional, and they do not contain compulsory, legally mandated requirements.

 

   Military handbooks constitute 0.35% of the standards formulated by military organizations.

 

   The numbering of military handbooks uses the designator MIL plus HDBK plus a number, as in MIL-HDBK-217D. In this, "HDBK" is an abbreviation of the word "Handbook."

 

   The letter A, B, C, D, etc., appearing after the serial number of military handbooks indicates the revision number.

 

   (e) Qualified Product Listings

 

   Manufacturers produce items in accordance with their contracts and in compliance with the requirements of military specifications. To speed up delivery and reduce the amount of in-process inspections, manufacturers can apply for advance inspection. Advance inspections are conducted by the government or by government-appointed measurement and testing organizations. The government issues qualification certificates for products which meet specifications, and puts the products on a qualified product list, to indicate that the product has achieved a grade which is up to standard. Products on a qualified product list normally still require sampling at irregular intervals. If it is discovered that a product's quality no longer meets specifications, then its qualification certificate is revoked. Thus, a qualified product list is a list of products which satisfy the requirements of military specifications. The list shows not just the product's name and standard, it also notes the product's manufacturer and vendor and their addresses. Also the list gives the quality requirements from the corresponding military specification, and the tests which should be performed on the items. This sort of list is mainly provided for the use of the military in selecting and purchasing military industrial products.

 

   Not every military standard has a corresponding qualified product listing. The products listed in qualified product listings constitute only a very small proportion of the products which the military needs to procure.

 

   Qualified product listings constitute about 4.1% of the standards formulated by U.S. military organizations.

 

   The numbering of qualified product listings uses the designator QPL plus the number of the corresponding standard. For example, QPL-27723-1 is the qualified product listing for U.S. military standard MIL-P-27723. The "-1" indicates the list's revision number.

 

   (6) Allocation of Serial Numbers for U.S. Military Standards

 

   Serial numbers for U.S. military standards are allocated to the various services and to Department of Defense organizations by the department in charge in the Department of Defense. In turn, these organizations allocate serial numbers to organizations subordinate to them. Serial numbers are allocated to the various organizations in blocks, as follows.

 

   (a) Military specifications

 

Army: 10000-14999, 40000-40599, 41808-53999

Navy: 850-999, 15000-19999, 21000-21259, 21261-24999

Air Force: 4000-4999, 8788-8999, 9501-9999, 25000-27999, 38000-38999

Department of Defense: 28000-28499, 30500-31499

 

   (b) Military standards

 

Army: 317-400, 604-699, 901-930

Navy: 700-799

Air Force: 800-899

Department of Defense: 931-1154

 

   (c) Military handbooks

 

Army: 100-157 (except 140), 170-199 (except 161-163)

Navy: 212-299

Air Force: 300-399

Department of Defense: 50-99, 500-679

 

   (d) Military standard drawings

 

Army: 1201-1299, 10000-13999, 35000-90000

Navy: 3100-3199, 14000-19999

Air Force: 9000-9999, 20026-34999, 100000-499999

Department of Defense: 49000-50999, 63200-66599

 

   (7) Categories of U.S. Military Standards

 

   Currently over 45,000 U.S. military standards are in effect. (Although new standards are formulated every year, including revised versions and discontinued standards restored to use, a large number of standards are discontinued each year, and so the change in the total number is not large.) U.S. military standards involve all specialties, and the Department of Defense has put them into categories to make them easier to manage and search. For the status of the categories, see the Federal Supply Classification Cataloging Handbook, called FSC Handbook for short, which is compiled and published by the Department of Defense's Defense Supply Agency.

 

   (a) FSC Handbook classifications

 

   The FSC Handbook groups items according to the physical characteristics of various types of goods related to U.S. military standards, grouping them into categories convenient for logistics management. These classifications are certainly not rigid. A two-level, four digit classification method is used, first designating a major category and then a minor. To facilitate supplementing and revising category numbers, the first two digits indicate the major category and the second two places indicate a sub-category under that major category. In any one category, materiel is listed alphabetically by keyword. Items which are not conveniently classified in any sub-category use the designator 00, as in 1400. Items which are purely part of a major category use GP, as in 14GP. Items whose content is more concentrated items use letters for convenient, direct lookup. For example, ENVR indicates environmental conditions and related testing methods.

 

   (b) Brief explanation of FSC Handbooks

 

   The FSC Handbook is in three volumes, designated H₂-1, H₂-2, and H₂-3.

 

   Volume 1 (H₂-1) is a simple chart of Groups and Classes, listed in order by major category and sub-category number. The name of the category is given after the number, along with an explanation of the content and scope which each category should include, as well as what it should not include.

 

   Volume 2 (H₂-2) is a Numeric Index of Classes, a listing by classification number. Under each sub-category is an alphabetic listing by keyword of specific items which that sub-category includes.

 

   Volume 3 (H₂-3) is an Alphabetic Index, listing the names of each product in each category alphabetically by keyword. Each entry is followed by the corresponding category number.

 

   The above three volumes are consulted in combination with each other to search from different angles for the category under which a product is classified and its standardized keyword.

 

   Along with developments in S&T and in logistics management, and because of the frequent revisions in military standards, there are continual revisions and supplements in the categories to which a military standard corresponds. Looking at the list of categories from May 1982, from weapons and various kinds of military materiel to logistical supply, there were 78 major categories, 615 sub-categories, and 32 textual categories. This is quite a big change from the 1973 edition, which had 76 major categories, 595 sub-categories, and 18 textual categories. Thus we must take frequent note of the changes in the Federal Supply Classification Handbook so as to gain a current grasp of the status of classifications and avoid failure to order an item, and to be able to find a required U.S. military standard promptly.

 

   (8) Searching U.S. Military Standards

 

   (a) Main reference Documents for Searching

 

   -- Department of Defense Index of Specifications and Standards (DoDISS) is the main reference document for searching U.S. military standards and related documents. This index is published and distributed by the U.S. Naval Publications and Forms Center. A cumulative issue is distributed each 1 July, and supplements are issued each odd-numbered month to report on changes and revisions in the previous two months. The DoDISS Index is in two parts, the first being an Alphabetic Listing of standards by keyword, and the second a Numeric Listing of standards by number.

 

   The Alphabetic Listing of standards reports a standard's topic, number, classification number, the organization which formulated it and the issue date, and the organization which manages it.

 

   The Numeric Listing is in parts A and B. Part A reports all the U.S. military standards in effect as of the 1 July date of publication. Part B reports on changes in standards since the previous 1 July. The information reported includes a standard's number, its topic, its classification number, the organization which formulated it and the issue date, and the organization which manages it.

 

   -- Federal Supply Classification Listing of DoD Standardization Documents reports information including classification number, topic, standard number, the organization which formulated it and the issue date, and the organization which manages it. Using this listing, one can find all the U.S. military standards related to a particular specialty. Therefore this listing is quite useful to comrades involved in specialties. The publishing organization, frequency, and publishing method of this listing is the same as that of the Department of Defense Index of Specifications and Standards.

 

   (b) Methods of Searching U.S. Military Standards

 

   -- Keyword alphabetical search method

 

   Keywords are words which identify the core content of a standard. These keywords have been standardized.

 

   Before searching for a military standard, first make use of volume 2 of the FSC Handbook (H₂-2) to find the corresponding standardized keyword. Then use the keyword to search the alphabetic index of keywords in part 1 of DoDISS  In this way one can find for oneself what standards information to search.

 

   -- Standard number search method

 

   To find out the status of changes to a known standard, or to find out the topic and classification number of a standard number, then one can use part 2 of the DoDISS, the Numeric Listing. This search method is quite simple. It is based on the classification number of the specifications and standards, and then on a sequential listing by number. When the standard's number is unknown and the Numeric Listing cannot be used, then this search method is of very limited usefulness. It cannot be used a the primary search method.

 

   -- Federal Supply Classification search method

 

   When one wants to know the military standards for aspects of a particular specialty, search the Federal Supply Classification Listing of DoD Standardization Documents. This listing has a classification number listing at the front. Using this method, first consult the FSC Handbook volume 1 (H₂-1), the Groups and Classes chart, and find the standard classification number related to the specialty. Then find the classification number in the above mentioned Supply Classification Listing.

 

   (c) Computerized Searching

 

   Some large information search organizations in the United States already have military standards stored in computer databases which they can search by computer at any time. China North Industries [NORINCO] Science and Technology Information Research Institute has signed a contract with the American DIALOG Information Search Services Center. As one of the latter's terminals, the Institute can conduct online searches.  The Center is currently expanding its foreign services. The DIALOG Information Search Services Center has over 220 databases, with clues to about 60% of the world's S&T data. Database number 113 contains standards of various types, including U.S. military standards, federal government standards, standards from various associations and societies, and NATO standards. Through database 13 we can obtain clues to standards data from various foreign countries.

 

   (9) Publication and Distribution of U.S. Military Standards

 

   According to U.S. Department of Defense regulations, printing and distribution of U.S. military standards is the responsibility of the U.S. Naval Publications and Forms Center in Philadelphia. It is responsible for duplicating adopted U.S. military standards which were formulated by organizations other than the U.S. military. The Center sells unclassified military standards to foreign customers.

 

   Besides the U.S. Naval Publications and Forms Center, more than 30 other organizations in the United States supply current U.S. military standards. The main organizations having service relationships with China are the American National Standards Institute (NSI) and the Information Handling Services Corporation (IHS). They archive and distribute U.S. military standards.

 

   (10) Status of holdings of U.S. military standards in China

 

   The China National Defense S&T Information Center holds a full set of U.S. military standards data in paper form. This totals more than 80,000 items (including those which have been rescinded). The Center serves the entire country.

 

   In 1980 the China Aviation Standardization Research Institute purchased from the American National Standards Institute a full set of U.S. military standards data in paper form, totalling over 43,000 items. The American side provided this set of military standards based on the July 1979 U.S. Military Standards Index [as published; meaning the Department of Defense Index of Specifications and Standards (DoDISS)?] and the March 1980 supplement. Each year the American side provides a microfiche copy of the revisions, reissues, and supplements volume. The China Aviation Standardization Research Institute provides service to all concerned organizations.

 

   The only complete sets of original edition military standards in China are the two described above. Besides these, the Shanghai S&T Information Research Institute holds a complete duplicated set, and North Industries S&T Information Research Institute, the State Machinery Commission's Standards Institute, and other organizations hold copies of items related to their specialties.

 

   The various organizations mentioned above are domestic Chinese sources of information from U.S. military standards.

 

   In addition, the Beijing Abstracting Service Office has imported U.S. military standards on magnetic tape, and has created its own database of military standards.

 

   2. The U.S. Naval Publications and Forms Center

 

   The U.S. Naval Publications and Forms Center is the only center within the Department of Defense for archiving, printing, publishing, and distributing U.S. military standards. It sells to domestic and foreign customers all unclassified military standards listed in DoDISS. A purchaser can order one copy, one category, or the whole set, based on his needs. If a purchaser wants to order one category, he needs to clarify the category number using the Federal Supply Classification Handbook. Each sub-category costs about $15 (for new issues). Purchase of a complete set (newly issued) costs over $9,000. Purchasing items individually is more expensive. 

 

   This center archives over 100,000 items of military standards. Every day it receives about 30 new standards, handles 2,000 customer service transactions, and ships 9,700 standards. The center's distribution work has been mechanized. It has a conveyor belt 9,200 feet long and operated from a control station for automated packing and shipping.

 

   The center has a service inquiry desk with telephone connections, which can answer users' questions 24 hours a day. Under normal circumstances a special order form must be used to purchase standards and related information. Orders can be placed by phone in urgent situations. Shipment to the customer is made within ten days after receipt of the order.

 

   The method used for the purchase of full sets of U.S. military standards is prepayment and automatic shipping. Preordering of standards issued in the following year takes place at the end of each year. With advance payment of $15 per sub-category, one can receive a full set of standards newly issued in the following year.

 

   The above-mentioned American National Standards Institute and Information Handling Services (IHS) also sell U.S. military standards. These two organizations also each claim to have over 90% of world's standards material.

 

   So in terms of supplies of U.S. military standards, a comparison of the output of these three sources reveals the following.

 

   The U.S. Naval Publications and Forms Center provides materials only in printed form. The quality of its printing is high, and the price is less expensive. However, delivery time is longer, and it does happen that shipments are short by small amounts. (These can be made up with expedited shipments.)

 

   The American National Standards Institute can provide materials in both paper and microfiche form. The printed copies are reproduced by the Institute from its own microfiche copies. Shipment receipt time is shorter, and shipments are more complete. The main weak point is the lesser quality resulting from enlargement from microfiche. A small number of the worst items are unreadable because the image is not clear, and there is no way to fix them.

 

   Information Handling Services mainly provides boxed film. The quality lies between that of the previous two providers. Delivery time is faster and more complete. The weak point of this service is the need for an enlarging and reading machine. The materials are not convenient to use, and the cost of the data is higher.

 

   Judging from our experience, the military standards source materials on microfiche and microfilm which the last two providers have were produced by processing and copying original materials from the Naval Publications and Forms Center.

 

   Another point worth noting is that a subsidiary company of the American Information Handling Services Corporation, Global Engineering Documents of Santa Ana, California, has as its most distinguishing feature its fast acquisition operations. It can provide fast delivery of U.S. Government, military, and industrial documents, specifications, standards, regulations, manuals, and periodicals, as well as publications from other American organizations. Acquiring materials from other sources takes months, whereas they can be obtained in a very short time from Global Engineering Documents. Also, by giving this company a prepayment of $500 one can get a price preference of 10%. The company is a source of some urgently needed materials.

 

   VII. Stockholm International Peace Research Institute (Bergshamra S-171 73 Solna, Sweden) and its publications.

 

   The Stockholm International Peace Research Institute is one of the world's eight famous strategic research organizations, and a source of information.

 

   In August 1964, Swedish Prime Minister Tage Erlander proposed the establishment of a peace research institute to commemorate 150 years of peace in Sweden. Following two years of deliberation, in January 1966 the Swedish Parliament concurred with the proposal and gave legal recognition to the institute as an "independent foundation."  The Institute was formally founded on 1 July 1966, and it still exists.

 

   The purpose and scope of operations of the Institute is to conduct scientific research on major issues of "international peace and security," and to make its own contribution to the peaceful resolution of international disputes and the creation of peaceful environments.

 

   For more than 20 years this institute has concentrated its research on the issue of armaments and arms reduction. It focuses its research on the armament technology race, the worldwide proliferation of weapons, and on negotiations on arms reduction or control to stop and reverse this situation.

 

   The institute has about 40 workers, of five categories.

 

   First is personnel detailed by Swedish government staff organizations.  The deputy director of the institute, equivalent to its secretary general, has always been appointed by the Swedish Foreign Ministry. Also, among the researchers there must be one currently serving officer of the rank of colonel, detailed by the Ministry of Defense.

 

   Second is researchers who, by reason of long-term contracts, essentially have jobs for life. There are two or three of these. Along with the director they frequently chair the Geneva disarmament conferences and other conferences concerned with arms control.

 

   Third is researchers employed on short-term contracts, normally for one or two years.

 

   Fourth is research assistants. These do not need special skills. Some are long-term workers, and others work on contract.

 

   Fifth is visiting researchers. Sometimes they do research work for one quarter, and sometimes they only participate in research on a special topic.

 

   Most of the institute's researchers work on contract. Their pay, decided at the time their contract is signed, is related to their own salary history. Personnel come from anywhere in the world. As much as possible, consideration is given to personnel with multiple specialties. However, the institute does not give posts to American or Soviet researchers. The institute professes that it avoids being caught up in world power politics.

 

   Staff workers are assigned as follows: two in the library; two on external matters and publishing; three editors; three in periodical clipping; three accountants; five secretaries; two in printing and distribution; and one telephone operator.

 

   Since the institute's founding it has built up its library based on the needs of its work. Its holdings are mainly in the field of international relations, with an emphasis on worldwide arms manufacturing, arms control, and the problem of arms reduction. Topics include various aspects of weapons production, arms trading, military expenditures, military technology, nuclear weapons, the spread of nuclear weapons, and military satellite technology. Currently the library has about 11,000 volumes, some of which are official documents.

 

   The library archives 320 journals from more than 80 research organizations, and more than 20 newspapers.

 

   The library does not distribute externally. Its materials are for internal use.

 

   A point worth noting is the institute's outstanding contribution in periodical clipping. The three staffers working on this clip and file daily from more than 20 of the world's representative newspapers. The materials used by researchers at the institute come from the governments of various countries and from sister organizations, and from materials donated by some researchers themselves, but mainly researchers rely on materials assembled by the institute's compilers. The method by which they select, classify, and organize materials is very important. In particular, their method of classifying and grouping is worth borrowing. The staffers classify material in about 40 major categories and over 100 sub-categories. To prevent the material from becoming excessively scattered, each year it is concentrated and reorganized under about 40 topics.

 

   The leadership department of the Stockholm International Peace Research Institute is its eight-member Governing Board, including a chairman, the institute's director, and six other members who serve for five years. The six members are appointed by the Swedish government, without distinction for nationality. The Governing Board meets two or three times a year to decide the institute's policies and major plans. Research activities are under the specific direction of the institute director.

 

   Besides this, the institute also has an organization for consulting on scientific issues, its Science Committee. Its 24 members serve for no fixed term. Although it is a consultative organization, it meets only once every two or three years. It actually has no responsibilities to the institute. Moreover, it has nothing to do with the views expressed by the institute. The committee members come from various countries, including the United States and the Soviet Union.

 

   The cost of the institute's activities is paid for by entirely by the Swedish government. The institute receives no financial assistance from any other country, foundation, or research institute. The institute's annual budget is about $1,000,000.

 

   The institute's research accomplishments are reflected in its databases and it its various publications.

 

   The institute has the world's only publicly available "Database of Major Weapons System Transfers." This database contains arms transfers for each year, especially sales of weapons to the Third World. The institute also has a "Database of Military Satellite Launches" and a "Database of World Military Expenditures."

 

   The institute's World Armaments and Disarmament, SIPRI Yearbooks, are consulted the world over. They provide reports and the results of research on world armaments and arms reductions for that period, including descriptions of developments in national defense S&T and weapons and equipment, military expenditures, arms trading, as well as attempts to halt the arms race. A total of 16 editions were published between 1969 and 1985. All of these are on file at the China National Defense S&T Information Center.

 

   In addition, the institute publishes its own books, in 14 categories. They do not amount to a large number, but they are of high quality. According to statistics, as of the end of 1984 the institute had published about 70 books.

 

   Stockholm International Peace Research Institute's publications and databases, and especially its Yearbooks, are regarded as authoritative sources of information by people both domestic and foreign engaged in research on international issues, problems of international relations, arms control and the arms race, arms reduction, weapons and equipment development strategies. These researchers use these publications and databases extensively.

 

   All of the institute's publications are openly distributed to the whole world. The institute's publisher is Taylor and Francis, Ltd., of London.

 

   The institute's publications are given free of charge to governments and to the United Nations. Every country in the world which has at least one public library can obtain the institute's publications free.

 

 

   VIII. London International Institute for Strategic Studies, 23 Tavistock Street, London WCZETN and its publications

 

   The London International Institute for Strategic Studies was established in 1959. At that time, some British scholars researching international issues felt strongly that the world had entered a "nuclear era," and that security issues had become more complex and more pressing. With the nuclear might of the Soviet Union growing continuously, with the credibility of the U.S. nuclear umbrella bound to be shaken some day, and with Europe's power already reviving, "strategic issues" could and should be researched. In particular, following the Suez War and the Hungarian incident, the painful feeling in Britain's political, academic, and media spheres was that Britain's venerable Royal Institute of International Affairs could not bring its usefulness into full play, and was not attracting the public's attention to issues of defense. Thus, in 1959 personages from the fields of academia, politics, religion, and the media in Britain launched the establishment of the London "Strategic Research Institute," and specified its mission to be "to research the ever more complex security issues of the nuclear era." It was not until after 1964 that the institute gradually developed into an internationally renowned strategic research institute, with the participation of strategic researchers from various countries. In 1971 it formally changed its name to the International Institute for Strategic Studies.

 

   The International Institute for Strategic Studies is one of the world's eight big and famous strategic research organizations. Its emphasis is on research in military strategy. The institute's aim is to provide the public information and research reports, derived from rigorous analysis, on key current and future issues affecting international security. The institute's three principal missions are to give financial support to research, to publish the results of research, and to serve as a forum for discussion and debate of international security issues. The institute is a producer of source material.

 

   The International Institute for Strategic Studies is a private association. It declares itself to be "independent of any government and subject to no special interest group." Its leadership organization is a board of directors which normally has about 30 members, about half of which are British or American. The institute's highest leader is its chairman of the board, an honorary position. The institute's director is in charge of the actual work. The director can be a Member of the British Parliament. Judging from the institute's history and present situation, its deputy director and assistant director are British and have not been replaced in more than 20 years, while the succession of institute directors have practically all been West Germans. This shows that the real power is in the hands of Britain and Germany. There have been clear signs that the influence of the United States has been increasing in recent years, as evidenced by the addition of an American deputy director since 1977, as well as by a trend in which some of the figures in the publication Military Balance are the same as American estimates, and the Ford Foundation all of a sudden becoming the number one backer.

 

   Currently the London International Institute for Strategic Studies has over 2,600 individual members from about 74 countries and areas, as well as 248 member groups. Individual members pay annual dues of $90. Member group dues are much higher. Members can receive most of the institute's publications free.

 

   The institute's research structure is characterized by its small number of permanent researchers. There are only the director, the deputy director, and one or two research directors. However, the research mission is certainly not carried out by just these few people. Visiting researchers also participate in research work. About ten come each year, from various countries. For the most part these visiting researchers meet with the permanent researchers once a week to report on their own research, and after that there is a discussion. The results of their research are assembled, and most of it is published in topical form in the institute's aperiodical publication, Adelphi Papers.

 

   Besides researchers, the institute also has some research assistants, such as one intelligence researcher, one person in charge of publishing, and two or three books and periodicals managers.

 

   The intelligence researcher is responsible for assembling information on relevant world military trends, and especially on armaments, from periodicals and other openly published materials, and then putting these items in order. The yearly Military Balance is compiled from this information.

 

   The periodicals manager is responsible for clipping from periodicals and, with the assistance of researchers, putting these items in order. The books and periodicals managers each understand three foreign languages. The institute collects only books concerned with aspects of strategy.

 

   The administrative management department consists mainly of the secretary-general, a conference secretary, and one secretary for each of the permanent researchers. It also has two typists and three or four telephone operators and receptionists, for a total of about ten people.

 

   Counting up the above, the institute has about 30 people. That is, about ten permanent and assistant researchers, about ten administrative people, and about ten visiting researchers. Of these, the institute director, deputy director, information researchers, secretary-general, conference secretary, etc., play an especially important role in maintaining the continuity of the institute's work.

 

   The annual budget of the International Institute for Strategic Studies is very small. In 1977 it was only 40,000 pounds, and in 1985 about 660,000 pounds. Half of its income is from member dues and the sale of publications. The remainder is from the American Ford and Rockefeller foundations, the Krupp Foundation of West Germany, from foundations in Sweden, France, Japan, and other countries, and from private groups and enterprises. However, the institute does not accept donations from governments. When they explain the institute's situation, researchers always stress that, except for 1978 donations from the governments of many countries for the purchase of a small and ancient five-story office building in London's Covent Garden theater district for use as its new address, the institute "has never accepted any government donation to carry out any major research plan."

 

   The research activities of the International Institute for Strategic Studies can be classified as follows:

 

   1. Routine Conferences

 

   (1) Annual Report Conferences

 

   These are held in September each year, on a theme decided by the board of directors. The annual conference points out the direction of strategic research regarding various countries. Normally about ten papers are read at each conference, and these are followed by discussions in separate groups. About 100 people attend. They are all selected from among members who apply to attend a conference.

 

   The themes of recent conferences were:

 

1973: The Military in Modern Society

1974: The Middle East and the International System

1975: Western Powers

1976: Dispersion of Power

1977: Conventional Weapons Technology and East-West Security

1978: The USSR after Brezhnev: Prospects for Soviet Military Power in the 1980's

1979: Future Strategic Deterrence

1980: Third World Conflicts and International Security

1981: U.S. Security in the 1980's

1982: International Factors in the Security of the West

1984: New Technology and the Security of the West

1985: Power and Policy: Problems Brought by SDI

 

   (2) Alastair Buchan Memorial Conference. Held once a year for the delivery of a lecture by the institute's first director, Alastair Buchan.

 

   (3) Lectures. This type of conference involves speaking invitations extended to personages who are visiting Britain, members of the staffs of British embassies abroad, and media personalities. Some of these conferences are large and some are small. Sometimes the audience is large, and sometimes very few attend. Besides institute members, people from London area universities, government staffs, and the media are also invited to attend.

 

   (4) Academic conferences, four times per year.

 

   (a) Annual academic conference (as explained above)

   (b) Annual conference for young students

   (c) Annual conference on regional security

   (d) Annual conference on arms control issues

 

   (5) Annual Conference for national defense officials from Britain, France, and Germany

 

   2. Symposia

 

   (1) Routine symposia, held once a week by researchers.

 

   (2) Special topic symposia. Researchers and people from outside the institute discuss a topic which is normally selected by the director. Sometimes they are held to assist the work of visiting researchers. Invitations are also extended to members of the staffs of British embassies abroad and to media personalities.

 

   The London International Institute for Strategic Studies publishes the following:

 

   (a) Military Balance, published annually in October, is the representative publication of this institute, and the one for which it is world-famous. Military Balance is an authoritative appraisal of the military strength and military expenditures of various countries. It is a major (and sometimes considered authoritative) basis for the analysis of military issues not just by the people of various countries, but by most officials and the military sphere as well. This publication is the responsibility of the intelligence researcher and one assistant. In the spring of each year the results of research on the military power of various countries are assembled into a draft which is sent to the government or the military of various countries to solicit their comments. Final analysis and judgments based on comments received take place in September, and the final version is published. The countries generally cooperate, to varying degrees. Military Balance has been published continuously since 1959.

 

   (b) Strategic Survey, published annually in May since 1969. This is an analysis from regional and worldwide perspectives of the trend of strategic developments in the previous year. This publication is for research on strategic thinking and on diplomatic and political trends.

 

   (c) Survival, published every two months. This publication mainly passes on important declarations from governments and statesmen of various countries and major articles from other journals. Sometimes it also publishes research reports commissioned on special topics.

 

   (d) Adelphi Papers. (Adelphi is the name of the institute's former location.) Most of the manuscripts published as Adelphi Papers are the results of research by researchers at the institute, and papers from the annual conference. About ten Adelphi Papers are published each year.

 

   (e) Adelphi Library. Each year the institute compiles a number of Adelphi Library publications, whose content is carefully selected from Adelphi Papers and other major research reports. In recent years, more of the content has come from various papers presented at the institute's annual conference.

 

   (f) Each year the institute gives financial assistance for the publication of material incorporated in the IISS Books series.

 

   The publications described above, and especially Military Balance, are essential reading for anyone engaged in research on military strategy and development strategies for national defense S&T and weapons and equipment. They are very valuable sources of intelligence.

 

   The above are all published openly, and the China National Defense S&T Information Center archives them all.

 

 

   IX. The American Defense Marketing Services, Inc. (DMS Corporation), 100 Northfield Street, Greenwich, CT 06830, USA), and its publications 

[apparently now part of Forecast International/DMS, 22 Commerce Road, Newtown CT 06470]

 

   The American Defense Marketing Services Corporation was established in 1959. It is a privately held stock corporation (and publications business). Its headquarters is in Greenwich in the state of Connecticut, and it has offices in Europe (Inning, Germany, and Oxfordshire, England and in Asia (Tokyo, Japan).

 

   DMS Corporation claims to be the world's only company researching and reporting information on the high-tech defense and weapons systems markets of the United States and other countries. The scope of the company's reporting includes defense budgets, scientific research organizations, manufacturers, the research, development, production, procurement, and supply of weapons and equipment, and arms trading.  The company's research involves a wide range of specialties, but mostly it concentrates on space flight, aviation, and opto-electric technology, along with conventional weapons. The company is a key organization researching market demand for weapons and equipment, development of weapons and equipment, and forecasting.

 

   DMS Corporation employs over 100 people. The company has an editorial department with more than 30 devoted to compilation, an administrative management department, a marketing and distribution department, and a production department. The editorial department has specialist groups underneath it. The company's main objective is to compile and publish DMS publications, called simply DMS. To this end, the company has set up an occupational information gathering network with feelers extending all over the world. Participants in the gathering of information make direct contact with concerned departments of the governments of various countries and with responsible officials in industrial centers, and they read the world's main periodicals and other publications, and thereby collect information on the arms market. Then they process, assemble, and analyze this information and publish it in report format. The company's main sources of information are:

 

   1. Various publications from the United States and from the main developed nations of Europe, such as U.S. Government contracts, manuals, military documents, and Congressional testimony.

 

   2. Information obtained directly from concerned government departments. DMS Corporation employees have close relations with the U.S. Department of Defense. Some of the employees are former military personnel. Some cooperate with the military either directly or indirectly. Employees in Washington can even come and go freely at the Pentagon, to gather information on defense markets and procurement any time they wish.

 

   3. Information obtained directly from manufacturers by way of electronic correspondence.

 

   The company's production department is responsible for the printing, binding, packaging, and mailing of all of the company's publications. DMS Corporation also has a subsidiary company in Washington, DMS International, which is responsible for organizing seminars.

 

   DMS Corporation is an information dissemination source. It has developed rapidly in recent years, and it now has over 4,000 subscribers in various parts of the world. Most of these subscribers are companies and government organizations. The largest of these subscribers include Canada and the United Arab Emirates, both of which order complete sets of DMS publications. DMS Corporation's sales volume in 1984 was $5 million.

 

   The company's main business activities are:

 

   (1)Sending 65 types of DMS publications to various countries other than Iran, Libya, and Warsaw Pact countries.

 

   (2) Providing special topic consultancy services. Customers can commission DMS to conduct research on a particular topic. For example, what roles might a certain type of weapon play within the next few years? Or, what are the developing trends in innovations?

 

   (3) Responding to customer inquiries. All DMS subscribers can send inquiries to the company, but with a specified scope. That is, those who purchase a portion of the DMS publications can pose questions only on topics touched upon by those publications. Subscribers to all of the company's publications may ask any question they like. About 60% of the inquiries are handled free of charge. Service charges depending on the circumstances are collected for inquiries involving a lot of work. Communications costs are borne by the subscribers.

 

   (4) In March each year, DMS Corporation convenes a Symposium on Defense Scientific Research Budgets and Equipment Procurement Budgets, which is also called the DMS Defense Budget Symposium. Participants include the U.S. Department of Defense, responsible officials from the three services (the Army, Navy, and Air Force), market researchers, trade and long-range planning personnel, marketers, public finance analysts, etc. The U.S. defense budget and equipment procurement budget for the next fiscal year is discussed item by item and by armed service, by scientific research plan, and by procurement plan. Participants also express their views.

 

   (5) In April each year the company convenes an Annual Symposium on NATO Industrial Cooperation. This symposium provides an opportunity for participants to hear detailed explanations of the military equipment development and procurements plans of the NATO member countries. The focus is on the search for opportunities for cooperation among countries.

 

   DMS Corporation enjoys a prestigious reputation among American industrial producers because it can provide them a constant stream of information about the U.S. Government's military budget and defense equipment procurement. The information allows them to make prompt adjustments in their production, and solicit government business.

 

   Because DMS Corporation's operations are related to defense, everything it does which is considered by the government to be an important activity is subject to government interference, or to government participation in the activity, or to increased restrictions.

 

   According to 1985 statistics, the company had 48 publications in five major categories. According to 1986 statistics, it had 65 publications in six major categories. The company frequently makes a few changes in the major and sub-categories of its publications, sometimes combining categories, and sometimes splitting them. The major categories as of 1986 were:

 

   (a) Market Intelligence Reports

 

   This category of publication is nicely designed loose-leaf binder material. It provides important defense market information, with a focus on recognizing new business opportunities. Each month "supplement pages" and "focused extracts" are provided each month with the latest information. Each separate report provides the status of various weapons systems in each of their phases, from preliminary research to development to operation and maintenance, etc. Each report includes two parts, data and analysis. The data portion includes detailed information such as model numbers, missions, status, manufacturer, changes, characteristics, performance, schedule, price, number on hand, etc. The analysis portion provides detailed information such as background, status, outlook, export status, related activities, recent activities, DMS Corporation's analysis, and a ten-year forecast.

 

   This major category is divided into the sub-categories Platform/Major Systems, Product/Subsystems, Agency/Industry, and Foreign Military Markets, with 29 further divisions.

 

   (b) Major Systems Market Forecasts

 

   These are forecasts of the market for major weapons systems. Each year there are about 2,000 pages of these research reports. They provide complete details on current worldwide stockages, production, and development plans, including a report on each plan and a ten-year forecast, and seven subsections on forecasts for armored vehicles worldwide.

 

   (c) Market Studies & Forecasts

 

   These constitute about a thousand pages per year of reports providing the complete status of major markets, such as worldwide requirements, and research and development and procurement plans for the army, navy, air force, and national defense organizations of various countries. These reports have 17 subsections on topics such as world market research and forecasts for robots.

 

   (d) DMS Special Reports

 

   These describe the status of manned space stations and U.S. Army air defense weapons systems. They include two subsections.

 

   (e) Newsletters

 

   These are in six types, of which one is a two-weekly periodical and the other five are weeklies. They emphasize reporting on the latest developments, investigations of ongoing trade talks, reports on calls for bids on contracts, and reports of major changes in personnel.

 

   (f) Handbook/Directories

 

   These include four volumes, including a defense budgets handbook.

 

   DMS publications are expensive. A full set of DMS publications costs over $30,000.

 

   The China National Defense S&T Information Center and each of the Defense Industry Information Centers place selective orders for DMS publications.

 

   DMS Corporation also provides its subscribers static and dynamic databases. The static database is a government contracts database, a file on major openly publicized government contracts. The dynamic database is the DMS/Online International Search System, managed jointly by DMS Corporation and Data Resources Incorporated (DRI). DMS Corporation first enters the latest information it has collected into DRI's computer for online search, and publishes it later. Thus, the information provided by the online search system is fresher and more timely. The DMS/Online International Search System has nine databases and three software languages. The databases are DMS Contracts Database, DMS Codes Database, DMS Contractor Database, DMS Market Quotations Report Database, DMS Official Defense Documents Database, DMS Communications Database, DMS Daily News Database, Daily Business Report Database, and DMS Contract Analysis Database. The languages are ABSTRACT, TEXT, and EPSPLUS RETRIEVE. Simple, single-word searches or complex market analyses can be conducted form most standard terminals.

 

   China North Industries Science and Technology Information Research Institute has signed a contract with DMS Corporation whereby the institute can use its terminals to conduct searches on the DMS/Online International Search System.

 

   The various kinds of data provided by DMS Corporation (including its publications, databases, and verbal information from conferences) are important sources of information for researchers of development strategies for national defense S&T and weapons and equipment, and for people engaged in arms production and arms trading.

 

 

   X. Jane's Publishing Company, Ltd., 238 City Road, London ECIVZZU [as published], England, and Jane's annuals.

 

   The history of Jane's can be traced back to 1898, when the first Jane's Fighting Ships annual was published. The annual was compiled by artist and naval reporter Fred T. Jane. It was purely a private undertaking, with no government financial assistance. In 1985 Jane's Publishing Company set up Jane's Information Services, Ltd.

 

   Jane's is a world-famous military publisher. Its specialty is the publishing and distribution of various reference books, including its annuals, handbooks, guides, and encyclopedia. Besides these, it also publishes periodicals and books. Jane's is an information dissemination source.

 

   The best known of Jane's publications are Jane's annuals, of which there are about 15 types. They are famous for being accurate and authoritative. They can provide full information on the defense equipment of armies, navies, and air forces worldwide, and on their means of transport. Public opinion considers news published in Jane's annuals to be true. The content of the annuals is verified repeatedly. The books contain a large number of photos and photo captions. To prevent the compilers from mixing in their own views and commentary, and to prevent criticism or bias toward any country or group, all explanations use original source material or original wording. Each year's annual revises and supplements material in the one from the previous year to reflect new developments in technology and the current state of affairs. Because of the accuracy of the content and the excellence of the text and illustrations, the books are always highly regarded by information organizations and information researchers in various countries, which consider the books to be valuable sources of information. It is understood that many countries use Jane's annuals as their basic reference material when compiling weapons handbooks. 

 

   The periodical Jane's Defence Weekly also gets a great deal of attention from defense S&T personnel the world over.

 

   The China National Defense S&T Information Center archives the vast majority of Jane's annuals.

 

 

  

   XI. Periodicals

 

   "Periodicals" refers to serialized publications issued at regular or irregular intervals, with the interval between issues not exceeding one year. Periodicals have the following characteristics:

 

   1. They use the same name for a long period of time.

 

   2. They are serials, with each edition having a sequence number (volume and issue), or a date (month and year), or both.

 

   3. Each has a format, binding, and size which it customarily uses.

 

   4. It has numerous writers, with each issue having at least two essays.

 

   Periodicals are also called magazines.  The word "periodical" focuses on its cyclical nature, while "magazine" emphasizes the nature of its content.

 

   A periodical's publishing cycle is short. Articles are published quickly, in great numbers, with content that is fresh and incisive, and which touches a wide range of topics. Thus a periodical can quickly reflect the worldwide level of development and trends of science and technology. Most articles in periodicals are original documents which have not been reorganized. Many new research accomplishments and trends are reflected first in periodicals. Although some of these still have not come to a conclusion and are merely preliminary or status reports, they are quite valuable to readers as starting points and reference material. All S&T personnel, and especially information researchers, should read periodicals frequently and from them learn of trends, understand progress, open up new lines of thought, and absorb accomplishments already made. This includes defense S&T personnel. According to estimates, the S&T information obtained by S&T personnel from periodicals constitutes about 60% of all such information, and as for information researchers, over 80% of their information comes from periodicals.

 

   Producers and distributors of periodicals are to be found everywhere, and are too numerous to describe. There are many types of periodicals. The types of periodicals which different types of researchers in different academic fields frequently use are not the same. In this regard there persists a "core periodicals effect," which is to say, a large number of scientific essays in a particular field become concentrated in a small number of S&T periodicals.

 

 

   XII. Books

 

   Books have a long history, and yet there is still no commonly accepted definition of a book. Some countries today, as well as the United Nations Educational, Scientific, and Cultural Organization, call a published item of more than 49 pages a "book," and an item with between five and 49 pages a "pamphlet." Other people call a book a "monograph."

 

   A book is mainly a summarization and explanation of S&T research accomplishments and knowledge and experience about production technology. Its content is in the nature of a summary, knowledge that has been reorganized. In terms of timeliness, the knowledge reported in a book is older than that in periodicals. However, the knowledge presented in a book is normally more mature, systematic, and comprehensive than in other publications, because the writer has selected, verified, and appraised it, and achieved a comprehensive understanding of it. In light of these characteristics, books frequently become sources of information for researchers of foundational theories, and for special topic researchers.

 

   Examples are the U.S.-published books Space Laboratory; Nuclear Weapons Data Handbook; Future Tanks; Electronic Warfare; Strategic Defense Plan; and Soviet Military Power; the Soviet-published books U.S. Military Power; Japanese Military Power; Star Wars: Fantasy and Danger; Naval Power of Various Countries; Military Power of Major Capitalist Countries; and Modern Japan's Integrated Military Production.  Books such as these are very valuable references in research of national defense S&T topics.

 

   XIII. Conference Papers and Their Intelligence Value

 

   1. Summary of the status of S&T conferences

 

   Academic conferences are excellent forums for the exchange of academic ideas and S&T accomplishments. Attending academic conferences is an important channel and an effective way to obtain information first hand. With developments in science and technology, there is more and more exchange of scientific research accomplishments and mutual deliberation of newly discovered activities in the field of S&T among those who work in it. Many of these activities are revealed by way of public lectures or seminars. According to the French Chamber of Commerce, about 4,000 international conferences were held throughout the world in 1973. According to a report from the American Institute for Scientific Information's Index to Scientific & Technical Proceedings, over 10,000 S&T conferences were convened throughout the world in 1984, of which [missing text] published conference proceedings. According to statistics, currently in the United States over $50 million a year is spent on convening S&T conferences, one-eighth of the government's total spending on S&T. On the average, about three S&T conferences take place every day. Taking the American Institute of Electrical and Electronics Engineers (IEEE) as an example, in 1984 it sponsored over 300 conferences on electronic technology. 

 

   S&T conferences can generally be classified on three levels:

 

   (1) Basic level conferences. These are specialized S&T conferences held by S&T institutes, laboratories, institutes of higher learning, companies and enterprises, government organizations, military organizations, etc. Conferences at this level are smaller, but highly specialized. They take place sooner than national or international conferences on that field of study. Many basic level conferences are held on dates which are not announced in advance, and after the conference no conference minutes are published. Most papers which are difficult to acquire are from this type of conference.

 

   (2) National conferences. Most conferences of this type are convened by national associations or societies, or by several organizations acting in unison. Some regional conferences in the United States, such as the Western Conference on Electronics, fall in this category.

 

   (3) International conferences. These are convened by international organizations, or jointly by organizations in several countries.

 

   S&T conferences can be put into eight major categories:

 

(a) Congresses

(b) Conferences

(c) General assemblies

(d) Seminars, not to include lecture series

(e) Symposia

(f) Workshops

(g) Working groups, discussion groups, or expert groups

(h) Committee

 

   Actually, conferences go by even more names than this, such as conventions, meetings, institute or course, round table, etc. These can normally be called in general, conferences.

 

   2. Introduction to Conference Documents

 

   By conference documents is meant essays or reports falling within a certain scope, read at a seminar and then compiled and published. They are also called conference notes.

 

   From the planning stage to conclusion, a conference normally publishes the following materials:

 

   (1) Circular.

 

   (2) Conference program.

 

   (3) Advance abstracts, or preprints. Some conferences publish only conference paper preprints, and not conference notes. For example, the above-mentioned AIAA does this.

 

   (4) Conference reports. These are conference outlines or notes issued by conference attendees or sponsors in a journal or magazine during or not long after a conference.

 

   (5) Conference proceedings. These is a published summary of papers issued at a conference. Sometimes the conference papers are appended. They are the formal record of a conference. However, this type of publication is normally not available to readers until three months to two years after a conference.

 

   The format in which conference proceedings are published is not at all standardized. It general it takes four forms:

 

   (a) In periodicals. Published in some edition of a periodical, or in a special edition produced for a conference.

 

   (b) Special compilations of papers. Conference papers assembled into a volume and assigned an appropriate title. Publication in book form.

 

   (c) Conference serial. Publication as a periodic or aperiodic serialized item. Some are published directly according to the sequence of the conference, using the conference's title. For example, Notes from the 10th International Conference on Combustion. Some are published as a book series by way of an academic group, such as the papers from the 18th Conference of the U.S. National Space Society, included in the group's Progress in Interplanetary Space Flight and Aviation Science, Volume 77, published in 1981. 

 

   (d) S&T reports, published by some government organization or industrial or commercial enterprise.

 

   Organizations which publish conference notes can be classified as five types:

 

   (a) Research organizations of enterprises, including research institutes and laboratories belonging to enterprises, as well as associations and federations under the enterprise.

 

   (b) Government departments, including research organizations subordinate to government departments, and international organizations among governments.

 

   (c) Academic groups, including specialized societies and associations.

 

   (d) Publishing companies.

 

   (e) Publishing houses of universities and other institutes of higher learning.

 

   Of the above five types of publishing organizations, the one publishing the greatest volume of conference notes is academic groups. Publishing companies come second. The vast majority of publishing organizations tend to use serialized formats for the publication of conference notes, or they publish them in specialized periodicals. Only publishing companies and some university publishing houses are interested in publishing conference notes in book form. Normally academic groups do not publish conference notes in book form (or at least such books are hard to obtain). As for conference notes published in the form of S&T reports, government departments are practically the only organizations which use this format.

 

   Of the above five types of conference materials [circulars, programs, etc.], the main type of materials for research use are a conference's formal record, its conference papers or notes. However, when conference papers cannot be published promptly or at all, advance abstracts and preprints have a certain usefulness in making up for this, or can serve as replacements.

 

   3. The intelligence Value of Conference Documents

 

   Papers read or issued in writing at a seminar are normally more academic, with more novel content. Major discoveries in some fields of learning are often first made public in this sort of forum.

 

   Academic groups normally invite to their conferences groups or individuals whom the group believes have achievements to their credit. The papers delivered at conferences by these groups or individuals are all subjected to rigorous examination and selection by the academic group. Thus these papers are of very high quality. They may be prompt reflections of the newest developments (new discoveries or achievements) in research activities in a certain field of study, and reflections of developing trends in such research activities. With an international conference, of course the papers presented there may reflect the worldwide level and status of a certain field of study, as well as the level and status in each country.

 

   For conference participants, the timeliness of conference papers far exceeds that of other documents.

 

   Besides this, conference documents are rich in content. They are compilations of several essays on one core topic. They touch upon different facets of the same specialty. Thus one volume of conference notes often has reference value for researchers in many specialities. People compete to be the first to read them.

 

   In light of the great intelligence value of conference documents, they are attracting more and more attention from S&T personnel. A researcher at a certain university in Beijing had this appraisal for the Notes from the 1983 IEEE Conference on Acoustics, Language, and Signal Processing: "It affords an opportunity, and convenient conditions, in which to learn about the latest foreign scientific research achievements and trends in digital signal processing. It will be one or two years before some of the papers are published openly in IEEE periodicals." (Note: IEEE normally publishes conference notes prior to or at the start of a conference.)  Or, in the appraisal of notes from a certain conference by an S&T researcher from a certain ministry, "This collection of papers explains the latest developments in defense electronics research. It represents the advanced foreign level in this field. Some of these papers state principles clearly, explain advanced technology, and have detailed block diagrams. They are very valuable to our S&T workers." From the two examples above, we can see that the intelligence value of conference documents is out of the ordinary.

 

   4. Problems and Difficult Points about Collecting Conference Papers

 

   The major information centers of all countries now make it a point to collect conference papers. At the same time, they all feel that doing so is a headache. The major problems and difficult points are:

 

   (1) Order receipt rates are not high, and it is hard to assemble complete sets of conference papers in a series. The reasons for this are:

 

   (a) The convenors of some conferences, especially international conferences, have no fixed, standing organization or office address, and there is no way to contact them after the conference.

 

   (b) The times when conference notes are published are irregular. Some notes are published two to three months after the conference, and some not for one or two years. By making contact early, one may find that notes have not been published yet and cannot be ordered. Making contact later, one may find that they cannot be supplied because they are sold out or out of print.

 

   (c) Picking up clues to how conference notes are published is difficult. It is difficult to obtain prompt and complete information about conference notes, first because publishing organizations are many and varied, and second because news about the publication of conference notes is scattered. In particular, no news is published about many basic level conferences, and so naturally people on the outside have no way of knowing about them.

 

   (d) With some conferences, the original plan for publishing conference papers later changes, and they are not published. Some basic level conferences do not publish notes at all. Others publish only preprints, and not conference notes.

 

   (e) Most of the time the print run for conference notes is small, and cannot meet demand. Some sets of conference notes are basically only provided to conference attendees.

 

   (f) Notes from a small number of conferences have limited distribution.

 

   (g) Procedures for purchasing conference notes are loaded with trivial detail. A mistake made at any juncture means the whole effort is wasted.

 

   (2) Receipt is slow. The main reasons for this are that ordering procedures are complex and channels are not smooth. This means that some urgently needed conference notes cannot be ordered and received quickly.

 

   (3) The problem of duplication is significant. The reasons are:

 

   (a) Reports are not clear. The same conference may be reported by several names without reference.

 

   (b) Sometimes the same set of conference notes may be published in several forms, such as a special edition of periodicals and a report by some organization.

 

   (c) In terms of methods of procurement, there may be a conflict between ordering a single item and ordering a complete set of an organization's publications. This can easily lead to duplication.

 

   (d) When a conference is convened jointly by several organizations, sometimes they all have the right to publish conference notes.

 

   In summary, obtaining news about relevant conferences and discriminating among and collecting conference documents is a deep subject. People engaged in collecting conference documents put a lot of effort into searching. The various organizations which do this work each have their own set of effective methods and their own experiences, although their methods await further improvements and supplements.

 

   XIV. China National Defense S&T Reports

 

   1. Since China was founded, China's national defense S&T effort has developed by leaps and bounds. Along with this development, we have achieved many scientific research successes. We have innovated many theories and methods, and we have summarized many experiences and lessons learned. If we take these things and promptly assemble them into S&T reports, put them in order, and circulate and apply them in society, then this will create an even more enormous amount of wealth. This can redouble the effectiveness of China's national defense S&T effort with no need for additional investment.

 

   Currently, many S&T information organizations in China use a great deal of Chinese language national defense S&T reports or other types of Chinese language materials. Judging from usage, the borrowing rate of these materials is far higher than that of similar foreign language materials, and facts have proven the information value of establishing a system of China National Defense S&T Reports.

 

   In recent years, leaders and scientific researchers in many organizations have recognized this point in full, and they are putting forth a great effort toward laying the foundation for the establishment of a system of National Defense S&T Reports for their organization. The national level is also taking action on the establishment of a China National Defense S&T Reports system.

 

   Along with the development of the effort and the passage of time, China National Defense S&T Reports are becoming fresh troops in the effort to find sources of information on national defense S&T. They will certainly display their exuberant vitality more and more.

 

   2. Brief Introduction to China National Defense S&T Reports

 

   (1) What are China National Defense S&T Reports?

 

"China National Defense S&T Reports" is the general term for S&T reports produced in the course of defense scientific research, testing, production, and operations and training, and then processed and organized. They include scientific research reports, technical reports, reports on experiments, testing reports, etc. The object in establishing a system of China National Defense S&T Reports is to accumulate and disseminate S&T achievements, to promote the exchange and development of national defense science and technology, and to make these things better serve national defense modernization and the construction of the civilian economy.

 

   (2) Sources of China National Defense Science and Technology Reports

 

   China National Defense S&T Reports mainly come from the various organizations involved in the research, development, production, testing, and use of weapons and equipment, from the various professions of the national defense S&T industry, and from the various national defense professional associations and societies and information network stations.

 

   (3) Classification and Numbering of China National Defense S&T Reports

 

   China National Defense S&T Reports have five classifications; namely, open, for internal use, confidential, secret, and top secret. The level of classification is determined by the organization producing the S&T Report. Declassification or lowering the classification is the responsibility of the producing organization.

 

   China National Defense S&T Reports have a unified numbering system. The serial number consists of two parts, a Chinese Pinyin designator and an Arabic number. For example, in GF-830001Mc, the designator GF is the first letters of the Chinese Pinyin words "Guo Fang" (national defense). Thus, China National Defense S&T Reports are called for short, "GF reports." In the Arabic number 830001, "83" stands for the year of archiving and "0001" is the sequence number by which that report was archived that year. The Chinese Pinyin letter at the end, "M" stands for the character "mi" in the classification "confidential" [mimi]. "Mc" stands for confidential, "Mb" stands for secret, and "Ma" stands for top secret.

 

   (4) Reporting and Searching China National Defense Science and Technology Reports

 

   The reference book for reporting and searching China National Defense S&T Reports is the China National Defense S&T Reports Notice and Index [Zhongguo Guofang Keji Baogao Tongbao Yu Suoyin].

 

   The China National Defense S&T Reports Notice and Index is a topic list format search publication, without abstracts. It records catalog number, volume and issue number, title, subject, name of group and individual authors, report date, and page count.

 

   The Notice and Index divides the content into 20 major categories:

 

General science

Missile technology and space technology

Aviation

Propulsion and combustion

Navigation and guidance

Communications and sensing

Nuclear technology

Military science

Ordnance

Mechanical engineering and other engineering

Electrical engineering technology and electronic technology

Computers and mathematics

Materials

Physics

Chemistry

Astronomy

Geoscience

Biology and medicine

Research and equipment

Common concepts

 

   Reports are listed under the related category. Each issue reports on about 1,000 items. At the end of each issue is a keyword index and a conference report index.

 

Chapter 5   Consumer Intelligence Needs Studies

 

 

   Intelligence consumer studies refer to studies of the consumers of intelligence.

 

   Intelligence consumers are consumers of intelligence or information, including all individuals and organizations that use intelligence or information in the course of scientific research, technological work, production, or management. We refer to the former as individual intelligence consumers and the latter as institutional intelligence consumers. We loosely refer to both as intelligence consumers, or consumers for short. Intelligence consumers are both the consumers and the creators of intelligence and information. Consumers are the reason intelligence exists and has practical value.

 

   The study of intelligence consumers covers a broad area, including the study of the intelligence needs of consumers, the study of the psychology of consumers, the study of the acquisition of intelligence by consumers, the study of consumer intelligence assurance, and the study of consumer training.

 

   Every stage in intelligence work and information work, whether it is the gathering, processing, storage, indexing, or circulation of intelligence, or intelligence studies, is most closely related to consumer studies. However, the emphasis differs from stage to stage. As far as collection is concerned, the emphasis is on the study of consumers' intelligence needs. Today intelligence consumer studies exist as a unique field in intelligence studies and consumer needs studies is one of the key basic research areas in collection studies.

 

   Section One -- Basic Concepts

 

   I. General Human Needs and Intelligence Needs

 

   Consumer intelligence needs are part of general human needs. The theory of consumer intelligence needs was first based on the general theory of human needs. According to Maslow, the well-known American psychologist who founded behavioral science [sic], man has five needs, namely physical needs, need for security, need for social interactions, need for esteem (both self-esteem and esteem from others), and the need to actualize his own ideals. These five needs change in order. As one need is satisfied, the next need in line intensifies. Ultimately the need to actualize one's ideals becomes the most powerful of all. This is the well-known Maslow theory of need system.

 

   As society advances and production grows, the first four human needs are more and more satisfied. Meanwhile, man's high-level need, namely the need to realize his ideals, also reaches its most intense point. Man realizes his various ideals by engaging in all sorts of creative endeavors, the most important of which are science, technology, production, and management. The need to solve the miscellaneous problems man encounters in his creative pursuits gives rise to the need for specialized knowledge. When man searches for a shortcut to scale the pinnacle of science and technology, he must learn from the experiences of his predecessors to avoid reinventing the wheel. Hence the urgent need for full and accurate intelligence or information. Simply put, this objectively existent need for intelligence or information is consumer intelligence needs or consumer needs.

 

   II. Intelligence Needs and Intelligence Behavior

 

   Typically, a person (or organization) with a need for intelligence  would engage in various types of intelligence behavior, including formal and informal scientific exchanges, in order to obtain the necessary intelligence or information. We refer to the actions taken by an individual (or organization) to acquire intelligence or information as intelligence behavior. A consumer's intelligence needs give rise to and regulate the consumer's intelligence behavior.

 

   What kind of intelligence behavior does a consumer engage in? Let us analyze it using a diagram developed by F.D. Wilson, a British intelligence expert.

 

   This diagram outlines the kind of intelligence behavior a consumer may engage in. Lines with pointed arrows represent possible lines of inquiry. There are four interrelated sets:

 

[Diagram omitted]

 

   1, 2, 3, 4 indicate lines of inquiry where the consumer does not rely on any intelligence organization. We can call them Type A lines;

 

   5, 6 indicate lines of inquiry where intelligence organizations are relied on. Here the word "intermediaries" refers to research personnel or material workers and the word "technology" refers to card catalogs, bibliographies, computerized indexing equipment, and other indexing tools. We may call them Type B lines;

 

   7, 8, and 9 indicate lines of inquiry where intelligence research personnel or data workers are relied on to satisfy a need. We may call them Type C lines;

 

   10, 11 indicate lines of inquiry where the consumer directly uses inquiry facilities or equipment.

 

   It is clear from Diagram 5.1 that apart from Type A lines, intelligence or information must be obtained through intelligence organizations in all other lines of inquiry. Intelligence organizations occupy the position of an intermediary, serving as a bridge to satisfying the consumer's needs. Through the intelligence organization, the consumer has access to knowledge not yet recorded as well as tangible recorded knowledge. In our so-called era of "information explosion," when science and technology is highly advanced, no consumer can rely solely on his own abilities; he has no choice but to turn to intelligence organizations. Hence the important place of intelligence work in the process of scientific and technological development.

 

   III. Consumer Intelligence Needs Studies

 

   The study of consumer intelligence needs simply means figuring out consumer needs and the characteristics of a consumer's intelligence behavior and determining if they exhibit some patterns. Naturally, man's intelligence behavior is inseparable from his psychology. Thus when we study intelligence behavior and its patterns, we inevitably have to examine the psychological side as well.

 

   IV. The Rise of Consumer Intelligence Needs and Their Cyclical Process

 

   Intelligence needs give rise to and regulate intelligence activity. When people engage in all sorts of creative activities to obtain the necessary intelligence or information, their creative activities advance into even newer territories and scale even newer heights, which, in turn, gives rise to new intelligence needs, and the cycle repeats itself endlessly. The diagram below illustrates the birth of consumer intelligence needs and their cyclical process.

 

[Diagram omitted]

 

   Section Two -- Significance of Consumer Intelligence Needs Studies

 

   Consumer intelligence needs studies are an important field in collection science and collection work. Every intelligence system must be connected to a given set of consumers. The consumer is the be all and end all of an intelligence system. As the first link in intelligence work, collection work is even more closely linked to the consumer. Consumer intelligence needs are the basis and purpose of collection work.

 

   I. Consumer Needs Studies Point up a Direction for Collection  

 

   As he goes about collecting materials, the first question the collector confronts is this: Whom am I collecting for? What am I collecting? A collector cannot collect at random. The basic purpose of consumer intelligence needs studies is to answer these questions. Consumer intelligence needs studies help familiarize collection personnel with their own consumers and get a firm grip on their intelligence needs. As a result, their collection work would be highly relevant.

 

   II. Consumer Needs Studies Must Be Conducted if the Cost-Effectiveness of Collection Is to Improve

 

   Raising the utilization rate of materials is an oft-discussed topic in China. Judging from survey data collected by the various units, the materials circulation rate generally hovers around 10 percent, regardless of the size of the organization. In other words, between 85 and 90 percent of the information does not live up to its potential as intelligence. There is a major gap between the sources of intelligence and intelligence consumers.

 

   This problem is not unique to China but is something that raises eyebrows around the world. According to statistics published in the Soviet newspaper Pravda, between 70 and 80 percent of the materials in all Soviet libraries were unutilized, 43 percent of the materials in the All-Soviet Library of Science and Technology had never seen a reader, and over 50 percent of the books in Lenin Library had never been used. Let's take a look at the United States. Of the 36,892 books acquired by Hillman Library at Pittsburgh University in 1969, 39.8 percent have never been checked out once, 14.3 percent have been checked out once, 8.3 percent had been checked out twice, and only 2 percent have been checked out more than seven times. Of the books acquired between 1968 and 1975, 48.37 percent have never been touched.

 

   Liu Qinzhi, deputy director of the School of Information Science at Siemens [phonetic] University in the United States, said it well, "The modern library is not a place for storing books. More does not mean better and more complete does not mean better either. Whenever I visit a library, I am told it has a collection of such and such a number of books dating from such and such a year. I nod politely but when I see the thick coating of dust on the gilt-edged volumes, I wonder inside, 'How come?'"

 

   What is the cause of this? One reason has to do with the training of intelligence consumers, another with the way intelligence units and libraries have been publicized. But the foremost reason is the power of inertia exerted by the library-as-book-warehouse philosophy. Regardless of their size, all materials-collecting units strive to be "big and comprehensive." They pride themselves on the size of their collection. The more materials they have, the more powerful they feel. Their collection work becomes a blind pursuit of quantity as they disregard economic profits and cost-benefit comparisons. If this goes on for long, we will be making the biggest mistake in our collection work.

 

   Another major reason is that not enough research has been done on consumer intelligence needs. Collection personnel sometimes do want to be selective. One of the rules in collection work is to be "relevant." There are eight characters written on an order form: "Guojia waihui, jinzhen xuanding," which means "be careful what one chooses to buy because it is the foreign exchange of the country one is spending." Because of their less-than-thorough understanding of consumer intelligence needs, however, they often end up acquiring information that should not be acquired or that is dispensable.

 

   As the information industry develops, the industry's managerial personnel and information collectors have become more and more sophisticated and the concept of "supplementing what is necessary with what is complete" is being corrected. All units are adjusting their collection policy, so the above-mentioned problem will be resolved in due course. Against this new backdrop, the status and importance of consumer intelligence needs studies will become increasingly evident by the day.

 

   III. Consumer Intelligence Needs Studies as a Shortcut to Improving Quality of Collection Personnel

 

   Collection work sounds simple. In some departments it is referred to as "procurement," which lacks any scientific flavor. In reality, however, collection work is a scientific technique. Besides mastering the basic theories, skills, and techniques of collection work itself, a collector must be familiar with the subject matter of his own area of work. Collection is not something a college graduate or even a graduate student is fully qualified to do as soon as he takes up the job. It is no exaggeration to suggest that it takes three to five years of practical experience to train a basically competent collector. In addition, if you want to keep getting better as a collector, you need continuing education.

 

   Whether in an intelligence department or library, collection work is not limited to just one discipline or specialty. In the case of the larger organizations, work is divided according to the sources of materials and the type of materials. The smaller the organization, the cruder the division of labor. In other words, besides collecting materials in his own specialty, a collector must also collect materials in other disciplines. The very nature of the work requires collection personnel to be "jacks of all trades." Moreover, as science changes every day and knowledge becomes obsolete at an accelerating pace, a collector cannot keep up with the pace of the times by just relying on what he has learned at college alone. Instead you must broaden the scope of your knowledge and keep updating it. To take a leave of absence from one's job in order to attend a few courses is not the best thing to do. The best approach is to have extensive contacts with the consumers and study their needs in depth. Our personal experience is that by interacting with a consumer, we are interacting with a teacher, and that by studying in depth one particular consumer need, we are taking a specialized course. As we keep on doing this, over time we become "jacks of all trades" in our own fields as well as competent collectors.

 

   IV. Consumer Intelligence Needs Studies as a Precondition for Becoming Versatile Collection Personnel

 

   Collection work is not always procedural routine work. We cannot go to the client and ask for instructions every time we have to decide whether or not to secure an item or a few items, even if they are routine ones. In our collection work in the real world, we often come across situations where circumstances change rapidly, which requires us to be adaptable as collection personnel. Only when we know the consumers' needs like the palms of our hands can we be decisive at critical junctures and acquire good materials for the country and for our consumers at fair prices, materials that have real use for the consumers, not stuff that is simply put away and forgotten.

 

   V. The Pattern of Consumer Intelligence Needs Is a Guide for Collection Personnel as They Collect on Their Own Initiative

 

   We made the various points above from the micro perspective. The central purpose is relevance, that is, collect whatever the consumer needs. But collection personnel need to be more than that. For one thing, this is reactive. For another, there are tens of thousands of consumers, so it is impossible to satisfy all of them. Therefore, not only must collection personnel be familiar with consumer needs, but they must also detect a pattern to such needs. In other words, they must launch studies in collection science: classifying the consumers and identifying key consumers; determining the corresponding relations between consumer type and consumer needs; probing the causes of the rise, change, and development of consumer intelligence needs and their patterns; and identifying the factors that affect consumer intelligence needs, either objectively or subjectively. To put it differently, after studying specific consumer needs extensively, we should look beyond the appearance to grasp the essence and identify the principles or rules that have general guiding significance for collection work. Collection personnel can base themselves on these principles or rules as they take the initiative to collect. That is the way to infuse collection work with energy and dynamism.

 

   VI. Discovering the Patterns in Consumer Intelligence Behavior Would Help Extend the Collection Personnel's "Feelers"

 

   Consumer intelligence needs give rise to and regulate consumer intelligence behavior. Thus, not only must we conscientiously inquire into and study the consumers' intelligence needs, but we must also look into the patterns of consumer intelligence behavior so that we obtain feedback on an objective level, which can then be used to supplement and verify the theorems or rules we have developed relating to consumer intelligence needs.

 

   Discovering the pattern of consumer intelligence needs would also help extend the collection personnel's feelers. For instance, our predecessors drew this conclusion from their studies: "Every intelligence consumer finds the intelligence and information it needs through informal as well as formal channels. In the eyes of some consumers, the informal channels are more important than the formal ones. To date there are still activities such as the 'invisible college.' Informal channels such as the 'invisible college' are highly valued by consumers mainly because of the key role played by some experts in these collectives. The experts are both consumers and a source of intelligence. The consumers' trust is the main reason why we have this kind of information-seeking behavior." Given this law, collection personnel should take pains to discover the "invisible college" that may exist all around them and find out who is the backbone of such a "college." After making such discoveries, they should extend their feelers toward them and put them to full use, both as subjects of study in their consumer intelligence needs studies and as a sources of materials. Collection personnel should tap the materials on the hands of these experts in order to improve the overall effectiveness of collection work and gradually incorporate informal exchanges into the sphere of formal exchanges.

 

   VII. Collection Personnel Should Take Pains to Increase Their Name Recognition among Consumers and Colleagues.

 

   A collector new on the job often says in surprise, "Why hasn't anyone contacted me to talk business? All the phone calls are for the old comrades. They all ask for this or that person by name." Even among old comrades, the situation varies from person to person. Some people are heavily sought-after, while others are ignored.

 

   Those who are sought-after are the winners. They enjoy a high name recognition among consumers. Name recognition is earned when a collector solves a needs-related problem for a consumer. The more problems you solve for consumers, the more people will come to you and the greater your name recognition.

 

   Collection personnel must not shy away from trouble or look upon dealing with consumers as a burden. Instead they must approach consumers in every way possible and effectively help them solve problems relating to the gathering of materials. At the same time they must be adept at discovering a pattern to things through their myriad contacts with consumers. Such a discovery can guide them and their colleagues as they take collection work to a deeper level. There is much research collection personnel need to do; they must not be content just to muddle through. They must painstakingly establish greater name recognition among consumers and people in the same business. In other words, a collector should have the spirit of Gen Xu, but more importantly, the spirit of Zhen Tianyang.

 

   Section Three -- Essential Attributes of Consumer Intelligence Needs

 

   I. Objectivity

 

   Consumer intelligence needs are an objective reality independent of man's will. They are a tangible reflection of social development and progress.

 

   II. Specificity

 

   The specificity of consumer intelligence needs is complex and is affected by two major groups of factors: one having to do with the consumer's own personal attributes and the other with the environment the consumer is in. The first group includes such factors as occupation, academic credentials, job responsibilities, age, his command of a foreign language, specialty, psychology, interests, and expertise. The second group consists of the general and specific policies of the government, the nation's history, cultural tradition, level of scientific development, sources of intelligence, and the state of intelligence services. The specificity of consumer intelligence needs is reflected in many ways, including:

 

   1. Different types of consumers have different intelligence needs;

   2. Because they differ in their objective environments and the responsibilities they assume, consumers of the same type may have different intelligence needs.

 

   3. As a consumer moves from one stage of a project to another, his intelligence needs may change.

 

   4. Some consumers from the same type and in totally identical environments nevertheless may have different intelligence needs. This is because they have different personal interests, specialties, and "ideals." Hence the diversity of their intelligence needs.

 

   5. Some consumers belong to the same type and the same objective environment, undertake similar responsibilities, and have similar interests and specialties. Nevertheless, because they vary in personal background, experiences, and habits, their intelligence needs each have their own special characteristics. Take a most simple example. A professor who has studied in Germany often first inquires about the situation in Germany, while a professor who has studied in Japan would first inquire about the situation in Japan.

 

   The complexity and diversity of consumer intelligence needs and the difficulty of consumer intelligence needs studies are inherent in the specificity of consumer intelligence needs.    

 

   III. Dynamics

 

   As noted above, as society advances, so do intelligence needs. Intelligence needs are born of the objective problems in real life that need to be solved. In return, Intelligence needs provide feedback to help solve real problems. This cycle keeps repeating itself, each time pushing consumer intelligence needs to a higher level.

 

   IV. Time-sensitivity

  

   That is, there is a time and speed dimension to the consumer's need for intelligence and information.

 

   Section Four -- Consumer Intelligence Needs Studies: What It Consists of and the Forms its Achievements Take

 

   From the perspective of collection science, the first thing the worker should do in studying consumer intelligence needs is to examine the specific features of consumer needs and figure out exactly the basic characteristics of the consumers within the worker's area of responsibility and their actual needs and establish an appropriate consumer record and consumer needs record. This is the achievement of consumer intelligence needs studies at the primary level. Next the worker should create a consumer database and consumer intelligence needs database by using the computer. Such databases, which would make information storage, retrieval, and utilization more convenient for collection workers, are the achievement of consumer intelligence needs studies at the intermediate level.

 

   It is worth noting that because of the dynamic nature of consumer intelligence needs, such records and databases must be revised and amplified continuously to ensure that they are usable and up-to-date.

 

   At an even higher level, the student of consumer intelligence needs explores the intrinsic laws of consumer intelligence needs and intelligence behavior in light of the uniqueness of consumer intelligence needs and searches for the theorems or rules that have general guiding significance for collection work. This point has been discussed above.

 

   Advanced-level studies also involve exploring the degree of dependency of each type of consumer on the various sources of intelligence and materials, that is, their interrelationship; shedding light on the relative intelligence value of a source of intelligence or information; and scientifically determining the kind of information and the amount of information one's department should collect and the channels one should open up. This piece of research is long-term and incremental. Moreover, it needs to be adjusted regularly as one's task and consumers change in order to maximize the cost effectiveness of collection work.

 

   When we investigate interrelationships, we can only do so on a macro level from the perspective of a group of consumers. No collector is ever able to satisfy each particular need of every consumer.

 

   Certainly, methodological research too is an important part of consumer intelligence needs studies. There is no question that scientific methods will lead to even more reliable research results.

 

   Section Five -- Assessment Standards for Consumer Intelligence Needs

 

   In this context evaluation criteria refer to the starting point from which to study and evaluate the uniqueness of consumer needs and explore their intrinsic patterns.

 

   I. Consumer-Based Indicators

 

   Among these indicators are occupation, job responsibilities, job title, specialty, educational standard, command of foreign language, intelligence training, and age. Because these attributes often determine the main attributes of intelligence needs, they should be investigated as a major part of consumer intelligence needs studies.

 

  

   II. Types of Intelligence Required by Consumers

 

   Do they need intelligence or information? Dynamic intelligence, data intelligence, or special-topic intelligence? If they need information, what kind of information? Periodicals, books, or scientific and technical reports? Primary materials or secondary materials? Here the emphasis is on investigating the consumers' opinions and evaluations of the various types of materials (and sources of intelligence).

 

   III. Topics and Content of Intelligence or Information Needed by Consumers Today and in the Future

 

   Which discipline? Which specialty? What is the subject matter? What are the contents? The more specific, the better. When a consumer has a few leads, he should be asked to provide as much information as possible, such as the title of a book, the name of the publishing unit, the name of the department or individual, Chinese or overseas, who has been researching the topic in question, and the name of the department or individual, Chinese or overseas, who may have possession of the materials in this area.

 

   IV. An Indication of the Amount of Intelligence or Information Needed by the Consumer.

 

   V. An Indication of the Year or Years in Which the Required Intelligence or Information Were Published and an Indication of the Time Frame within Which They Must Be Obtained.

 

   VI. Consumers' Demand that Intelligence and Information be Accurate, Continuous, and Cumulative

 

   With collection work as the starting point, we have listed six evaluation criteria above. However, it is not necessary for a collector to use all six criteria every time a collector conducts a study, with the exception of the consumer's own criteria. Instead he may select some or all of them based on the subject matter and objectives of his own research and his priorities.

 

   Section Six -- Types of Consumer Intelligence Needs and their Relations with Collection Work

 

   Consumer intelligence needs may be classified in many ways, such as general needs and specific needs, current needs and long-term needs, actual needs and potential needs, and knowledge-based needs, news-based needs, and data-based needs.

 

   From the collection worker's perspective, we think that classifying consumer needs based on their relations with collection work has even greater practical instructive significance for collection work. Accordingly we have classified the relations between intelligence needs and intelligence work as follows:

 

[Diagram omitted]

  

   The so-called "demand for known materials" in Figure 5.3 refers to a situation where the consumer knows the name of the database, the title of the book, or the author of the book, or a situation where the document number (such as scientific and technical report number, technical standard number, or patent number) is already known. In these cases, the required intelligence or information can be searched by following the known lead or through a directional search. "Subject need" refers to the need to search for materials relating to a particular subject or discipline through formal or informal channels or for oral materials. In this case, the consumer may have some lead to the materials he needs or he may have no such knowledge at all, making it necessary to do a "subject determination topic search." So-called "dynamic intelligence," special topic intelligence, and database intelligence refer to active answers to scientific and technical questions, not vehicles of intelligence.

 

   Section Seven -- The History and Current State of Consumer Intelligence Needs Studies

 

   I. A Brief History

 

   Consumer intelligence needs studies originated in research on library consumers. It has been 40 years since Bernal and Urguhari presented their consumer survey report at the British Royal Society's scientific information conference in 1948.

 

   In the early days the primary focus of consumer intelligence needs studies was the way readers made use of magazines. Bernal, for instance, studied eight research organizations and conducted a survey on 208 scientists using the questionnaire survey method. These 208 scientists specialized in a variety of fields, most of them in 15 disciplines. They were asked to name the magazines they read, their purpose of reading those magazines, the reason for reading them, and the results of reading them. The subjects of study were the readers who checked out magazines from the library at the British Museum. The questionnaires were distributed to them along with the magazines they checked out in order to find out their utilization of magazines. Most of the respondents specialized in about a dozen fields. Research in this period mostly focused on magazine use. Compared to the broad spread of specialties represented, the samples were quite small.

 

   Consumer information needs studies gradually became a popular topic in the information science community starting in the late 1950's. The contents and depth of the studies became more sophisticated. Over time this area of research earned its place as a basic area in library science and information science.

 

   This period gave rise to a number of influential reports. In 1958, Tornudd presented his research report at an international academic conference. He identified the following as factors influencing consumer information needs: the ease or difficulty with which information was obtained, occupation, research environment, academic credentials, and specialty. His contribution to consumer information needs studies was enormous. Subsequently Menzel came up with his critique. He divided previous study reports into three groups: 1) surveys on hobbies and requirements; 2) information utilization studies; and 3) information exchange distribution surveys. Menzel's classification scheme was widely accepted at the time as a more appropriate scheme. In his report, Paisley noted that information consumers were the principal players in search of information in the various systems and emphasized the need to each define his conceptual frame of reference. Other influential reports of this period included a study by the American Psychology Association, a study by Johns Hopkins University on the exchange of information among social science researchers, and a survey on social science workers at Basi [phonetic] University.

 

   Currently hundreds of information scientists in the United States, the Soviet Union, Britain, Japan, Denmark, Finland, and other countries are engaged in research in this area each year, producing hundreds of papers thus far. To fund its study on consumer information needs, the United States goes so far as to appropriate hundreds of thousands of dollars, which shows the degree of importance it attaches to this piece of work. Some units in the United States have begun setting up consumer studies center. At Xiefeierde [phonetic] University, for instance, the consumer studies center has been actively collecting the results of consumer research in countries around the world, at the same time producing several case studies on its own.

 

   Consumer information needs studies had a late start in China. It was not until the 1970's that it captured the attention of the general public and it was not until the early 1980's that substantial progress was made. The systematic conduct of consumer information needs research did not come about until 1983. Today many departments and units have organized specialized studies and some publications devote special columns to articles in this field. A 1986 study on seven publications, namely Qingbao Xuebao, Qingbao Xuekan, Qingbao Kexue, Qingbao Kexue Jishu, Qingbao Yewu Yanjiu, Qingbao Zazhi, and Tushu Qingbao Zhishi found 45 articles dealing with consumer studies, 8.81 percent of all articles in the publications. While the number of articles in this field is substantial, their contents are more or less the same. Most of them are general papers, which shows that research in this area has yet to be deepened.

 

   II. Current Situation

 

   There is universal agreement that in the field of information science, the "information consumer" is the most studied area other than information indexing. Its history goes back 40 years and research in this area has produced a bumper crop of achievements. It has earned its place as a basic subject in library science/information science. However, many information scientists still consider it an immature discipline and complain that research in this area has not yet produced the expected results. Tsuda Yoshinari of Japan wrote in his book, "An Introduction to Library Science-Information Science," "It is often said that the objective of consumer information needs studies is to design and improve information systems, but very few are actually put into practice. What is particularly amazing is that in the absence of data on consumer information needs, many information systems have been  designed and improved." This statement may be a little exaggerated, but does reflect the sense of dissatisfaction with research results.

 

   In our work in the real world, we also frequently come across mutually contradictory study results and feel less than confident about some research data. As we read books on information science, whether Chinese or foreign, we often find descriptions of the characteristics of the intelligence needs of various types of consumers. After reading them, we often get the sense that the studies are too crude, too general, and too imprecise and have little instructive significance for practical work. This is why we think consumer intelligence needs studies are still in the preliminary stage and have yet to develop in depth. An unremitting effort on the part of intelligence workers is still called for.

  

   Why is this so? Apart from the complexity of the issue itself, there are these reasons:

 

   1. There is no widely acceptable and mature methodology so far. So it is difficult to draw universally recognized scientific conclusions. Every method in use today has its limitations. As a result, many research results are mutually contradictory and cannot serve as a guide.

 

   2. There is no ideal cooperation from the subjects of study. This matter sounds simple, but it is hard to resolve. Many consumers do not truly understand that when they answer the questions conscientiously and accurately, they themselves will benefit in the future. On the contrary, for a variety of reasons, they regard the questionnaire from the intelligence department as an additional burden, so they set it aside and ignore it. Alternatively, they may answer it perfunctorily, not truthfully. This prevents research personnel from drawing scientific conclusions of general significance and even misleads them into believing that false appearances are the truth.

 

   It is necessary for a host of enthusiastic consumers (both actual consumers and potential consumers) to directly participate in consumer intelligence needs research. They need to enthusiastically and truthfully describe their situation or join the ranks of researchers outright. Only that way can consumer intelligence needs studies take an epoch-making step forward and only thus can the conclusions we draw be scientific and practical.

 

   3. Research is conducted in a way that is too fragmented. What is lacking is a series of rigorous control measures. As a result, the data obtained is piecemeal, incomplete, and hard to compare. Units or individuals that organize the studies lack full confidence in the data gathered and other departments and research personnel simply do not know what to make of it. Accordingly some people of insight have proposed organizing international studies and launching extensive international cooperation. E. Tenud of Denmark, for instance, proposed organizing a large-scale international survey on all types of information consumers in all the countries using operational research methods as a way to amplify information consumer studies. We think it may be a tad premature for China to engage in international cooperation, but at a minimum we should initiate cooperation on a larger scale within China. For instance, if all the large intelligence units in China can join forces to formulate rigorous measures and launch consumer studies, that will greatly improve the infrastructure of information consumer studies in China.

 

   4. Neglect of theoretical research. The overwhelming majority of consumer researchers have a very narrow objective. They may be prompted by departmental needs to search for specific ways to improve intelligence work or they may be interested only in finding the optimal design for intelligence organizations or networks. Only a handful of researchers devote themselves to probing the pattern of consumer intelligence needs and intelligence behavior and concentrate on theoretical development. This tendency to over-emphasize immediate payoffs and neglect theoretical studies has hindered the development of consumer research and does not bode well for the development of the discipline. It is the direct mission of scientific research to bring to light the objective laws of a thing. Only the discovery of objective laws and scientific theorems has universal practical significance and higher instructive value. It is shortsighted to judge the value of scientific research by its current value. Nobel Laureate C. Taoensi [phonetic], the American physicist, said, "To look upon science merely in terms of its practical applications is like trying to prove the importance of music for mankind by pointing to its box office receipts."

 

   Section Eight -- Research Methods for Consumer Intelligence Needs

 

   Generally speaking, from the early days of consumer intelligence needs studies to the present, people in the field have mainly used the social science research methods of observation, experimentation, and statistical survey. That is, they chose typical examples on which to conduct a study and then compared, analyzed, and synthesized the survey results.

 

   Before the late 1950's, indirect investigative methods were most commonly used:

 

   1. Conducting statistical studies on the check-out patterns at libraries;

 

   2. counting the documents cited in abstracts and indexing publications;

 

   3. counting the documents cited in books and magazines.

 

   Methods of direct investigation gradually evolved from methods of indirect investigation in the 1960's and came into widespread use:

 

   1. distributing questionnaires to sampled individuals and units;

 

   2. studying consumers and their units;

 

   3. using the diary method. Issue to consumers a diary index on which are printed certain investigation items. The subjects are asked to make daily entries. The diaries will be collected at the end of a set period (such as half a year). Data in the diaries will then be tabulated and analyzed.

 

   4. Actual observation. Investigators were sent to work alongside the consumers and observe and record the way intelligence was obtained and utilized.

 

   New methods that have come into use since the 1970's include the following:

 

   1. Launching a pilot project to test a particular information service. That is, a given service is provided and feedback from the consumers is obtained in order to understand their real needs.

 

   2. Compile charts depicting the organization, functions, and activities of a consumer unit;

 

   3. Know the consumers' activity plans and arrangements;

 

   4. Conduct large-area surveys to investigate not just the consumer but also his subordinates and superiors, co-workers, and associates.

 

   5. Convene seminars bringing together consumers of the same type at regular intervals;

 

   6. Take part in discussions on specific research plan, on the formulation of work plans and technical conferences;

 

   7. Examine consumers' borrowing records and comments. Read correspondence and reports relating to consumers;

 

   8. Apply systems engineering methods. Study consumers in other countries. Analyze and compare the results of various kinds of surveys.

 

   The first issue encountered by those who study consumer intelligence needs has to do with methods. Although information scientists in every country now fully realize the importance of the methodology of information needs studies and although the methods of research have been undergoing continuous innovation in practice, the consensus of the intelligence communities at home and abroad is that there is as yet no mature and widely acceptable research method due to the complexity of the mix of consumers and the limitations of all the research methods now in use.

 

   However, science and our undertakings cannot sit still waiting for methods to mature. In any case a mature research method can only be born of practice. As far as the present is concerned, using the current conditions in China as the starting point and based on what we have learned from consumer intelligence needs studies, we believe that provided they are done properly, a mix of the questionnaire method, the interview method, and information feedback method is the most practical, feasible, and effective way to conduct consumer intelligence needs studies. It can effectively help us determine the principles and objectives of intelligence collection and improve collection work. It can help us launch in-depth consumer intelligence needs studies and search for a pattern. It also yields basic intelligence and information. Below is a brief explanation of each of these methods:

 

   I. Questionnaire Method

 

   The questionnaire method is one of the most common research methods in consumer intelligence needs studies. Its main advantage is that it is simple. The coverage of the survey can be narrow or extensive. The survey is easy to conduct. A substantial amount of survey data can be obtained within a relatively short period of time. It also is quite inexpensive to conduct. Its main drawbacks are these: The return rate is low, not all the questions on the questionnaire form are answered, the questionnaire does not convey the mood of the respondent when he or she is filling out the form, and there is no assurance that the respondent actually understands the questions. The challenge posed by the last two disadvantages to the in-depth study of consumer intelligence needs cannot be ignored because it prevents us from determining the reliability of the data gathered. If we are fully aware of this point as we actually carry out a survey and take appropriate supplementary measures, that would probably go a long way toward clarifying the nature of intelligence needs.

 

   This is how a questionnaire survey is conducted in practice.

 

   1. Clearly define survey objectives. Once objectives are set, we can proceed to design the questionnaire revolving around these objectives, formulating questions at different levels and from different perspectives. Objective-setting is the guide for the entire survey from beginning to end. Before conducting a consumer intelligence needs survey, we must expend enough energies and time clarifying its objectives. Once this is properly done, it will lay a solid foundation for the successful execution of the survey.

 

   2. Define the survey subjects. Decide who are the target of the survey depending on the objective of the survey. If the objective of the survey is to find answers to general questions pertaining to S&T personnel, the subjects of the survey should be the population consisting of all types of S&T personnel or, more specifically, a random sample of this population. If the objective of the survey is to extract intelligence on S&T personnel in a particular discipline or specialty, then the subjects of the study should be confined to this particular population. But this is not enough. We also need to obtain and analyze other pertinent particulars relating to the subjects of the survey, including their occupation, specialty, profession, age, their perception of intelligence work, intelligence behavior, psychological traits, the information environment they are in, and other background information. All these particulars may have a major effect on the objectivity and reliability of survey results.

 

   3. Determine the sampling principle. Generally speaking, random sampling based on the various particulars of the survey subjects is enough to ensure the representatives of the sample. In practice there are four major sampling methods:

 

   (1) Simple Random Sampling. Sampling is done within the population based on the random sampling principle.

 

   (2) Layer Sampling. The advantage of this method is the ability to increase the representativeness of the sample and avoid the over-representation or the non-representation of a particular characteristic that happens with simple random sampling. For instance, S&T personnel may be divided into several levels based on a given survey principle. Next the size of the sub-population can be the size of the S&T personnel at each level as a percentage of the total population of S&T personnel. As for the way levels are divided, that can be determined by the set objective of the survey.

 

   (3) Grouping Random Sampling. Under this sampling method, the region to be surveyed is divided into certain sub-regions, the composition of the personnel in each region being almost the same as that for other sub-regions. In other words, there are similarities between the sub-regions and differences within a single sub-region. Random sampling is then conducted in each sub-region.

 

   (4) Judgment Sampling. The person conducting the survey chooses those who are representative from among the sample based on his subjective judgement.

 

   4. Design of Questionnaire. This is the most critical step. Whether the questionnaire is designed well or badly directly affects survey results. Before the designing begins, we must first gather materials extensively, including questionnaires designed by others, and learn from their experience. The questionnaire should be as simple and clear as possible. The contents of the questionnaire should be reduced to a minimum. The questionnaire should be closely related to the objectives of the survey. Also it should be related to issues that the consumers are more interested in so as to enhance the appeal of the survey and interest the respondents in answering the questions. The meanings of words and terminology on the questionnaire should be clear and well-defined.

 

   Generally speaking, as far as the various survey items on a questionnaire are concerned, the best thing is to ask a respondent to give each indicator a fixed quantitative value. Among the most common are the grading system, 10-point system, and five-grade system. The simplest is the grading system under which a respondent is to assign a grade to each item depending on its importance. If there are n items, there may be 1-n grades. The most important item is assigned (1). The less unimportant an item, the higher the grade, but not more than n. Items that are considered equally important may be assigned the same grade. Skipping is allowed, meaning that some grades may be omitted.

 

   Where the quantitative approach is really inappropriate, it would be necessary to use the simple question-and-answer method to gauge the opinions of those surveyed.

 

   Based on our experience, one must pay attention to the ordering of the contents of the survey. Practice shows that a consumer often tends to give more complete answers to the questions at the top of the questionnaire and shorter answers to those at the bottom. Therefore, core questions and questions that are more interesting should be placed at the beginning of a questionnaire while questions that solicit comments from the consumer or are easier to answer should be put at the bottom, such as those relating to name, age, and discipline.

 

   The purpose of this series of steps is to make it easier for the respondent to give answers easily and accurately so as to ensure a higher return rate and make sure that the survey yields a sufficient amount of data.

 

   Also, we need to emphasize the importance of the personal particulars given by the respondents for the final analysis. They should be enumerated on the questionnaire as part of the items, such as profession, job title, command of foreign language, place of work, and nature of work. In many surveys, the final analysis and conclusions have been affected because this important group of intelligence is overlooked.

 

   5. Conduct a small-scale preliminary survey to correct any existing thinking that is inaccurate or unrealistic and make the questionnaire more scientific. A preliminary survey may also shed light on some problems that then can be resolved, thus enabling the main survey to proceed more smoothly.

 

   6. Conduct the formal survey and collect questionnaire forms.

 

   7. Process and analyze survey results. After the questionnaires are collected, we need to tabulate and process the data and analyze the final results. Among the quantitative statistical methods in use are the following:

 

   (1) Form Method. Data is entered into pre-designed statistical forms. The form must be designed to include both horizontal and vertical items so as to facilitate vertical, normal, cross, and related analyses and comparison.

 

   (2) Diagram Method. With this method, survey results are processed and presented in a variety of diagrams, including bar charts, pie charts, vertical diagrams, and all sorts of diagrams of curves. Its biggest advantage is that it is a direct and striking and easy to understand.

 

   (3) Mathematical Statistical Method. In the wake of the development of informational mathematics, the application of mathematics in consumer intelligence needs studies will grow over time, which will have an increasingly profound impact on our understanding of the pattern of consumer intelligence needs. Here we discuss a few simple ways of gauging the opinions expressed by the surveyed subjects.

 

   (a) Averaging the Points (or grades, same below)

 

   Divide the sum of the grades assigned by the respondents for a particular item by the total number of respondents. The quotient is the average for that item. That is:

 

[formula omitted]

   (b) Weighting

 

   The total number of points assigned by the respondents to a particular item as a proportion of the sum of all the points assigned by the respondents to all items. This proportion is known as the weighted score for that item. That is:

 

[formula omitted]

 

   (c) Highest Evaluation Frequency

 

   The number of respondents who assign the maximum number of points (or the lowest grade under a grading system) to a particular item compared to the total number of people surveyed. This proportion is known as the highest evaluation frequency. That is:

 

[formula omitted]

 

   (d) Average Ranking Indicator

 

   First, the various items are ranked according to the points assigned by the respondents. That way every item receives a ranking equivalent to the number of respondents. Next, divide the total number of rankings by the total number of respondents and the result is the average ranking for the corresponding item. The lower the number, the better. Where the grading system is used, divide the sum of the grades assigned by the respondents to a particular item by the total number of respondents. The quotient is the average ranking. That is:

 

[formula omitted]

 

   Each of the four processing methods discussed above can be used alone or in combination with others. Then we use the average ranking to determine their pecking order.

 

   To measure the degree of consistency in the respondents' opinions regarding a particular item in the survey, we frequently use the so-called Kender Harmony Coefficient as a measure. Below is a detailed explanation of the way we calculate the Kender Harmony Coefficient based on the results generated by the grading method.

 

   Assume that the intelligence personnel collect the questionnaires with n items and compile a table as shown in Table 5.1 based on the results, in which a_ij is the grade assigned by Consumer I to Item j. The number of valid returns is m.

 

   In Table 5.1, the most important item is the lowest grade (grade 1), while the least important item is the highest grade (grade n). To make calculations easier, the grades in Table 5.1 have been appropriately changed to yield Table 5.2, in which

 

   S_ij = a_max– a_ij.

   A_max is the highest grade given.

 

[Tables 5.1 and 5.2 omitted]

 

   As a result of this change, the more important items correspond to the higher grades.

 

   The average of the sum of the grades equivalent to all the items is

 

[formulas omitted]

  

   V is the Kender Harmony Coefficient. The change of V from O to 1 reflects the increase in the consistency of opinions among the respondents regarding the various items. Thus V is a measure of the consistency in the way the respondents in an intelligence needs survey view the various items.

 

   II. Interview Method

 

   The interview method is a fact-to-face method of investigation. The investigator has a grip on the interviewee's psychology and mood. With the interview method, the return rate, the rate at which all questions are answered, and the accuracy are all quite high. This method avoids the kind of situation that occurs when a respondent misunderstands a question and gives a wrong answer or an ambiguous answer. Its disadvantage is that it is expensive and the scope of the survey is narrow. It also requires investigators that have solid interviewing skills and experience.

 

   Please refer to the preceding section on the questionnaire method for the detailed practice and procedures of the interview method.

 

   III. Intelligence Feedback Method

 

   With this method, we use information we obtain in our work to shed light on the characteristics and changes in consumer intelligence needs. It guides us in adjusting the principles and method of intelligence gathering. The major sources of intelligence are listed below:

 

   1. Work Records Statistics. Tabulate and analyze the miscellaneous work records we have created in our day-to-day intelligence service work, such as reader registration records, check-out records, comment books, etc., thus gleaning intelligence from these records. Although there are constraints on the scope of the survey and its contents, the intelligence thus obtained can be one of our references as we study consumer intelligence needs and adjust our collection policy. Its advantage is that it can be conducted as part of our daily work. Another advantage is its timely feedback.

 

   2. Citation Analysis. This is a method used to obtain information on the use value of a set of documents or a serial by studying its citations. Through citation analysis, we can systematize the value of a thing (such as a serial, paper, or writer) and use it to guide collection. This method is often used in the analysis of core periodicals. Its disadvantage is that the number of cited articles is often smaller than the amount of literature actually consulted by the author, so it does not reflect the whole picture. Nevertheless the information thus gleaned still forms an important part of our data.

 

   3. Materials Evaluation. With this method, materials are recommended to experts and evaluations sought. This method is often used in materials gathering work and there have been many success stories. A detailed material evaluation not only fully informs us whether or not the material in question contains information that has use value, but also enables us to figure out what materials the experts urgently need right now and where such materials are available. This information will help us adjust the direction of collection promptly and gradually zero in on the sought-after targets, at the same time providing the basic data for our consumer intelligence needs studies. Because of its value, this method has become a major piece of our day-to-day work in materials collection.

 

   Section Nine -- The Laws of Consumer Intelligence Needs and Intelligence Behavior

 

   This section explains some of the laws derived from consumer intelligence needs studies of the past. More laws await discovery by future generations.

 

   I. The Distribution of Consumer Intelligence Needs Is Consistent with the Bradford Law of Grade Distribution.

 

   Materials required by consumers exhibit a trend toward concentration and fragmentation. An extensive amount of research shows that the distribution of the materials required by given consumers is relatively concentrated based on discipline, variety, and language. That is, "core materials" can satisfy the bulk of consumer needs. To meet equivalent demand, the quantitative relationship among core materials, related materials, and discrete materials should be consistent with the Bradford graded distribution law, that is, l:n:n².

 

   II. Consumer Intelligence Needs Change as the Knowledge Structure of  Consumers Changes.

 

   The consumers' knowledge structure to a large extent determines their intelligence needs. In a static sense, consumers who differ in knowledge structure have different intelligence needs. In a dynamic sense, changes in the consumers' intelligence structure affects not only how much intelligence is required, but also the contents and quality of such intelligence.

 

   III. Ma Tai Effect and Robin Hood Effect

 

   There are the so-called Ma Tai Effect and Robin Hood Effect in consumer intelligence needs.

 

   There is a small number of consumers with substantial intelligence needs. Over time the amount of intelligence needed will rise higher and higher above the average. These consumers will do their best to gain access to more and more current intelligence or information. At a time when there are not enough sources of materials, their behavior is bound to affect the needs of other consumers. This is the Ma Tai Effect in intelligence needs.

 

   On the other hand, a majority of consumers show a more even need for intelligence, which is known as the Robin Hood Effect. This trend is particularly marked today, when S&T is highly developed.

 

   IV. Consumer Intelligence Behavior Influenced by Zipf's "Least Effort"  Principle

 

   According to Zipf, as a person goes about his daily activities, he is bound to operate to a certain extent within his environment. Zipf argues that the consumer's actions are governed by the "least effort principle." According to this principle, people try their best to achieve their objectives by expending the least effort.

 

   A considerable amount of research has demonstrated that consumer intelligence behavior is consistent with Zipf's least effort principle. For instance, in choosing intelligence sources, consumers almost exclusively go by the least effort rule, first picking the most convenient source while relegating considerations of quality and reliability to a secondary place. This point has been verified by the research of information scientists in the United States, including V. Rosenberg, Allen, and Grestberger. Let's take another example. In just about every country, S&T literature in the mother tongue is consulted most often because it is most convenient and requires the least effort. In a 1972 study, Soper demonstrated that 57 percent of the materials used by a consumer came from his own files, about 26 percent came from the library of his work unit, and 10 percent came from a library that was harder to reach in geographical terms. These data eloquently testify to the decisive impact of the least effort principle on consumer intelligence behavior.

 

   V. Whether Intelligence Needs Are Converted into Intelligence Behavior Is Determined by the Amount of Intelligence Value.

 

   Generally speaking, if the problem that needs to be resolved is an important one, or if the intelligence and information are of great value, then the consumer will certainly try in a thousand and one ways to get hold of the intelligence swiftly. On the other hand, if the issue is not so important or if the intelligence or information at issue are not indispensable, then he will certainly wait for them patiently, instead of scrambling everywhere to locate them immediately.

 

   VI. Consumers Have Similar Processes of Searching for Materials.

 

   The process here refers to the process in which a consumer searches for the materials he needs. He begins by looking among his own materials before turning to formal channels and asking for help from colleagues. Only after these channels have been exhausted to no avail will he consider seeking help from a library or information organization. Because the various methods differ in convenience and ease of use, just about all consumers have developed similar materials search habits.

 

   VII. Consumers Prefer "Invisible Colleges."

 

   Every intelligence consumer looks for the intelligence he needs through formal as well as informal channels. Although informal channels are not as important and reliable as formal ones, they are deemed more practical in the eyes of many consumers out of inertia or for other reasons. To date the so-called "invisible colleges" centered on a handful of influential scientists and experts and organized spontaneously by the consumers is still common in S&T exchanges and activities. Among engineering and technical personnel, for instance, there are exchanges of visits and communications over a period of time between the units and individuals who are the first to conduct a piece of research or to innovate and others who subsequently conduct similar research or carry out similar innovations. This is a kind of "invisible college." The consumer takes this kind of unofficial exchange channel seriously mainly because the consumer is more than a consumer in this kind of collective. As the core scientist or expert and a major source of intelligence, he also is its backbone. It is the consumer's trust in it that has primarily given rise to this type of intelligence behavior.

 

   VIII. Mooers Law

 

   Mooers made this discovery when he was researching the way consumers used information indexing systems: "If a consumer thinks that indexing materials is a bigger headache and more trouble than not indexing materials, then the indexing system in question would not be used." This is the famous Mooers Law. It sheds light on the decisive impact of "ease of use" on a system.

 

   This is exactly what happens in reality. The simpler the indexing system, the more it is used by consumers. Conversely the more complicated a system, the less frequently it is used.

 

   Students of consumer intelligence needs have found that the Mooers Law not only is applicable to consumer indexing behavior but also illustrates on a broader scale the principle underlying consumer intelligence needs: If it presents more trouble or causes a bigger headache to the consumer to obtain some intelligence or information than not to obtain them, he would give up looking for the intelligence or information.

 

   Thus the Mooers Law not only is the standard one should meet as one designs an information indexing system, but is also a guide for designing intelligence systems and collection systems.

 

   Section Ten -- Basic Characteristics of Consumers of National Defense S&T Intelligence

 

  I. Basic Means of Categorizing Consumers of National Defense S&T Intelligence

 

   As noted above, many factors affect consumer needs. They can mainly be divided into two broad groups: those that are related to the consumer's personal qualities and those that have to do with his environment. Among his personal qualities are his profession, academic qualifications, job title, age, knowledge of foreign language, field, psychology, hobbies, and specialty. Among environmental factors are national policies, national history, cultural tradition, the level of S&T development, sources of intelligence, and intelligence work services. It is these factors that shape a consumer's intelligence needs. Consumer intelligence needs are highly individualistic.

 

   Let us leave aside the individual and look at the collective factors. Among the environmental factors, national policies play the biggest role and are of foremost importance. National policies determine the general attributes of the intelligence needs of rank-and-file intelligence consumers in a country and their overall development trend. We can look upon national policies as the "strategic factor" affecting consumer intelligence needs, a point fully verified by the history of China's defense S&T industry and the history of the corresponding national defense S&T intelligence work.

 

   During the War to Resist U.S. Aggression and Aid Korea in the early days of the PRC, our ammunitions and aerospace industries surged ahead by leaps and bounds. In the 1960's, our country, determined to break the blockade and scale new heights, stepped up leadership over national defense S&T enterprises and launched a series of key projects. As a result, the number of consumers of defense S&T materials hit a historic high and China successfully researched and developed the atomic bomb and strategic guided missile. During the Cultural Revolution, few people used S&T materials and the number of people who used defense S&T materials also hit bottom. What little materials we imported were put in the warehouses, "to be consumed by mice instead of humans." Since the 3d plenary session of the 11^th CPC Central Committee in December 1978, the focus of government work has shifted to economic construction. The policy of reform and opening was put forward and China's defense S&T enterprises also took a turn for the better. The number of people who used defense S&T materials rose year after year, hitting a historic high in 1984.

 

   Today, international tension has been easing off, the national strategy is being adjusted, and the strategic guiding principle behind defense buildup is also changing. In the past, the bottom-line was to fight early and to fight on a large scale. Now our goal is to seize the favorable opportunity presented by a thawing trend in international relations and put the national economy on a sound footing in the shortest time possible. A 16-character policy has been put forward to guide the military industry: Junmin jiehe, pingzhan jiehe, junpin youxian, yimin yangjun, which means "combine the military with the civilian, integrate peace with war, give priority to military goods, and have the civilians support the military." This policy has led to epoch-making changes in the intelligence needs of the consumers of national defense S&T. Specifically, in the future they will need not only materials pertaining to weapons and equipment, but also materials pertaining to the development of civilian goods. Not only must they orient themselves to defense modernization and do their best to develop the defense industry and weaponry, but they must also orient themselves to society and fulfil their responsibility to national S&T progress and national economic construction.

 

   Intelligence workers and intelligence collectors should fully appreciate the "strategic impact" of government policies on consumer intelligence needs. When a government policy is being adjusted in a major way, intelligence workers and intelligence collectors should far-sightedly take appropriate measures such as modifying the collection policy or changing the collection plan so as not to be caught short in satisfying consumer needs and forced to act retroactively.

 

   As far as the consumer's own qualities are concerned, the one thing that has the most impact on the characteristics of consumer intelligence needs is his occupation, that is, the nature of the professional work he is engaged in. Studies show that people in the same occupation share some common characteristics in their intelligence needs, regardless of the country they live in, regardless of what technical development policy is being implemented, and regardless of technical specialty. Therefore, we may consider occupation the principal "technical factor" influencing consumer intelligence needs.

 

   Consumers with the same job title, with the same knowledge of a foreign language, or with the same professional duties do share some common features in their intelligence needs, but such commonality is more limited and less striking than if we classify these consumers by occupation. Therefore, we propose classifying the consumers based primarily on their occupation and proceed to investigate the special characteristics of the intelligence needs of the various types of defense S&T consumers. In what ways are they similar? In what ways are they different? The purpose of investigating the special characteristics of the intelligence needs of the various types of defense S&T workers is to provide a theoretical basis for making defense S&T intelligence work more focused and effective so that our intelligence work becomes more proactive in satisfying consumer needs and so that we more fully meet the different needs of all types of personnel from all perspectives.

 

   II. Classification of National Defense S&T Consumers

 

   Based on the realities in the defense industry and taking occupation as the basis for classification, we have divided defense S&T personnel into these four major categories:

 

   1. Scientific Research Personnel. Primarily engaged in basic research in defense S&T, pre-research, and applied research.

 

   2. Engineering and Technical Personnel. They work at the frontline of the defense S&T industry and are responsible for the industrial design, research and development, production, and testing of approved models and key projects.

 

   3. Managerial and Decision-Making Personnel. Primarily personnel who occupy leadership positions at all levels or are found in leading organs.

 

   4. Soft Scientific Research Personnel. This group has grown up in tandem with the needs of the development of strategic studies and management studies in defense S&T industry. These personnel serve as a "think tank" in some of the most major decision-making processes. At present soft scientific research personnel are mostly researchers in policy study organizations, intelligence organizations, and verification organizations.

 

   The classification scheme above is a general one. The boundaries between different types of consumers are a matter of degree. In reality, a given consumer may belong to two or more categories. For instance, a large number of managerial personnel are themselves scientists or engineers who may be engaged in two different types of work at the same time. Nevertheless, this fact should not prevent us from examining their intelligence needs when they are engaged in a specific line of work based on the above classification scheme.

 

   III. Characteristics of Intelligence Needs of Various Types of Defense S&T Consumers

 

   Below is a discussion of the characteristics of the intelligence needs of various types of defense S&T consumers, based on our research results and practical experience and using the evaluation standards outlined in Section 5 as our criteria.

 

   1. Intelligence Needs of S&T Personnel

 

   Scientific research personnel engage in research activities in order to understand and discover the laws of nature and find ways to apply these laws effectively. The upshot is new scientific knowledge. The following major characteristics are inherent in the work of scientific research personnel:

 

   (1) What scientific research personnel need are one-time materials that are highly theoretical. As far as they are concerned, the major sources of intelligence are periodicals, proceedings, books, and S&T reports, among others.

 

   (2) The materials required by scientific research personnel tend to be fairly narrow in subject matter. We may say their contents are more specialized and are closely related to the consumers' research topics.

 

   (3) Scientific research personnel require a substantial amount of materials. They need to have a broad understanding of the developments in their specialty world wide, of the viewpoints of various schools of thought, and of the latest research results.

 

   (4) It is customary for scientific research personnel to monitor foreign and domestic research trends. Usually what is valuable to their scientific research work is new viewpoints, new methods, and new data. As a result, they demand novelty and currency in their materials.

 

   (5) Because scientific research personnel demand more specialized materials, they also have a higher demand when it comes to accuracy. Typically scientific research work is characterized by continuity; a scientific researcher may spend several years on a major piece of research. Thus there is little change in the subject matter of the materials. He only demands that the materials be orderly and advance step by step, from the simple to the complicated, from the superficial to the thorough. Thus scientific research personnel have more exacting demands in terms of the continuity and accumulative nature of their materials. We often come across a situation where a researcher reads an article closely related to his field and then asks to see the reference materials cited at the end of the article.

 

   2. Intelligence Needs of Engineering and Technical Personnel

 

   The ultimate goal of the activities of engineering and technical personnel is to design and manufacture products that satisfy strategic and technical demands or to complete engineering projects that satisfy strategic and technical demands. The following characteristics of their intelligence needs are inherent in their line of work.

 

   (1) Engineering and technical personnel require one-time materials that are highly technical and that can solve the specific problems they encounter. Their major sources of information are S&T reports, technical standards, patents, and samples. They are also highly interested in material objects and samples.

 

   (2) The subject matter of the materials required by engineering and technical personnel is broader than that for scientific research personnel. Not only must engineering and technical personnel master the principles and methods of product design and production, but they also must have an extensive knowledge of materials, processing technology, compatibility with other systems, the functionality of a product and the ease of maintenance. Nevertheless, except for general design personnel, most of those who design the ordinary parts have relatively narrow intelligence needs as they are oriented toward the subsystem or parts they are concerned with. Even personnel in charge of overall design primarily revolve their intelligence needs around a particular product or project. Compared to management personnel and soft science research personnel, the subject matter of their intelligence needs is much narrower.

 

   (3) Engineering and technical personnel do not go after a huge amount of materials, but instead demand reliability in the materials. Sometimes just one set of materials is sufficient to meet their needs provided the materials truly match their needs and are reliable.

 

   (4) Engineering and technical personnel demand that the materials be relevant but are not too concerned with the year of publication or their novelty. As long as they could help solve real-life problems, old materials are just as welcome. In our day-to-day work, we also come across instances where materials from the 1950's make themselves useful in engineering design of the 1980's.

 

   (5) The subject matter of the materials required by engineering and technical personnel is neither too broad nor too narrow, but they have high accuracy demands. In this they are similar to scientific research personnel. However, the work of engineering and technical personnel revolves around models and engineering projects. As a product is updated or replaced, these workers' intelligence needs also change accordingly. Hence they do not emphasize that the materials be continuous and accumulative.

 

   3. Intelligence Needs of Managerial and Decision-Making Personnel

 

   Managerial and decision-making personnel are responsible for formulating general and special policies, drawing up plans, and organizing scientific research and production. These are the characteristics of their intelligence needs:

 

   (1) Managerial and decision-making personnel typically do not need materials that are long on theory and technology. What they need are third-round materials that have been processed or are concise and pithy. The higher their level, the more the managerial and decision-making personnel demand that the materials be condensed, that they be concise and clear. They routinely read news summaries, bulletins, abstracts, research reports, verification reports, and feasibility analyses.

 

   (2) The subject matter of the materials read by managerial and decision-making personnel is far more extensive than that of the materials consulted by scientific research personnel or engineering and technical personnel. They are interested in happenings on every front, including products, energy, materials, personnel, market, and development prospects. They demand that the materials be highly comprehensive. In fact the more senior a manager, the more he demands that materials be comprehensive. Not only are they interested in technology, but they are also interested in the international situation, military situation, national politics, and the economic scene. They want to cover every area across the board.

 

   (3) Managerial and decision-making personnel need a substantial amount of materials. They usually are willing to listen to a variety of voices and look at different plans so as to make comparisons before choosing the best.

 

   (4) Managerial and decision-making personnel are emphatic about the timeliness of materials. Therefore, they demand that materials be current and up-to-the-minute. Although outdated materials have no intelligence value to them, they certainly do not ignore historical materials.

 

   (5) Managerial and decision-making personnel demand information whose subject matter covers a broad area. Nevertheless they are also very demanding when it comes to accuracy. They want the information to be dependable. On no account can the information be untrue or imaginary in the least. Unreliable information may lead to bad policies, which would cause inestimable losses. People often say, "Make one bad move on the chessboard and you lose the whole game." The more senior a leader, the more he demands that information be accurate. Conversely, the more senior  a leader, the less he demands that the information be detailed.

 

   4. Intelligence Needs of Soft Scientific Research Personnel

 

   Because soft scientific research personnel serve as the "think tank" in some major decision-making processes, their intelligence needs to a certain extent are shaped by the intelligence needs of managerial and decision-making personnel.

 

   (1) Soft scientific research personnel need to read materials in both Chinese and foreign languages extensively, especially in Chinese. They need comprehensive materials, historical materials, policy-oriented materials, background materials, and all sorts of statistical data and research reports.

 

   (2) The subject matter of the intelligence required by soft scientific research personnel is very broad and ranges from politics and economics to military and science and technology. Another striking feature is that these personnel are interested in research methods, mathematical models, and other theoretical methods.

 

   (3) It is necessary for soft scientific research personnel to read a large amount of materials. Without the benefit of materials of a given size and a given quality, these personnel would be rendered helpless.

 

   (4) As with managerial and decision-making personnel, soft scientific research personnel demand that the information be timely; outdated materials have no intelligence value to them. Be that as it may, they certainly do not ignore old information.

 

   (5) Soft scientific research personnel require that the materials cover a broad area. However, their intelligence needs are often topic-based and tend to change fairly rapidly. Because their intelligence needs change rapidly, it is imperative that intelligence personnel and collection personnel keep pace with them and provide the right kind of materials in a timely manner. Moreover, soft scientific research personnel demand that their materials be highly accurate and often use such tools as comparison and analysis to differentiate the true from the untrue and see through smokescreens of false information propagated by the enemy. Soft scientific research personnel have no strong demand when it comes to continuity or cumulativeness in materials.

 

   Section Eleven -- National Defense S&T Intelligence: Case Studies in Consumer Intelligence Needs Research

 

   I. Consumer Intelligence Needs Studies Conducted by the U.S. Defense Documentation Center

 

   In the 16 years between its founding in 1963 and its change of name in 1979, the U.S. National Defense Documentation Center conducted three large-scale studies on consumer intelligence needs. In 1965, it hired the Auerbach Co. to conduct a study on the needs of consumers within the Department of Defense (DoD). In 1966 the North American Aerospace Co. conducted a study on consumer needs in the national defense industry. In 1975 it again hired the Auerbach Company to conduct the largest consumer needs study ever in history. Below is a detailed description of the last survey.

 

   1. Purpose of Study

 

   According to the estimates in a report by the Office of Science and Technology in the Office of the President of the United States, scientific and technological efficiency could increase 10 percent as a result of improvements in the information system. The National Defense Documentation Center agreed with this estimate and held that with better management and coordination and through cooperation with other information systems, the efficiency of the entire R&D sector could be enhanced without incurring additional spending. The DoD should and could play a leading role in cooperation with the federal government, in the country at large, and worldwide. To achieve these objectives, however, the DoD must have a real understanding of consumer needs and the position it occupies and formulate a scientific development plan based thereon. To draw up a development plan for the National Defense Documentation Center for 1978-88, the following issues must be resolved:

 

   (1) The demands placed on the National Defense Documentation Center's S&T information work by the R&D, testing, and evaluation departments within the defense sector;

 

   (2) the role played by the National Defense Documentation Center in satisfying national defense S&T information needs;

 

   (3) the feasibility of the objective of completing the improvement of information products, information services, and information systems before 1988; and

 

   (4) the position and role of the National Defense Documentation Center in the national S&T information community in the decade between 1978 and 1988.

 

   Toward these ends, the National Defense Documentation Center decided to launch a study on consumer needs and the information environment in order to provide a basis for scientific planning.

 

   2. Study Methods

 

   (1) Investigation Procedures

 

   The study was conducted in four stages:

 

   (a) A study was done on consumers within the DOD and its contracting units to find out their level of satisfaction with current information services and obtain basic data on consumer needs for the next development stages in the future.

 

   (b) A study was conducted on some information organizations that offered outstanding information services or were active in the information field and had them set objectives for the next decade so as to determine the relationship between the Documentation Center and external S&T information departments in the future.

 

   (c) Literature on information storage and the transmission of advanced technology was examined. Such advanced technology may affect the techniques of information dissemination in the next 10 years.

 

   (d) The results of the above-mentioned studies were evaluated by small groups of experts.

 

   (2) Survey Methods

 

   (a) Survey of Consumers

 

   A mix of the questionnaire survey method and interview method was used, with emphasis on the latter.

 

   Of the 100 units representing four types of consumers, an equal number was chosen according to the principle of random sampling to represent each group. The four types of consumers were:

 

   -- primary consumers within the DoD;

   -- secondary consumers within the DoD,

   -- primary consumers in the contracting units; and

   -- secondary consumers in the contracting units.

 

   What distinguished primary consumers from secondary consumers was the volume of demand. A primary consumer was a unit that used materials at the National Defense Documentation Center two hundred times or more each year.

 

   Within each unit three groups of study subjects were selected from among research personnel, managerial personnel, and intelligence workers according to the principle of layer random sampling.

 

   After the study subjects were chosen, they were contacted by telephone to set up a time for an interview. Before the interview, the subject was given a survey card on which were printed the questions the subject would be asked in the coming interview. The purpose of the survey card was to ensure that the interviewee would be able to correctly answer the questions that had been carefully designed. That way time would not be wasted. 

 

   (b) Survey of Information Organizations

 

   The principal method of investigation here was the interview method. Fourteen units were studied in all, including the Department of Energy, National Aeronautics and Space Administration, the National Bureau of Standards, the National Technology and Information Service, the National Library of Medicine, and other national agencies. Also studied were some S&T intelligence units inside the DoD.

 

   Most of the interviewees were personnel in the various units who were in charge of formulating S&T information plans.

 

   The interview revolved around three major topics:

 

   -- the current situation in information work in the unit;

   -- the unit's plan prior to 1988;

   -- in the 10 years between 1978 and 1988, the unit's status and role in the overall S&T information community.

 

   The purpose of asking these questions was to gain a clear understanding of the information environment in which the National Defense Documentation Center found itself at the time and during the plan period and identify the S&T information issues that would affect planning by the National Defense Documentation Center.

 

   (c) Survey of Literature

 

   The survey involved searching and examining the relevant literature and studying its contents.

 

   The purpose of the literature survey was to understand the current situation in information storage and transmission technology and its future development trends. In all 68 pieces of literature were analyzed.

 

   (d) Evaluation by a Panel of Experts

 

   After comprehensively analyzing the results of the above-mentioned studies, Auerbach Company drew up a "table of future events" and asked a panel of experts to evaluate it. The panel of experts was composed of information experts and other influential figures in the information community. During the evaluation process every "event" was considered for its importance, necessity, suitability, and likelihood of happening. The reaction of every expert was taken seriously so there was a sense of proportion in comprehensively evaluating this "event."

 

   3. Analysis of Survey Results

 

   After tabulating and analyzing the results of the studies on consumers and information organizations, the following insights were obtained.

 

   (1) The local library was the consumer's first choice as a source of materials. Last was the long-distance library (such as the Defense Documentation Center).

 

   (2) The traditional documentation and book services provided by the Defense Documentation Center, including the way in which such services were rendered and the scope of such services, were too narrow. Consumers needed a more powerful and comprehensive database. What they hoped to see were information services, not just documentation services.

 

   (3) The Defense Documentation Center must make it easy and convenient to store and retrieve information in the comprehensive database.

 

   (4) The consumers were willing to spend a little more money in return for higher-quality services, such as more accurate and relevant answers.

 

   (5) The time to respond to consumer needs must be reduced.

 

   (6) Consumers had no knowledge of a majority of services provided by the Defense Documentation Center or its information sources.

 

   (7) Consumers needed to utilize not only the Defense Documentation Center, but also other S&T information sources. They also would like to be able to inquire about multiple sources of information locally or at a given location.

 

   (8) The local information community was made up of a number of information organizations which were independent from and did not interact regularly with one another. Most units had their own special missions and focused on their own respective consumers.

 

   (9) Most information organizations appreciated the value of document processing standardization. Nevertheless, apart from making limited improvements, they would not genuinely support any plan to give up existing systems. The current debate over such issues as processing standardization and management would continue into the next 10 years (1978-1988).

 

   (10) The vast majority of information organizations were inclined toward supporting local information organizations. In their opinion, local organizations staffed by trained personnel were more likely to provide grass-roots consumers with quality services than large-scale organizations.

 

   (11) People tended to favor the development of specialized scientific information databases and the computerized storage of actual data, instead of the storage of factual materials.

 

   4.Final Results

 

   Director Hubert E. Shater of the Defense Documentation Center said, "Auerbach Company did some highly effective and reliable work in collecting and analyzing data on the needs of consumers, on S&T information work now and in the future, and on the development trend in information transmission technology. The report generated by this study provides the Defense Documentation Center with a most logical basis as it makes plans for the future and for long-term investment. Although we do not propose to follow the proposals put forward by the contractor word for word, it has indeed made some sound evaluations and constructive proposals as far as the things we need to do are concerned. The Defense Documentation Center was in the past and still is today a traditional documentation and book service organization. We admit that its scope is narrow and cannot effectively satisfy consumer needs. We must develop technology, strengthen our ties with various centers of information analysis in the DOD, develop our own database, and truly provide data intelligence services. We must find a way to serve the majority of consumers more swiftly and more practically by working through local information organizations."

 

  Based on the results and proposals generated by the study conducted by the Auerbach Company, the Defense Documentation Center special work group drew up a work plan for 1978-1988 and an applied technology plan. The work plan covered day-to-day work, the level of intelligence products, consumers' service needs, and the quality and quantity of work. The applied technology plan was an investment and development plan. It had 17 objectives divided into three groups, as shown in Tables 5.3, 5.4, and 5.5.

 

Table 5.3 First Group of Objectives – Improving the Efficiency of S&T Intelligence Work

 

1. Improve the efficiency of the production and processing work at Defense Documentation Center.

2. Eliminate duplication in S&T information work within the DoD.

3. Improve the commonality, accuracy, and comprehensiveness of the S&T intelligence database of the DoD.

4. Improve the quality, responsiveness, and timelines of S&T information services.

5. Update and amplify the materials to meet changes in mission, demand, and the state of technology.

6. Track and get to know the extent of consumers' acceptance of S&T information products and their further demand.

 

Table 5.4 Second Group of Objectives – Improving the Storage, Retrieval  and Utilization of S&T Intelligence

 

1. Expand the scope of the Defense Documentation Center's system and the avenues of storage and retrieval. Make that system and other S&T information systems more mutually accommodating.

2. Find ways to utilize evaluated dossiers and the results of information studies.

3. Increase the number of consumers who could actively utilize the Defense Documentation Center. Promote the understanding of the S&T information services in defense system.

4. Enhance the comprehensiveness of the database at the Defense Documentation Center. Study and improve the utilization of related documents.

5. Sep up the exchange of research results and technology between the DoD system and civilian departments.

6. Designate a few departments to be responsible for providing useful S&T materials.

 

Table 5.5 Third Group of Objectives – Applying Advanced Technology to S&T Intelligence Work

 

1. Apply advanced technology and equipment to the processing, duplication, and transmission of information.

2. Establish an information systems network within the DoD.

3. Develop automatic abstracting and indexing technology and the technology to store and retrieve information at the Defense Documentation Center.

4. Provide S&T information processing and networking systems at the Defense Documentation Center with advanced computing and communication capabilities.

5. Develop a more cost-effective plan for the first and second distribution of documents, for the reporting of documents, and for product delivery.

 

   In the end this consumer needs study led to the renaming of the Defense Documentation Center as the Defense S&T Information Center in 1979 and to the DoD assigning to it a new task, which was to provide S&T personnel and managerial personnel at all levels in the DoD with technical information and managerial information.

 

   II. Core Periodical Survey Conducted by the China National Defense S&T Intelligence Center

 

   1. Purposes of Study

 

   According to studies on intelligence sources, because periodicals are published frequently and put articles into print quickly, because they are large in number and original and in-depth in content, and because they cover a broad area, periodicals are capable of reflecting the level of S&T development in the world and the trend therein. As an intelligence source, they are the first choice of rank-and-file S&T personnel as well as intelligence researchers. According to estimates, S&T personnel and intelligence workers obtain 60 percent and 80 percent, respectively, of their S&T intelligence from periodicals.

 

   Studies on consumer intelligence needs reveal a pattern in which  materials required by consumers tend to be both concentrated and dispersed to satisfy equivalent demand. The quantitative relationship among core materials, related materials, and discrete materials is 1:n:n², which is consistent with the Bu Law of Distribution. This suggests to us that core materials are enough to satisfy consumers' basic materials needs. The "core periodical effect" means that in any given field, the large number of scientific papers in the world are concentrated in a handful of S&T periodicals.

 

   Nowadays the prices of foreign periodicals are soaring at the rate of 15-20 percent each year. Periodical subscription fees have accounted for about one half of materials spending for several years now. At a time when we are strapped for material funds, rising prices have further complicated materials acquisition.

 

   Science and reality have taught us that the old collection policy, which is "the more, the merrier" and "the more comprehensive, the better," clearly no longer meets the needs of the new situation in a fundamental way. We must make our selections more relevant, become more conscious of cost effectiveness, try to achieve the optimal results with the least expenses, and shift the focus of collection work from quantity to quality. Hence it was imperative that a core periodical survey be conducted.

 

   2. Method of Study

 

   (1) Determine the prerequisite of a core periodical. The subjects of study were the 1,022 foreign-language periodicals subscribed to before 1985.

 

   (2) The following three methods, commonly used in consumer intelligence  needs studies, were used:

 

   (a) The rate at which a periodical is checked out;

 

   (b) Citation analytical method;

 

   (c) Questionnaire

 

   3. Survey Results

 

   (1) Calculating the Checkout Frequency Rates

  

   We counted the number of times a periodical was checked out in the almost seven years between 1979 and 1985. The top 56 periodicals were listed in Table 5.6.

 

Table 5.6 List of 56 Periodicals Checked out Most Frequently, in Descending Order

 

Rank Country (region)        Code No.     Title in Original Language

1  United States  877B130         Aerospace Daily

2  United States  878B09         Aviation Week & Space Technology

3  United States  878B53         Defense Daily

4  Britain             877C06         Flight International

5  Switzerland         360LD05         International Defense

6  Britain             500C88         New Scientist

7  Britain             500C04         Nature

8  United States  500B08         Science

9  FRG                 368E03         Military technology and Economics

10 United States  734B14         Signal

11 United States  736B40         Defense Electronics

12 France              877E01         Air et Cosmos

13 Switzerland         877LD55         Interavia Airletter

14 United States  360B04         Defense Industry Report

15 United States  360B137         Defense & Foreign Affairs Policy

16 Britain             360C61         Defence

17 Britain             360C71         Jane's Defence Weekly

18 United States  363B03         Air Force Magazine

19 United States  363B01         Armed Forces Journal International

20 United States  732B61         Nucleonics Week

21 United States  723B18         Nuclear Fuel

22 United States  723B157         Bulletin of the Atomic Scientists

23 United States 500B17         Scientific American

24 United States  500B16         Science Digest

25 Britain             368C60         Military Record of CBR/Atomic Happenings

26 Britain             368C01         Defence Material

27 United States  368B01         National Defense

28 France              363F53         Cols Bleus

29 United States  730B01-1       IEE Spectrum

30 United States  734B147         Microwave Systems News

31 United States  736B02         Electronics

32 United States  736B50         Journal of Electronic Defense

33 United States  736B181         Journal of C4/Countermeasures

34 United States  877B38         Soviet Aerospace

35 Britain             877C80         Aviation Studies

36 Switzerland         877LD01         Interavia

37 United States  878B02         Aerospace America

38 United States  878B58         Space Letter

39 Britain             878C01-2        Spaceflight

40 United States  360B01         Military Review

41 United States  360B91         Defense

42 United States  360B08-8       DMS Missiles/Spacecraft

43 United States  360B149         Concepts

44 United States  360B162         Arms Control Today

45 United States  360B197         Defense Week

46 Britain             360C54         Survival

47 FRG                 360E05         Soldat und Technik

48 Netherlands         360LB01         NATO's Fifteen Nations

49 Switzerland         360LB01         Armada International

50 United States  360B13         United States Naval Institute Proceedings

51 United States  363B21         Army

52 Britain             363C02         Navy International

53 Britain             363C09         Maritime Defense

54 United States  537B56         Laser Focus

55 Japan                              Genshino Sokuho

56 Soviet Union        70340          [Foreign Military Review]

 

   (2) Citation Analysis Results

 

   The focus was the several publications put out by this center. We looked at the literature consulted by the writers in preparing the articles. Then we identified the periodical where a particular reference could be found and determined how often this periodical was cited. Periodicals were arranged in order according to the number of times it was cited. The results are presented in Table 5.7.

 

Table 5.7  List of Periodicals Ranked According to Number of Times Cited, in Descending Order

 

Rank Country (region)        Code No.     Title in Original Language

 

1  United States  877B09         Aviation Week & Space Technology

2  Britain             360C61         Defence

3  United States  877B130         Aerospace Daily

4  United States  736B40         Defense Electronics

5  United States  734B14         Signal

6  United States  363B03         Air Force Magazine

7  United States  360B137         Defense & Foreign Affairs Policy

8  United States  360B08-8       DMS Missiles/Spacecraft

9  United States  723B57         Nuclear News

10 Britain             500C88         New Scientist

11 United States  723B77         Nuclear Industry with INFO

12 United States  500B17         Scientific American

13 United States  736B181         Journal of C4/Countermeasures

14 United States  360B04         Defense Industry Report

15 [blank]                            Astronautics and Aeronautics

16 United States  736B02         Electronics

17 France              877F85         L'Aeronautique et L'Astronautique

18 [blank]                            Electronic Warfare and Counter-EW

19 United States  734B11         Microwave Journal

20 Britain             360C76         Armed forces

21 United States  537B56         Laser Focus

22 United States  738B129         Computer World

23 United States  368B01         National Defense

24 [blank]                            Missiles & Rockets

25 United States  730B01-1       IEEE Spectrum

26 Britain             360C71         Jane's Defence Weekly

27 United States  734B147         Microwave Systems News

28 United States  875B01         Naval Engineers Journal

29 Britain             368C60         Military Record of CBR/Atomic

30 United States  877B13         Flying

31 Britain             723C05         Nuclear engineering International

32 United States  736B05         Electronic Design

33 Switzerland         877LD55         Interavia Airletter

34 Switzerland         360LD05         International Defense Review

35 Netherlands         360LB01         NATO's Fifteen Nations

36 Hong Kong           360Y01         Xiandai Junshi

37 Soviet Union        70340          [Foreign Military Review]

38 FRG                 368E55         Wehrtechnik

39 FRG                 360E05         Soldat und Technik

40 France              877F01         Air et Cosmos

41 France              360F03         Defense Nationale

42 Japan               500D54         Kagaku Shimbun

43 Japan               368D01         Heiki to Gijutsu

44 Japan               734D54         Tsuken Geppo

45 United States  878B58         Space Letter

46 Switzerland         360LD09         Armada International

 

   (3) Questionnaire Survey Results

 

   The subjects of the study were the 1,022 foreign-language periodicals this enter subscribed to in 1985. A core periodical survey form was sent to the scientific research personnel concerned at the center along with the list of periodicals. They were asked to fill in the code numbers of the periodicals which they read most often and which they regarded as core periodicals or major periodicals. If the periodical a reader had in mind was not on the list but was deemed essential, he was asked to note accordingly in the comment column. The return rate of the survey forms was 85 percent. The survey forms returned contained a variety of opinions on 606 publications, while 416 publications received no comments. The results of the questionnaire survey were tabulated according to the number of times a periodical was rated a core publication by the interviewees. The results are presented in Table 5.8.

 

Table 5.8 List of Periodicals Ranked According to Results of Questionnaire Survey

 

Rank Country (region)        Code No.     Title in Original Language

1  United States  877B09         Aviation Week & Space Technology

2  United States  736B40         Defense Electronics

3  United States  734B14         Signal

4  Britain             360C76         Armed Forces

5  United States  368B01         National Defense

6  Britain             360C61         Defence

7  United States  736B50         Journal of Electronic Defense

8  United States  878B53         Defense Daily

9  United States  363B03         Air Force Magazine

10 United States  363B01         Armed Forces Journal

11 United States  360B197         Defense Week

12 United States  877B130         Aerospace Daily

13 Britain             877C06         Flight International

14 United States  500B17         Scientific American

15 FRG                 368E03         Military Technology

16 Britain             500C88         New Scientist

17 Britain             360C54         Survival

18 United States 363B65         Sea Power

19 United States  363B21         Army

20 United States  360B08-8       DMS Missiles/Spacecraft

21 Switzerland         877LD01         Interavia

22 United States  736B181         Journal of C4/Countermeasures

23 United States  360B01         Military Review

24 Switzerland         360LD09         Armada International

25 Japan               360D66         Gunji Kenkyu

26 United States  877B38         Soviet Aerospace

27 United States  723B157         Bulletin of the Atomic Scientists

28 United States  860B91         Defense

29 United States  360B05         Strategic Review

30 Switzerland         360LD05         International Defense Review

31 Japan               368D01         Heiki to Gijutsu

32 Japan               360D01         Kokubo

33 United States  363B70         Army R.D. & A.

34 United States  380B08-9       DMS Ship Vehicles Ordnance

35 Britain             360C69         Journal of Strategic Studies

36 United States  730B01-1       IEEE Spectrum

37 United States  710B38         High Technology

38 United States  363B13         United States Naval Institute Proceedings

39 United States  363B12         Air University Review

40 United States  360B09         DMS Missiles & Satellites

41 United States  360B08-6       DMS Electronic Systems

42 United States  360B08-1       DMS Aerospace Agencies

43 United States  360B04         Defense Industry Report

44 Switzerland         877LD55         Interavia Airletter

45 Netherlands         360LB01         NATO's Fifteen Nations

46 Britain             734C104         Signal

47 Britain             500C04         Nature

48 Britain             368C62         Nuclear Weapons Date File

49 Britain             368C60         Military Record of CBR/Atomic Happenings

50 United States  378B59         Space World

51 United States  736B02         Electronics

52 United States  734B32         Satellite Communications

53 United States  734B11         Microwave Journal

54 United States  730B01-        TAES        IEEE Transactions on Aerospace & Elec. Sys.

55 United States  537B56         Laser Focus

56 United States  500B08         Science

57 United States  363B107         Air Defense Magazine

58 United States  360B162         Arms Control Today

59 United States  360b10-4       DMS Foreign Military Market, NATO Weapons

60 United States  360B10-1       DMS Foreign Military Market, NATO Europe

 

   (4) Comprehensive Analysis and Final Results

 

   As noted in the section on the methods of conducting consumer intelligence needs studies, each method has its own advantages and shortcomings. Therefore three methods were used so that they could offset one another's drawbacks and so that we could verify one set of results against others to ensure the reliability of survey results.

 

   The questionnaire method is usually regarded as less reliable. In this case, however, the objective of the study was well-defined, the questionnaire was simple in content, the questions were easy to answer accurately, and the respondents were the direct consumers of the periodicals. For these reasons, the results generated by the questionnaire method were actually seen as more accurate and reliable than those yielded by the other two methods. Accordingly, the results of the questionnaire study were taken as the baseline; all the top 60 periodicals ranked by the overwhelming majority of scientific research personnel were treated as core periodicals. As a matter of fact, 60 percent of the periodicals on the top 56 list produced by the "frequency of borrowing statistical method" were among the top 60 ranked periodicals. Moreover, 53 percent of the periodicals on the list of top 46 periodicals generated by the citation analytical method also appeared on the top 60 list.

 

   To offset the limitations of the questionnaire method, every periodical that was chosen under both the "citation analytical method" and "frequency of borrowing statistical method" but which did not appear on the top 60 list compiled in accordance with the results of the questionnaire method also was treated as a core periodical. This was one way to supplement the results of the questionnaire method. There were six such periodicals in all.

 

   Periodicals in a rare language circulate in a smaller circle than periodicals in the English language, so they should not be judged using the same quantitative criteria. Because of this and other corrective factors, we asked for comments and decided to select 14 periodicals also as core periodicals. This was the second supplement to the questionnaire method.

 

   That way a total of 80 core periodicals were finally identified. See Table 5.9.

 

Table 5.9 List of Core Periodicals

 

Rank Country (region)        Code No.     Title in Original Language

1  United States  877B09         Aviation Week & Space Technology

2  United States  734B14         Signal

3  United States  368B01         National Defense

4  United States  363B03         Air Force Magazine

5  United States  877B130         Aerospace Daily

6  United States  500B17         Scientific American

7  Britain             500C88         New Scientist

8  United States  736B181         Journal of C4/Countermeasures

9  Switzerland         360LD05         International Defense Review

10 United States  730B01-1       IEEE Spectrum

11 Switzerland         877LD55         Interavia Airletter

12 Netherlands         360LB01         NATO's Fifteen Nations

13 Britain             368C60         Military Record of CBR/Atomic Happenings

14 United States  736b02         Electronics

15 United States  360B08-8       DMS Missiles/Spacecraft

16 United States  637B56         Laser Focus

17 United States  736B40         Defense Electronics

18 Britain             360C61         Defence

19 United States  736B50         Journal of Electronics Defense

20 United States  878B53         Defense Daily

21 United States  363B01         Armed Forces Journal International

22 United States  360B197         Defense Week

23 Britain             877C06         Flight International

24 Britain             360B21         Survival

25 United States  363B21         Army

26 Switzerland         877LD011        Interavia

27 Switzerland         360LD09         Armada International

28 United States  877B38         Soviet Aerospace

29 United States  723B157         Bulletin of the Atomic Scientists

30 United States  360B91         Defense

31 United States  363B13         United States Naval Institute Proceedings

32 Britain             500C04         Nature

33 FRG                 368E03         Military Technology & Economics

34 Britain             360C76         Armed Forces

35 Japan               368D01         Heiki to Gijutsu

36 United States  360B10-4       DMS Foreign Military Market: NATO Weapons

37 United States  360B10-1       DMS Foreign Military Market: NATO Europe

39 United States  363B65         Sea Power

40 Japan               360B66         Gunji Kenkyu

41 United States  360B05         Strategic Review

42 Japan               360D01         Kokubo

43 United States  363B70         Army D.R. & A.

44 United States  360B08-9       DMS Ships Vehicles Ordnance

45 Britain             360C69         Journal of Strategic Studies

46 United States  710B12         High Technology

47 United States  363B12         Air University Review

48 United States  360B09         DMS Missiles & Satellites

49 United States  360B08-1       DMS Aerospace Agencies

50 United States  360B04         Defense Industry Report

51 Britain             734C105         Signal

52 Britain             368C62         Nuclear Weapons Data File

53 United States  878B59         Space World

54 United States  734B32         Satellite Communication

55 United States  734B11         Microwave Journal

56 United states  730B01-TAES    IEEE Transactions on Aerospace & Electronic Systems

57 United States  500B08         Science

58 United States  363B107         Air Defense Magazine

59 United States  360B162         Arms control Today

60 United States  360B01         Military Review

61 Japan               877D03         Koku Joho

62 Japan               877D84         Koku Zasshi

63 Austria             360LE51         OMZ Osterreichische Militarische Zeitshift

64 Soviet Union        70340          [Foreign Military Review]

65 France              360F05         Armees d'Aujourd'hui

66 France              360F05         Armee et Defense

67 France              363F09         Defense Armament

68 France              877F03         Aviation Magazine International

69 France              878F53         La Lettre du C.N. E.S.

70 Soviet Union        55994          [Aviation and Rocket Motor Abstracts]

71 Soviet Union        56034          [Rocket manufacturing and Aviation Tech Digest]

72 India               360HA60         Strategic Digest

73 India               360HA74         Strategic Analysis

74 United Nations 723W51         International Atomic Energy Bulletin

75 France              877F01         Air et Cosmos

76 United States  360B137         Defense and Foreign Affairs Policy

77 Britain             360C71         Jane's Defence Weekly

78 United States  734B147         Microwave Systems News

79 FRG                 360E05         Soldat und Technik

80 United States  878B58         Space Letter

 

   4. Insights and Lessons

 

   Because of high turnover in the personnel who gathered the periodicals and because this was the first core periodicals survey conducted by the Chinese National Defense S&T Documentation Center, the credibility of the results of the survey needs to be further verified in practice and continuously improved and amplified through future research. Based on practice in the last few years, they have won tentative approval from the scientific research personnel.

 

   This study revealed a number of unexpected facts, including some which were quite shocking to the collection personnel. For instance, of the 1,022 periodicals subscribed to in 1985, as many as 167 (or 16 percent) were totally ignored anywhere from one year to as long as six years, a sheer waste of over 40,000 yuan each year. This is a serious fact. It tells us that we as collectors must take a rigorous scientific attitude. Do not rely on subjective imagination. Do not engage in unfounded speculation. Do not believe what people say out of context one-sidedly.

 

   As a result of this piece of research, collection personnel saw the direction of their work for the future. To take our collection work to a higher level, we must conduct studies continuously. Only when we are armed with sufficient data will we not be blinded by false phenomena and only then can we stride forward toward the realm of freedom from the historical realm of necessity.

 

Chapter 6   Information Transmission Channels

 

 

   Section one -- The Concept of Channels

 

   The transmission of knowledge depends on the movement of information in order to be realized. To cause information to move from the information source to the user, it is necessary to go through certain transmission channels. In the transmission of information, the first requirement is reliability; the second is high efficiency.

 

   In describing information transmission channels, this chapter starts from the perspective of information science, describing transmission channels in a broad sense, which take information from the information source to the user. Looking at this from the perspective of the study of collection, the transmission channels used in obtaining information are merely the pre-channels within this broad definition of channels. Thus, in addition to the general features involved in information transmission channels, the transmission channels discussed in this chapter also emphasize the application of the general features of channels to analyze transmission channels used for obtaining information from the perspective of information collection, which are the transmission channels that take the information from the information source to the collection department or collection worker.

 

   It must also be pointed out that the transmission channels we are discussing refer to information transmission channels between people or between people and institutions, and not the medium or carrier transmitting the knowledge.

 

   In addition to the study of information sources and users, the research involved in collection must also study information transmission channels, so as to control the direction, speed, rate, and fidelity of the flow of information and to achieve selection of the optimal channel. In addition, the development and utilization of collection channels is also a basic technique of obtaining information.

 

   Unless there is interference, information generally does not undergo any change in form or distortion of knowledge content during the process of transmission. When we investigate channels for collecting information, it is important to consider the transmission speed, transmission capacity, specialization spectrum of information transmission and the transmission reliability and anti-interference capability of the channel. We will not speak very much about issues of intelligence transmission, nor will we discuss intelligence transmission effectiveness.

 

   Section Two -- Categories of Channels

 

   Here we will roughly categorize channels based only on our own actual situation, using the following methods.

 

   I. Categorization Based on Whether the Transmission Path Is Controlled by an Intelligence Worker

 

   This can be divided into:

 

   1. Direct Transmission Channels.

 

   These are also called unofficial transmission channels. In this category of channels, the transmission of information from the information source to the user is generally not regulated and controlled by a collection worker or intelligence worker, or only partially so. Primarily, it is controlled and regulated by the sci-tech worker, or the institution he belongs to, or the exchange group. The forms taken by this type of transmission channel are roughly as follows:

 

   (1) Face-to-face exchanges between sci-tech personnel within a work unit, or between sci-tech personnel and management personnel;

 

   (2) Exchanges between sci-tech personnel and close colleagues and friends;

 

   (3) Exchanges between colleagues in the same business as the sci-tech personnel where the exchange is only unilateral, such as observation;

 

   (4) Conference exchanges, such as academic conferences, technical conferences, demonstration meetings, appraisal meetings, panel discussions, etc.;

 

   (5) Exchanges aimed at the public at large via newspapers, television, or broadcasting;

 

   (6) Exchanges by sci-tech personnel with persons outside his field, in other sectors of society in order to develop a new field of research.

 

   2. Indirect Transmission Channels.

 

   These are also called official transmission channels. In this category of channel, information transmitted from the information source to the user is controlled and regulated by a collection worker or intelligence worker. That is to say, the user obtains the necessary information with the help of intelligence work, relying on the intelligence system. This mode of transmission channel is more unitary.

 

   3. Direct Transmission Channels

 

   Intelligence workers or collection workers participate in the control. The transmission of verbal information is fast, highly focused, and feedback is rapid. Society's need for it is becoming more urgent. In the future, once artificial intelligence technology and fifth generation computing technology are combined, its position and role will naturally become more prominent. Thus, collecting verbal information and participating in the control of direct transmission are also gradually becoming a task of intelligence departments and collection departments, resulting in the appearance of this category of transmission channel. It is another mark delineating the distinction between the information collection work of intelligence work and the library work of finding and collecting books.

 

   II. Categorization Based on the Relationship between the Information Source and the User

 

   Information sources and users may be manifested in the forms of institutions or individuals. There are different types of relationships between them, and the features of the transmission channels are also different.

 

   1. Administrative relationship channels. This type of channel is generally manifested as "top down," or "bottom up." The transmission of information is mandatory, a duty, and is achieved through reliance on the administrative structure. For example, if the user is the superior and the information source is the subordinate, when the user needs information, the information flows to the user via the administrative channel, by means of the administrative dynamic. When the superiors need verbal information, the subordinate must make a "report." Sometimes, information produced or stored by the superior passes through an administrative channel to the subordinate.

 

   2. Economic relationship channels. This type of channel is generally maintained through economic conditions or balances. It is generally manifested as "orders," "purchases," "contracts," and "exchanges" or "agreements" established on the basis of economics.

 

   3. Service relationship channels. This type of channel is generally established among intelligence units, libraries, and information units, similar information sources that store information, or radio stations, television stations and other information sources that broadcast information and users. Whether domestic or foreign, these information sources, to a certain extent, all have the quality of being a public benefit, and the transmission channels between them and their users are also to a certain extent a public service.

 

   III. Categorization Based on the Method of Networking the Transmission Channel

 

   Channels of information transmission are usually multi-segmented, network style channels. The function of the channel segments is not entirely linear. Based on the networking method used to link the segments of the channel, transmission channels may be categorized as:

 

   1. Serial.

 

   Similar to relay-style. The information is transmitted from the information source stage-by-stage towards the user or the intelligence institution or collection department. As shown in Figure 6.1, to transmit information from A to E, it must pass in order through sub-channels AB, BC, CE, and DE. B, C, D, and E may be users, or they may be intelligence institutions, collection departments, or intelligence workers or collection workers. Moreover, there must be one collection department (or collection worker) among them, serving as a primary control on the entire transmission process.

 

   Figure 6.1  Serial transmission channel

 

   [figure shows a straight line with points A through E connected in serial fashion]

 

   Unidirectional active information collection or unidirectional passive information collection often uses this type of channel. Collection of secret information must use this type of channel. Information transmitted over long distances via telecommunications sometimes must choose this type of channel.

 

   The overall number of connection segments in a serial channel can be calculated as follows:

 

   When B connects with A:  1 connection time;

   When C connects with A:  2 connection times;

   When D connects with A:  3 connection times;

   When E connects with A:  4 connection times.

 

   A total of 10 connection times.

 

   2. Centralized Style.

 

   As shown in Figure 6.2, information transmitted from information source A to B, D, and E must always pass through node C. C may be an intelligence center, information center, information center, or publication center. B, D, and E may be users, or they may be intelligence institutions, collection departments, intelligence workers, or collection workers. Center C or another collection department (or collection worker) serves as the primary control over the entire transmission process.

 

   The overall number of connection segments in a centralized style transmission channel may be calculated as follows:

 

   When B connects with A: 2 connection times;

   When C connects with A:  1 connection time;

   When D connects with A:  2 connection times;

   When E connects with A:  2 connection times.

 

   A total of 7 connection times.

 

   Figure 6.2 Centralized transmission channel

 

[figure shows point C at the center with four lines radiating off clockwise to points A, B, D, and E]

 

   The centralized channel best embodies the historical stage of intelligence work and the social function of intelligence work. It is also currently the more commonly-used transmission channel in collection work.

 

   3. Ring Style.

 

   The method of transmitting information from information source A to B, C, D, and E is shown in Figure 6.3. B, C, D, and E may be users, or they may be intelligence institutions, collection departments, intelligence workers, or collection workers. Furthermore, there must be at least one unit or other collection department (or collection worker) among them functioning as the primary control over the entire transmission process.

 

   The overall number of connection segments in a ring style transmission channel may be calculated as follows:

 

   When B connects with A:  1 connection time;

   When C connects with A:  2 connection times;

   When D connects with A:  2 connection times;

   When E connects with A:  1 connection time.

 

   A total of 6 connection times.

 

   This type of channel formation has the lowest total number of connection segments, facilitating the formation of a network. When collection channels are established in the future, this should be given full attention. Ring-style transmission channels will be a major transmission method of obtaining information in the technological stage of collection.

 

   Figure 6.3 Ring-style transmission channel

 

[figure shows a pentagon with points A through E counterclockwise at each of five points]

 

   4. Bilateral Style.

 

   The method of transmitting information from information source A to B, C, D, and E is shown in Figure 6.4. B, C, D, and E may be users, or they may be intelligence institutions, collection departments, intelligence workers, or collection workers.

 

   Figure 6.4 Bilateral-style transmission system

 

[figure shows point A with four straight lines radiating downward and connecting to points B through E at the end of each line]

 

   Actually, this type of transmission method has the least total number of connection segments and appears to be the most simple and direct, because the connections between B, C, D, and E and source A are all direct channels.

 

   From the perspective of collection work, this type of channel is a necessity, and may be used from time to time. However, in reality, requiring that a scientific research unit, information user or even an intelligence institution or collection department complete its own research and work duties and then disseminate this to a great number of places to fulfill the duty of information collection cannot be effectively implemented in the current society or in the future society.

 

   The precondition for bilateral style transmission channels is the direct obtaining of information. This type of transmission method is one of the most rudimentary transmission methods. In intelligence activity where science and technology were not developed and during the historical period of collection activity, bilateral transmission was the basic mode of transmitting information. However, both now and in the future, bilateral transmission will still be a commonly-used channel for obtaining information.

 

   When information is transmitted through bilateral channel networks, it is very difficult for intelligence institutions or collection departments to exert primary control over the entire transmission network.

 

   5. Mutual Style.

 

   This is a combination of serial, centralized, ring style and bilateral style channels, as shown in Figure 6.5.

 

   Figure 6.5 Mutual style transmission channel

 

[figure shows a pentagon with points A through E counterclockwise at each of five points; additionally, there are straight lines within the pentagon connecting AC, AD, BD, BD, and CE, so that each point is connected with all other points]

 

   A, B, C, D, and E may be information sources, or they may be users, intelligence institutions, collection departments, or intelligence workers or collection workers. The user and the information source are both relative.

 

   This type of transmission method is relatively common in current collection work. The operation of the system is fairly complex, and intelligence departments or collection departments do exert control over the transmission network, and sometimes but not always exert primary control over it.

 

   IV. Categorization Based on Whether the Channel has Social Attributes

 

   Information transmitted through a channel is influenced by a number of different social factors. Thus, it is quite natural to categorize channels based on whether or not it has social attributes.

 

   1. Human Channels.

 

   This type of channel is a social channel. It is characterized by a high degree of reliance on individual persons or groups of persons. At all nodes of the channel or at the primary nodes, it is human beings who control or change the direction, speed, and rate of the information transmission.

 

   Human channels have a long history, and to this day are still the primary channel of transmitting information. The advantage of this channel is its flexibility, resilience, and ease of being directly regulated and controlled by human beings. Moreover, user feedback information is easily obtained. The drawback of human channels is that transmission speed is slow, and the efficiency of network transmission is not high. Furthermore, there is a great deal of interference from social factors. Obviously, human rules and regulations, the quality of personnel and their work styles have a very important impact on the quality of transmission.

 

   In the transmission of secret information, human channels play a critical role.

 

   2. Natural Channels.

 

This type of channel is a kind of mechanical channel, which is to a large extent free from the influence of individual persons or groups of persons. Examples include telecommunications and optical communications channels. Regulated electrical signal or optical signal information is transmitted over electrical wires, cables, fiber optics, optical cables, or through space.

 

   The appearance of telecommunications channels and optical communications channels marks humankind's entrance into a new historical period in methods of information transmission. In the current age, the development and utilization of database information requires obtaining necessary information from distant places in a timely fashion, making the use of telecommunications channels imperative. The appearance and development of telecommunications channels has brought about a transformation in collection concepts and collection techniques, strengthening people's capability to transmit information.

 

   The greatest advantage of telecommunications channels and optical communications channels is the rapid speed of transmission, which "shrinks" the distance between the information source and the user and collection department. In addition, this type of channel can meet the demands of networked databases linked by computers. The drawback of this type of channel is the difficulty of making timely adjustments to the channel properties based on feedback information.

 

   V. The Complementary Nature of Transmission Channels

  

   Taking information collection work as the point of departure, collection workers establish and develop various types of channels in order to transmit the information from the information source to the user. Although there are many types of channels, each has its strong points and its uses. Typically they are not interchangeable, and can only have a complementary relationship. Thus, when establishing and selecting information transmission channels, collection workers cannot favor one type while overlooking another type, but must establish a complete set for comprehensive operation. For example, direct channels and indirect channels must co-exist for a long period of time. Service relationship channels and economic and administrative relationship channels must be permanently complementary. Only administrative relationship channels may be chosen for collecting information on domestic defense sci-tech planning, as information will not be available through economic relationship channels. For collecting foreign information of a general nature that is not particularly time sensitive, a channel from Chinese library import/export companies or foreign language book stores should be selected. However, for collecting specific, urgent, and even secret information, a channel must be selected that has high transmission speed, is capable of obtaining more, and has high transmission reliability.

 

   Networking is a necessary trend in the establishment of transmission channels, and as a result will certainly strengthen the complementary relationships among channels. Putting emphasis only on the aspect of establishing "serial" and "centralized" transmission channels should gradually be changed.

 

   The lack of information transmission channels, collection systems that have not been integrated into the national system, and the failure to establish scientific collection networks that can be actively controlled is currently the greatest and most pressing problem in sci-tech information collection work. We believe that with the implementation of opening to the outside and domestic revitalization, and with the progress in reforming the sci-tech system, this situation will gradually change.

 

   Section Three -- The Properties of Channels

 

   Usually the following variables can be used to describe or measure transmission channels.

 

   I. The Channel's Transmission Speed

 

   Information is a substance. Thus, whether it is information that the transmitting human being can directly perceive and recognize, or information that the transmitting machine can detect and recognize, it is all a physical process, and the transmission of information requires a certain amount of time. The time required for the information to be transmitted from the information source to the user or the collection department can be used to describe the channel's transmission speed. The smaller the amount of time used, the faster the transmission speed. One article requires several hours, several days, or even several months to be transmitted from the "source" through the channel to the user. It requires several hundredths of a second or several tenths of a second for a group of sound signals to be transmitted from one person through a channel directly to another person. An electrical signal only needs several thousandths of a second or several ten thousandths of a second to be transmitted from the signal source through the telecommunications channel to the receiving terminal. A document imported from abroad often requires six months to a year if it is brought in through a Chinese library import/export company channel. Using one's own channels may only require 2-3 months. Information from the Stockholm International Peace Research Institute takes one year to go from publishing to reception, going through Chinese library import/export companies. A direct exchange takes only a few days or a few weeks.

 

   II. The Channel's Transmission Capacity

 

   Optical, audio, and electrical signals must all be transmitted one at a time. Articles can only be sent one at a time as well. For any transmission channel, the amount of information accurately transmitted within a unit of time is referred to as the channel's transmission capacity. The transmission capacity of a channel is limited. Viewed from the perspective of a document user, if the documents are transmitted too quickly or there are too many, the user cannot make selections. With regards to receiving equipment, if signals are transmitted too quickly, the receiver cannot distinguish them. If a person who is a source of verbal information speaks too quickly, the listener cannot hear anything clearly. When too much information comes in order within the unit of time, it exceeds the collection department's ability to select, examine, and accept, and the information piles up and cannot be put to use in a timely fashion.

 

   Transmitting information in the form of books or microfiche is currently still the primary content of collection work. The channels for transmitting these forms of information are social, human channels. Factors that affect transmission speed and transmission capacity, besides the restriction of the features of the channel itself, include many other social and human factors.

 

   Bits/second can be used to express the rate at which a mechanical channel transmits electromagnetic signals. Expressing the rate at which human channels transmit information in the form of books or microfiche is not that simple.

 

   When collecting information, a collection worker must consider the limits of the channel's transmission capacity, and must do his utmost to select the channel with the fastest transmission speed, based on the time requirements for receiving the information, so that the information can be collected as soon as possible and promptly transmitted to the user.

 

   III. The Channel's Breadth of the Spectrum of Specialization

 

   The knowledge content of all information, no matter what form it takes, belongs to a certain specialized category.

 

   Transmission channels have limits relative to the specialization of the information they transmit. A specific channel can only allow information from a certain category of specialization to pass through. This is what is meant by the concept of a channel's breadth of the spectrum of specialization. The larger the range of specialized categories of information that are allowed to pass through, the broader the spectrum of specialization, the converse being narrower.

 

   The spectrum of specialization of channels passing through Chinese library import/export companies is very broad. As long as it is public material, it all passes though, regardless of whether it is natural science, social science, or involves national defense science and technology.

 

   Using channels that pass through institutions of all types stationed abroad, it may be possible, under certain conditions, to transmit public information on the military and national defense science and technology. The spectrum of specialization is fairly broad.

 

   The breadth of the spectrum of specialization of channels established by national business departments depends on what fields they are in contact with.

 

   The range of specialization of information that can be transmitted though the channel of a particular individual is naturally narrower, and is limited by their specialized knowledge and post.

 

   Telecommunications channels are also like this. We can use online methods to collect information on U.S. defense market service companies, but the information collected is only that related to market conditions for weapons worldwide, and not information on other market conditions.

 

   In summary, different transmission channels have different breadths of the spectrum of specialization. When carrying out the collection of information, the appropriate channel must be selected based on the user's requirements for the range of specialization.

 

   Section Four -- Channel Interference and Anti-Interference Measures

 

   Transmission is the process of moving information from the information source to the user. The fundamental requirements for transmission are first reliability, and second high efficiency.

 

   The transmission of information is carried out via channels. Channels can play the role of a transmitter, and at the same time they can play the role of interference or hindrance. As long as information is being transmitted through a channel, interference will necessarily occur. There are many forms and types of interference. Some delay the time of transmission, while other change the direction of transmission, and still others distort the symbols representing the knowledge within the information. In summary, the result of interference is to make the user unable to receive the information, or unable to receive it in a prompt or reliable fashion.

 

   There are many reasons that give rise to interference. Some come from within the channel, such as the organization of collection work, the level and quality of personnel, etc. Others come from outside the channel, such as political factors, social factors, natural factors, etc. While these sources of interference may be controlled or appropriately excluded, it is never possible to eliminate them. The difficulty of combating interference lies in the social attributes of transmission channels. On the one hand, it is very difficult for a collection worker to know for sure that information is being subjected to interference while in the channel, and the extent of the interference. On the other hand, even when he knows, more often than not he can do nothing about it, because the entire transmission process is not under the control of a single collection worker. Thus, it cannot be expected that any channel will function exactly as the user demands. All that can be demanded is that it do the best it can to function satisfactorily.

 

   I. Types of Interference

 

   1. Interference from Crowding.

 

   For a particular channel, if the amount of information transmitted within a unit of time is smaller than the capacity of the channel, then the information can be transmitted normally. If the amount of information transmitted within one unit of time is greater than the capacity of the channel, then interference due to crowding will occur, causing a breakdown in flow or a jam.

 

   2. Distortion Interference.

 

   When information is being transmitted in the channel, distortion of the symbols that represent the knowledge may occur due to interference. This, in turn, affects the amount or fidelity of the knowledge transmitted. This is what is meant by distortion interference.

 

   Some distortion interference arises due to improper work, such as loss of information on a magnetic medium, or coding errors, damage to documents during the transmission process, or missing pages, indistinct copy, etc.

 

   Some distortion interference is intentionally caused by people, such as human interference with electromagnetic wave information, measures adopted for confidentiality, actions taken to further one's own economic benefit, etc. To deal with distortion interference caused by humans, in doing collection work we should rely on the abundant knowledge of intelligence sources and information sources, and examine and distinguish advanced collection technology.

 

   Yet another type of distortion interference is caused by nature or the environment. Examples include the influence of lightning on short-wave signals, the influence of automobiles and electric welding machines on television signals, the influence of weather and storage conditions on books and film, etc.

 

   3. Interference from Time Delay.

 

   In the collection of information, time is of the essence. Factors that influence the normal transmission speed of information in a channel is what is meant by interference from time delay.

 

   Many complex reasons give rise to interference from time delay. They carry strong social attributes, and are intimately connected to entire nation's level of science and technology, management system, and intelligence policies. If one of your clients does not have very stringent demands with regard to the promptness with which information is transmitted, then if the transmission speed is somewhat slow , being a few days or a few months late doesn't matter, and when interference due to time delay arises, no one takes it seriously. Furthermore, both collection departments and end users tend to "cope" with interference due to time delays, turning a blind eye to it, and adopting a see no evil, hear no evil attitude.

 

   Here is a vivid example: in its dealings with our nation, there was something the US National Technical Intelligence Service Office could not understand. When China sent them an order, it was always a batch and never divided into urgent or routine items; all were to be handled as routine. They also felt that China never used modern methods of communication to obtain materials from them. Developed countries are different from us, in that when obtaining materials, urgent cases are handled urgently and slow cases are handled slowly.

 

   Solving the problem of interference due to time delay requires starting from the management of collection work.

 

   4. Directional Interference.

 

   When information moves through the channel it should go from a specified information source to a specified user, and this direction of flow is controlled by people. If some factor causes the information to go away from the specified user, then directional interference has occurred in the transmission.

 

   Occasionally, directional interference arises due to mistakes in publishing, mistakes in ordering, and other errors, and in these cases the interference is easy to eliminate. But the majority of directional interference arises because the collection worker has not done sufficient research on the intelligence source, information source and user. Eliminating this type of interference requires raising the quality of collection personnel and strengthening investigation research.

 

   II. Typical Methods of Combating Interference

 

   An information collection worker should realize that information being transmitted through a channel cannot be completely free from interference, but he should further be aware that anti-interference measures can be taken to control interference and to exclude interference. It can be said that for a collection worker facing a specific user and specific issues, one of his important tasks is to actively exclude interference, and to transmit the information quickly and accurately. The following measures can typically be used to combat interference:

 

   1. Improve the Organizational Work of the Information Collection Department to Reduce Interference Coming from Within Channels.

 

   As mentioned before, one important reason why channels are subjected to interference is that organization work is inadequate. Thus, based on the features of the channel, adjust work organization and work flow at appropriate times, raise the level and capability of collection personnel, and improve work methods and work styles, so as to achieve the goal of "accurate" and "fast" transmission of information. For example, to solve interference from crowding, planning can be improved, and selection work or the rational use of channels can be strengthened. Obviously, raising the recognition of collection work, strengthening leadership of collection work, and adjusting the structure of collection personnel intellectual resources are fundamentally significant to controlling channel interference.

 

   2. Strengthen Existing Transmission Channel Infrastructure and Raise the Channel's Ability to Combat Interference.

 

   Every information collection department has its own collection channels, and in the work of collection they should carry out multi-faceted considerations of the actual situation and summarize each one's reliability, strengths, and shortcomings. It is impractical to demand that every channel be perfect, but by focusing on each one's strengths and cultivating and strengthening them, each one will have its own different features, so that we can use the appropriate one based on the requirements of the actual mission. By targeting their weaknesses, it should be possible to get to the bottom of things, find the reason behind the shortcomings, and take relevant strengthening measures, raising their anti-interference capability to the maximum extent while lowering their shortcomings to the lowest level. An information collection worker should know the features of the existing channels like the back of his own hand and be thoroughly clear about them.

 

   How should one go about strengthening? This may begin from organization, coordination, economics, administration or other aspects, but in any case must be administered comprehensively.

 

   3. Choose Transmission Channels with Relatively High Reliability, Boldly Expanding Their Utilization, and Gradually Perfecting Their Functions in Practice.

 

   One important point here is the issue of "ideas." At present many of our comrades who work with information are greatly influenced by the power of tradition. They learned their work procedures and work methods from the "master" and are not willing to think outside the box. With regard to the work of information collection, one manifestation of this is that wherever the "master" obtained his information is where I obtain information. Whatever channels the "master" used are the channels I use. Even if more reliable channels are discovered, they "stay in a rut" and are unwilling to "try something new," sticking to the same course no matter what. It is impossible to raise the efficiency of collection work by continuing in this way.

 

   We should boldly select channels of higher reliability discovered in practice, and expand their utilization. Sometimes one channel's spectrum of specialization may not be wide enough, and the collection worker must take the initiative to widen it appropriately.

 

   4. Develop New Channels that Are Not Vulnerable to Interference.

 

   For a long time national defense sci-tech intelligence units have collected foreign information, and because they were subject to the limitations of the era, for the most part they used serial channels or centralized channels to carry out the work, and interference from time delay was fairly intense. With opening to the outside taking place, the timely establishment of direct channels under one's own control on the principle of mutuality will reduce the links in the process of collection and speed up information transmission speed, raising the reliability of information transmission.

 

   It is necessary to remind people to keep in mind that as an information collection department, at the same time that collection channels are being established, it is imperative to do the two tasks of keeping a tight grip on user research and intelligence sources and investigating information sources in order to achieve the goal of controlling channels and curbing interference.

 

   5. Differentiate Information Transmission on the Basis of Relative Importance and Relative Urgency.

 

   This is a very effective method collection workers can use to combat interference due to crowding and interference due to time delay.

 

   6. Simultaneous Transmission through Multiple Channels

 

   Under special circumstances, for particularly urgent material, the method of simultaneous transmission through multiple channels may be used. At such times one should not hesitate to add redundancy in exchange for the most reliable method that obtains the most information. Actually, when materials of the same type are sent from the same information source through different channels, some will always be faster, some slower, some arriving earlier and others later. There is a higher economic price for this type of anti-interference measure, and it cannot be used widely.

 

   7. Continually Develop and Apply Modernized Intelligence Techniques.

 

   Promote scientific, modernized collection techniques in order to provide reliable technical support to controlling channel interference.

 

   Section Five -- Channel Confidentiality

 

   Channels are divided into secret and public. The primary control exercised by a collection department or collection worker over a secret channel is most obvious. During the process of transmission, secret information is always surrounded by the conflict between "theft" and "protection." The collection of classified information must follow these principles: Transmission of secret information can only be done through secret channels; in developing secret information transmission channels, the struggle between theft of secrets and resistance against theft of secrets must be kept in mind, and precautionary measures must be taken; demands must be strict and work tight; protect secret transmission channels seriously.

 

   The development and establishment of secret information transmission channels is a policy-intensive, long-term task involving a high level of coordination. During the development period, in addition to paying attention to the issues of "obtaining" and "precautions," deliberate human interference must be recognized and eliminated.

 

   For professional collection workers, the protection of secret information transmission channels is relatively easy to do, but users sometimes lower their guard. Once the information is activated by the user, and the intelligence obtained is utilized, the sci-tech work of the user will yield new results and accomplishments. At this time, some users often consciously or unconsciously reveal secret channels in the course of disseminating or publicizing their achievement, interfering with the normal operation of the channel. Thus, during the process of obtaining and using secret information, collection workers certainly must discharge their duties faithfully, educating the user about publicity in time, and seriously requesting that they do their part to protect the channel and do their work according to the rules. At the same time, collection workers themselves must not casually spread around information concerning the secrecy of a channel.

 

Chapter 7   Methods and Techniques of

Obtaining Information

 

 

   This chapter presents an introductory outline of information collection programs, methods and procedures. Generally speaking, research data sources, intelligence consumer requirements and transmission channels can also be included under the category of collection technology. Those topics have already been introduced in preceding chapters.

 

   The question of collection is not only one of methods and technology, but it encompasses skills and expertise as well, the latter having much to do with individual human qualities, temperament, accomplishments and abilities, but these are matters not dealt with in this book.

 

   As regards the discussion of collection methods, the point was made in Chapter 1, Section 5 that "from the developmental aspect, search topics could be treated under information collection methodology." Section 1 of this chapter addresses the subject from the aspect of collection systems, and briefly visits the question of how acquisition is done. The other sections of this chapter describe actual collection methods.

 

   Section One -- Information Collection Systems

 

   Information collection methods and technology are intimately linked to the subject of collection systems. Although information collection systems have been around for a long time, they had not received close attention until the development of intelligence S&T and especially the greater application and timeliness requirements for the information needed by modern society. Only through gradual development of the concepts and mastery of the technologies pertinent to collection systems will it be possible to raise information collection to a higher levels of efficiency and make collection systems more scientific.

 

   I. General Description of Information Collection Systems

 

   An information collection system is the input mechanism of an intelligence system, meaning that the function of a collection system essentially is to perform the input operations for an intelligence system. Input operations are obviously germane to the goals, capabilities and system environments of collection systems.

 

   The information collection system is an organized collection apparatus composed of many links. It gets many kinds of inputs from its information sources and gives many kinds of outputs to intelligence consumers. An information collection system is an open system that makes constant adaptations to a changing system environment.

 

   An information collection system is a transmission system with information coming in and information going out. An information collection system cannot change the structure or form of the information itself, but it can change the speed and direction of the information transmission.

 

   To state it succinctly, an information collection system applies search methodologies, and in accordance with consumer requirements hunts, discovers, selects, transmits and supplies useful information.

 

   An information collection system consists of two parts, men and machines. As collection S&T develops, machines will have greater roles to play, but they can never replace humans. The relationship between humans and machines will demand study, but human activities will come first.

 

   An information collection system may be categorized as a manually operated system, mechanically operated system or an electronically operated system. Present day S&T information collection systems are primarily manually operated systems.

 

   Information collection theory is still in its formative stage. The S&T aspects of information technology, computer technology, operations research, systems science and intelligence studies will provide the technical and methodological bases for the development of information collection systems. The epicenter of research on information and collection is the progressive developmental research on information collection systems.

 

   II. The Analysis, Design and Activation of Information Collection Systems

     

   The establishment of an information collection system involves three stages: system analysis, system design and system activation.

 

   1. System analysis. This stage defines the targets, requirements and workability of the collection system. The analytic research probes the questions of who are the users, who are the primary and the general users, what are the categories of users, and what kinds of information will be needed at what times for what special activities? What sorts of information resources are relevant? Can they be produced? What are the available supply channels? Are their intents and extents rational, and are they organizationally, technologically and economically workable? Intelligence consumer requirements research, intelligence sources and information sources research, and delivery channels research provide the foundations for collection systems analysis.

 

   2. System design. In accordance with the aims and capabilities of the collection system, the plans and designs will set the specifications for organizing personnel, finances, materials and technical facilities, and they will set the rules for working in concert to actuate interdepartmental coordination of collection. In designing a collection system, collection systems at large must be studied to gather reference data to be used for proposing and establishing new system specifications.

 

   3. System activation. This includes collection system operations, calibrations, controls and evaluations.

 

   III. Particular Points of Activating an Information Collection System

 

   1. Calibrations and evaluations of a collection system can only be done while the system is operating. System effectiveness and problems can only come to light when the system is in operation, therefore, when the system is actually activated it is absolutely essential to get feedback from consumers and information to information sources to enable continuous regulation of the collection system so that the system can maintain normal operations.

 

   2. A collection systems is an open system, closely connected to the external environment and the intelligence system. Changes in the external environment have a direct impact on the effectiveness of a collection system, therefore, in the process of activating a collection system, it is important to pay close attention to the effects that external control variables have on the structure and functions of a collection system in order to enable the collection system to exercise good adaptability.

 

   3. A collection system is an active society that places high demands on cooperation, and it is closely associated with a multitude of activities inside and outside of the intelligence system. Within the collection system there are extraordinarily complex nonlinear mutual activities among subsystems. Therefore, the collection system must be constantly perfecting itself, its internal coordination mechanism must be studied and coordinated in activation.

 

   4. A collection system's operations are set up on a basis of a sequential processing of a series of singular operational assignments, therefore, in the course of actuating a collection system, the complex process of collection is broken down into a series of more simple collection processes, including the assignment of people, posts, and duties in order to achieve an organized implementation, which means, in effect, reducing to a minimum uncoordinated implementations of subsystems within a collection system and keeping them operating harmoniously in a unified order that best assures the well being of entire collection system.

 

   A collection system contains a wealth of matter that must be carefully studied by a large body of intelligence operators.  The general makeup of a collection system has already been treated from several viewpoints as addressed above. Proceeding from the general principles, an attempt will now be made to outline organizationally the question of "how to collect." It is believed that the way to conduct research and development of various kinds of highly effective collection systems is through more rapid acquisition techniques and S&T, more substantive collection science, and the earnest development of information science.

 

   Section Two -- The Basic Process of Obtaining Information

 

   I. Setting Collection Policy

 

   Collection policy must be formulated according to the purposes and mission of each collection system. Collection policy doesn't solve the basic problems of collection activities, but guides the general principles of collection operations and inspects the criteria of collection operations.

 

   Collection policy is determined according to the intentions of the higher authorities, their understanding of the intelligence environment, explicit service objectives and financial considerations.

 

   1. Administrative levels and echelons. The first thing that must be known when setting collection policy is where the intelligence elements fit into the national intelligence system. If it is to be at the State Council level, totality is to be considered; at the ministry and commission level, comprehensiveness is considered; and at the research institute level, the specialty is the item of consideration.

 

   2. Intelligence environment. When setting collection policy, the specific locations within the intelligence environment must be thoroughly studied, such as the geographical environment or the cooperative environment, so that the collection policy can embody the principles of systematics and networking in order to achieve a rational layout of resources.

 

   The context of the intelligence environment must also include the effects and actions of the information industry.

 

   3. Service objectives. Requirements differ according to different kinds of people and different kinds of information, for example, the kinds of information needed by people engaged in national defense S&T management are obviously different from those engaged in national defense S&T research. Therefore, the specific needs as determined by service objectives of the intelligence element must be taken into consideration when setting collection policy.

 

   4. Financial capability. Collection policy must be supported by reliable financial resources. Two points are important in considering financial resources. One is that the information costs inflate annually. Such factors as the natural inflation rate of imported documents, increasing management expenses, and yuan (renminbi) devaluations combine to raise prices by 15 to 20 percent every year. The other factor inflating the cost of information that must be considered is China's material expense funds allocation system, which is set in advance and doesn't change over many years.

 

   5. "Increase product variety, reduce redundancy, distribute rationally, share resources." Although this slogan is mouthed by every intelligence element engaged in the process of setting collection policy, and everyone endorses it as the guiding policy, it has, in fact, for a variety of reasons, not borne much fruit. There is the sense that funds are tight, but there is also a lot of redundant collection, and it occurs everywhere. As the S&T management system reforms set in, it is hoped that this situation will be turned around.

 

   II. Formulating Collection Plans

 

   A collection plan is the scheduled embodiment of collection policy that not only defines specific targets for collection operators, but proposes solutions for anticipated problems.

 

   In the process of drafting a collection plan, the following principles should be observed:

 

   1. Foresight. Material resources, user requirements, the laws of statics and change that will effect transmission channels during the course of the plan, and other plan‑inhibiting conditions should be forecasted.

 

   2. Systematics. In terms of space, the requirements for rational arrangements between elements and the question of overall balance of various categories of information within elements must be considered. And, in the time domain, the question of succession and serial continuity must be considered.

 

   3. Expansiveness. New plans offer new development and innovations over old plans, and there should be no feet dragging or resistance to change.

 

   4. Multidimensional structures. Every aspect of information collection cannot be fully attended to, and a more reasonable multidimensional structure should be defined on a more appropriate scale in accordance with the mission and collection policy of the individual element itself in terms of its information categories, product types, quantities and specialties.

 

   5. Focus. Collection plans must be focused on the needs of consumers and avoid being drawn into the quantity‑oriented "storage center" mentality.

 

   6. Salient points. The salient points of collection in the plan should be the information most important to consumers, items of widely shared interest and those that have the most promise of getting results.

 

   7. Domestic and foreign integration. In the collection of information, Chinese and foreign language information are equally important. Some intelligence elements pay more attention to foreign language information than Chinese language information. The collection process should not be focused on the importation of foreign information alone, but should combine foreign information with Chinese information. In differentiating situations and making selections, some collected foreign information should be used, and some domestic, and methods of duplication extraction and textual rendering methods should be used in the search for answers.

 

   8. Keep within financial means. Proceed in accordance with financial and personnel strengths.

 

   III. Implementing Collection

 

      The actual collection of information is a time consuming process that is conducted in two phases.

 

   1. Organizational activity. One aspect of the organizational activity takes place within collection departments, such as the organizational work of making selections, assigning studies, admitting new members and organizing work flow. The other is the aspect of external organizational activity. People and organizations are the sources and the consumers of information, and the transmission channels under whatever conditions can't do without people and organizations. Therefore, external organizational activity is always to be done. It is called liaison work. Collection operators all have certain organizational and liaison capacities.

     

   2. Service processing. In the actual process of collecting information, every collection operator has to do an awful lot of painstaking work, work that is necessary and practical, without which the information basically cannot be obtained. It is by means of this work that the inherent problems of collection, the summation of the collection experience, and the sought after laws and scientific nature of collection work should be discovered.

 

   IV. Consumer Information Feedback

 

   The collection of the information and delivery to the consumer, or non‑delivery to the consumer as the case may be, having been accomplished, does not represent the end of the collection process. An important step in the process is the collection of consumer reactions and appraisal of the information. This information feedback facilitates adjustment and control of the information collection and transmission process, the progress of the collection effort, the perfection of the collection system, and the improvement of results of the collection effort. The execution of this procedure is not easy, but it is very easy for collection departments and operators to neglect accomplishing it.

 

   Section Three -- Basic Methods of Information Collection

 

   The so‑called collection method means the timely collection of information from the information sources in accordance with the collection plan. There are many collection methods and they can be summarized according the customary practices of collection operators as follows:

 

   I. Assigning the Direction and Subjects of Collection

 

   1. Directing collection. This means, within the limits allowed by the plan, to implement full collection of all information produced by a certain information source, or all of certain categories of information, or certain specifically designated information. The collection may be directed to collect all of the London International Strategic Research Institute's research reports; or it may be directed to get the complete sets of AD reported film information or all of the NASA film reportage. IEEE information could be the directed target of collection; or the directed collection may be a book title or some concrete leads supplied by a consumer as a "means to get the goods." The many foreign TV signals monitored by foreign installations, or signals of foreign broadcasting stations are also directed collection. That consumers derive intelligence from directed collection information goes without saying.

 

   2. Assigning collection subjects. This means assigning information collection according to the area of specialty or outline of requirements appointed by the consumer, and although the assignment may be well focused, the collection is guided by a frame of reference in which the targets are not absolutely definitive, and the information that is actually wanted lie within that framework. Collection is therefore not an easy task, and there is an aspect of randomness about it that puts a high demand on the quality and expertise of the collection operator. Every item of information collected in this manner will not necessarily be useful, but when a useful item turns up, it will have positive after effects. Information collected that is directed at leadership organizations or research department "subjects" falls under assigned collection subjects. Verbal information collected through the "selected subjects" of arranged technology exchanges are also assigned collection subjects. As (itemized) fact databases and full‑text databases are developed, the information in those databases collected through on‑line retrievals directed at specially designated questions also fall under the category of assigned collection subjects.

 

   3. Directed collection and assigned subject collection methods are mutually supportive. The traditional "document repositories" are largely of the directed collection methodology. The collection activities of S&T intelligence work should put more emphasis on applying the assigned subject collection approach to intelligence questions and apply directed collection efforts toward certain specially designated information.

 

   II. Active and Passive Collection

 

   1. Active collection. To actively collect information deemed pertinent according to analysis and anticipation of the consumer's requirements is active collection. Active collection is difficult in the respect that it requires the information collection operator to be very strong in the research capabilities and specialized knowledge of the consumer.

 

   2. Passive collection. To passively collect information in accordance with the precise and concrete contents and even leads or clues provided by the consumer is called passive collection.

 

   3. Active collection and passive collection are mutually supportive. For many years, the conduct of collection was passive, and not much use was made of active collection. Consumer problems often arise suddenly, and then the information collection is initiated. The effective way to reduce this "time lag" is to improve active collection activities both organizationally and individually through operators, and this has become a priority item for collection departments.

 

   III. Unidirectional and Multidirectional Collection

 

   1. Unidirectional collection. Unidirectional collection means using a single channel to collect from a single information source in response to a specially designated consumer requirement, and this is the means most frequently encountered in actual collection work. The unidirectional collection of overt information for general user needs usually satisfies the requirement. It is the means generally used to collect classified information as well, and the need for multidirectional collection is not great.

 

   2. Multidirectional collection. Multidirectional methods may be used to collect information from a single information source or multiple information sources to satisfy a special requirement from a special consumer. Multidirectional methods can't be used often because they can easily result in redundant collection. The trade‑off for redundancy in multidirectional collection is timeliness and accessibility.

 

   IV. Tracking Collection

 

   For certain types of requirements, dynamic monitoring and tracking is conducted against relevant intelligence sources and information sources, and when new and useful information arises, collection is initiated. Tracking collection is useful for obtaining dynamic information and accumulating information on special topics. Tracking collection is often done in coordination with intelligence research or soft‑science research activities.

 

   V. Positive and Negative Integration

 

   It is neither necessary nor possible for any intelligence element to gather all information systems within one collection scope, especially in view of the rapidly developing databases of today, and there is no reason to persist in simply using the "positive" collection method.. In the information age, "positive" and "negative" must be combined, which means collecting "positive" information, and also collecting "negative" information leads. "Positive" information is collected to load a database so that customers may be served by means of the retrieving "positive" information from the database. Collecting "negative" leads enriches a database by providing consumers with pointers that tell the consumer what sorts of information other departments may have, where the information that the consumer wants may be found and by what means it can be obtained.

 

   The "positive negative integration" method is an important revolution in the concept of collection that gives the collection operator new vistas and new vitality.

 

   Section Four -- Information Collection Methods

 

   Determining collection policy, formulating collection plans and selecting collection methods will not collect the information without the aid of specific means of collection.

 

   I. Administrative Procedures

 

   Information collection is conducted through the authority of administrative organizations and leadership and through authoritative administrative command. It encompasses such forms as report submissions, subscriptions and allocations. The collection of documents, archival information and program information must be done through administrative procedures.

 

   II. Economic Procedures

 

   Information collection is conducted according to the requirements of economic laws and regulations, through such forms as economic levers and adjustments. It involves such things as ordering of goods, making purchases, and conducting on‑line retrievals. Information collected from independent economic profit‑making information sources must be conducted though economic procedures. Economic procedures are the most important and most common procedures used in information collection.

 

   III. Legal Procedures

 

   Information collection is conducted in accordance with laws and regulations and social standards comparable to laws. There are many such procedures in operation abroad, such as the contract system. Collection of national defense S&T by U.S. national defense technical intelligence centers by law is subject to the budgetary system. This sort of procedure is not much used in China.

 

   IV. Person to Person Exchange Procedures

 

   Information collection is conducted through personal contacts, as in attending academic exchange conferences, technical exchange conferences, planning, demonstration, and appraisal meetings and through discussions between individuals. This is the procedure commonly used for collecting verbal information, but it is not limited to verbal information. Participation in consultative activities is also a person to person exchange procedure for collecting information.

 

  

 

   V. Social Service Procedures

 

   Information collection is conducted through the social service attributes of intelligence elements, such as through the receipt of complimentary books, requests and exchanges. Intelligence elements should be attentive to using their attributes as information sources to spread their influence. Intelligence networking activity should be developed. In times past the social service procedure was an important form of information collection, but has gradually fallen into disuse.

 

   VI. Telecommunications Procedures

 

      Optical and electronic signal information can be collected by communications facilities. Telecommunications procedures are necessary for collecting information from database resources at long range.

 

   VII. Other Procedures

 

   This includes such procedures as on‑site acquisition, eaves‑dropping and theft.

 

   Section Five -- Selection Techniques

 

   The process of information collection encompasses the process of information selection, and information selection occupies every moment of every hour. Making good selections is the key to achieving quality accomplishment of the collection mission.

 

   I. The Intent of Selection

 

   The basic intent and purposes of selection in the process of information collection are keeping costs to a minimum, getting the needed information to the consumer as quickly as possible, reducing and eliminating interference and running a smooth information collection operation.

 

   Selection and collection are inseparable sequential activities, selection being the preparatory stage of collection.

 

   Making selections is a day to day activity in the process of information collection, and it is not at all an easy task. The technique of selection requires a wealth of expertise based on the collector's abilities, knowledge of information science and collection science, and selection skills, and especially analytic abilities, associative skills, judgement and empirical knowledge.

 

   The selective reach of a collection operator does not extend to making selections for the distilling of intelligence from the information.

 

   II. The Content of Selection

 

   As expressed above, selection permeates the entire process of information collection, and every link in the collection process involves the act of selection. The workings of every subsystem in the collection system for the most part are inseparable from the processes of selection.

 

   1. Selection of information required by consumers. It is not possible to respond to every consumer desire. It is necessary to see whether the information desired falls within the range of what ought to be collected, and whatever does fall within that range must be prioritized and dealt with on its merits.

 

   2. Selecting resource materials. In making selections it is important to consider the accessibility of the information, what it will cost and what will be the response time of the information source in satisfying the consumer requirement.

 

   3. Selecting the form of the information carrier. When selecting information categories, it is important to consider the readability of the information, and the factors of cost and storage conditions.

 

   4. Selecting information transmission channels. In selecting the channels, it is important to consider the speed of information transmission, the reliability of the channels and their vulnerability to interference.

 

   5. Selecting information content. This has to do with judging the information content of the information. One thing to consider in selecting information content is the special reference of the expressed main subject of the request, and the other is whatever has relevance to the expressed main subject. Special reference means that which coincides completely and having relevance means having a certain degree of connectedness. At the same time, in selecting information contents, it is also important to pay attention to whether the element already may have the information, and whether it has already been acquired, and that leads the question of setting up techniques and systems for cross‑checking information.

 

   6. Selecting information transmission opportunities. Selecting transmission opportunities mainly concerns selecting the most opportune times for most convenient and reliable transmission.

 

   7. Selecting information acquisition volumes. In order to best satisfy consumer requirements it is necessary to select a suitable "safety coefficient" for handling an adequate and practical volume of information before the information is actually collected.

 

   III. Difficulties of Selection

 

   Selection, to be sure, is pretty tough to do, first because it has to be done in accordance with the consumer requirement, irrespective of the sentiments of the selector. It is well known that consumer requirements come not only in great variety, but they can be highly idiosyncratic and difficult to comprehend. The second reason is because in the process of making selections, accurate judgements have to be made as to where the information fits into the consumer requirement, and that can only be satisfactorily accomplished through thorough investigation and study of the information and intelligence sources. And the third is because, in the process of assessing the content of the information, it is difficult to make anything more than a general appraisal of any content that is beyond the scope of the selector's own expertise, which is tantamount to saying, the less the selector knows, the easier the selection.

 

   The difficulties described above are the collection operators' subjective reasons for the difficulties they encounter. The objective causes of the difficulties that often confound collection operators are these:

 

   1. Collection policies are not clear, and that leaves collectors with no clear guidance as to what to do in the course of making selections. The causes for that are often of a social nature, or they lie within the structure of the operational organization.

 

   2. The explosive increase in information volume. The vastness of human knowledge and the rapid increase in the volume of information and types of products is constantly expanding selection options available to collection operators and it is making it difficult for them to master the full range of relevant information and intelligence resources.

 

   3. Knowledge is rapidly outdated. Modern S&T development is a cauldron of change with new discoveries, inventions and creations being made every hour of every day. Old ideas are being supplanted by newer ideas, and imperfect methods by more perfect methods. This applies to S&T personnel likewise, and so to collection operators. The rapid obsolescence of their store of knowledge makes their selection of information content less and less adequate. The fact that collection operators are generally responsible for a broad range of specialties makes these conflicts and difficulties even more pronounced.

 

   4. The language obstacle. The information encountered today and in the future will be composed of language symbols used for abbreviating knowledge. Collection operators, in selecting information content, must first recognize symbolic language. The language comprehension of any individual collector has its limits, and not only will the difficulties of natural language, specialized language and machine language be encountered, but what presents even more serious difficulties are the variations in texts and degrees of writing skills.

 

   5. Time differential. There is a time lag between the formation of knowledge in the brain and its transformation into solid information. The delivery of information from the information source to the consumer takes time, and there are time‑consuming obstacles in that delivery time that also contribute to the time differential. These two kinds of time differentials are social in nature, and the processes of their formation are generally beyond the control of the collection operator. It is often difficult to produce the most desired conditions for choosing the best time for transmission.

 

   6. Economic limitations. The process of selection is clearly constrained by financial considerations. The collection operator may happen upon a most ideal circumstance for making a selection, but a lack corresponding financial support may render him willing but unable to serve the consumer.

 

   7. Problems of selection methodology. The conduct of selection in present‑day information collection is basically dependent on the nature of the individual, and it is directly affected by the work attitude, quality, education and experience of the individual. There is still no scientific selection methodology, and collection operators still don't give sufficient attention to the laws of information extraction, analysis, and search in the process of making selections. Intelligence mathematics is still not actually used to guide selection activities with any degree of success.

 

   8. The limitations of selection technology development. The level of selection technology is too low. The needed selection technology cannot be assured , and that will inevitably hamper the efficacy of selection.

 

   IV. Information Selection Reference Materials and Manuals

 

   To conduct selection activities without the guidance of collection policies and plans is like trying to "cook without rice." It can't be done blind, nor wrested out of thin air. It must be based on frequent investigation and study with the assistance of reference materials and reference manuals.

 

   These reference materials are diverse in form and content, and they are scattered and not easily found, and they can be rather difficult to comprehend. Collection operators rely primarily on their daily searches, discoveries and accumulations. Most of the reference materials used today include: advertisements in periodicals and databases, publication notifications, new book and new electronic publication announcements, databases, publisher's price lists, academic conference forecasts, critical reviews in newspapers and magazines, and verbal accounts from experts and students.

 

   In order to promote sales and expand distribution, domestic and foreign information sources periodically or aperiodically publish reference books that consumers use for reference in the process of making selections. They include subscription catalogues, publication catalogues, new book weeklies and cumulative book lists. Although the primary purpose of  reference‑book search and book‑list databases is for researchers to investigate and find materials, it is a convenient way for information collection operators to find leads to information sources. Information collection operators should regularly peruse reference books relevant to their affairs, such as the various subscription catalogues compiled by the China National Publications Import and Export Corporation, foreign book stores and Xinhua Book Store; and such reference materials as are often used by national defense S&T information collection operators, such as the "U.S. Government Report Notifications and Index," "Spaceflight S&T Report," and "World Conferences."

 

   Reference materials for the selection of computer‑readable information are widely scattered. The following are introductions to some of the reference books available for making selections from databases.

 

   1. "Guide to Reference Books." the "Guide to Reference Books" has a long history. In the U.S. it is called the "reference consultation Bible," the ninth supplementary edition of which was issued in 1980 and the database has been enlarged with 45 different computer listings of reference books.

 

   2. "Computer‑Readable Databases; a Directory and Data Source Book." This book has been published regularly since it was initiated by Professor M. E. Williams of the University of Illinois in 1976. A new edition is issued every three years. It began to appear in two volumes in 1985: the "Science, Technology, and Medical Science Volume" and the "Trade, Law, Social Science and Anthropology Volume." The 1985 Directory, which introduces a total of 2,805 databases, is the most popular reference‑book database of its kind to date.

 

   3. "Directory of On‑Line Databases." This book combines book lists and non‑book lists in one handy volume. It provides frequently updated descriptions of the scope and dates of every database. It was begun in 1979 and is published quarterly.

 

   4. "On‑Line Data Retrieval Source Book." This directory has indexes of relevant database tables and subject titles that helps the searcher find data that can't be looked up in other reference books.

 

   5. "Guide to DIALOG Databases." This directory is published by DIALOG Systems and contains detailed discussions that are useful to specialists and intelligence operators.

 

   6. In addition, there are also the "On‑Line Reference Aid; A Directory of Manuals, Guides & Thesauri" and the "Quick Reference Guide."

 

   It is worthwhile to note in the context of information collection, that the reference materials and books most commonly encountered either have little to do with military or national defense S&T or the contents of their previews are overly simplistic and can't completely fulfill the needs of China's collection operators. Therefore, front‑line national defense S&T intelligence collection operators must redouble their investigative research efforts to make daily accumulations, broaden their resources and build their files.

 

   Section Six -- Modernized Collection Operations and Computer Applications

 

   A distinguishing feature of collection modernization is collection S&T. Computers are the touchstones of modern intelligence technology, and they are the technology that will guarantee the modernization of data collection. Computer technology is now widely used to automate intelligence operations, particularly in the process of retrieving information, but the use of computers by information collectors is still in the searching and testing stage. Given the wellspring of the human spirit, as collection operations gradually enter upon the collection S&T stage and modernization of intelligence operations progresses, the question of modernizing collection operations and acquisition technology will eventually capture the attention of all corners of society.

 

   I. The Basic Recipe for Modernizing Collection

 

   So‑called collection modernization means applying modern scientific methods and technical procedures guided by collection science in carrying out the process of information collection, and it encompasses the following aspects.

 

   1. Making Information Collection Part of the National System, and Formulating Effectual National Collection Policy

 

   Information collection is the first step in the entire intelligence process and it is of utmost importance to the delivery of information. The information collector has to have strong social instincts and be highly cooperative by nature in his milieu of intelligence departments, and the information production, preservation and broadcasting departments. Information collectors are not only the first link in intelligence operations, but they have close association with planning management, product management, academic and technical exchange work, foreign exchange, foreign trade and archives. But, the reality of the present is that China has not yet been able to consider bringing information collection fully into the national system and collection policy does not wholly comport with present circumstances. China therefore has not received the full benefit of information collection that it should in the macroscopic sense, and in the microscopic sense, coordination among the various departments and units is also deficient. In China, one of the indicators of modernized S&T information collection operations is whether or not collection operations have been brought into the national system and whether or not an effective national collection policy has been formulated.

 

   2. The national S&T information collection system should have arterial intercommunications and an interconnecting collection network.

 

   The targets of the national S&T information collection system must be made clear. The disposition of its subsystems should be scientifically sound, and they should cover a vast area. There should be a clear division of labor among subsystems, and each should have its own particular emphasis. Each subsystem should have its own collection channels and procedures. Overall, the national collection system should have veins and arteries of intercommunications and an interconnecting collection network with tentacles reaching to every corner of every area.

 

   3. The national collection system should use a chain of transmission links to deliver information to its consumers and give them the maximum benefits in terms of time and technical economics.

 

   4. The first steps should be taken in formulating a system of theoretical concepts of information science and collection science to provide a generally acknowledged guidance for reforming information collection and promoting the modernization of intelligence operations.

 

   5. Applying Modernized Collection Technology

 

   The application of modernized collection technology in information collection operations will surely greatly raise the efficiency of collection. The contents of modernized collection technology and modernized intelligence technology are very much the same. They include computer, communications, networking, identification and information processing technologies. Collection technology also extends to information production and information transmission technologies. China's collection technology is a generation behind in the degree of modernization of memory and retrieval technologies.

 

   Computer technology, one of the indicators of modernization, is now beginning to be applied in collection operations, but only in doing searches and testing. From another perspective however, thanks to the military requirement, the degree of modernization is quite high for information collection through telecommunications and reconnaissance techniques. Those two techniques got off to an early start and the computer technology that accompanied them was a natural outgrowth.

 

   In conducting an analysis of the application of computers to information relevant to collection operations, the first thing to do is to employ systematic methods by enlisting the aid of mathematical tools, such as operations research and search theory, fuzzy mathematics, and mathematical statistics, and to begin by making a series of mathematical models of information sources, consumer requirements, collection procedures and extraction methods. This has to be followed by even more laborious research.

 

   The following are descriptions of two quite useful examples of the application of computers in information collection operations:

 

   II. Document Acquisition Microcomputer Management Systems

 

   In order to save time in information collection operations, raise efficiency, reduce duplication of labor, complete tasks that would be difficult to do manually, and get the maximum use out of the information, the China National Defense S&T Data Center uses a DBASE III compiler program, a new Chinese character system, and the Document Acquisition Microcomputer Management System (DAMMS) on an IBM‑PC/XT computer.

 

   1. System Design

 

   Because there are certain limitations in using the system use on a microcomputer for general applications, an adequate database management system could not be designed for multiple conditions on one microcomputer alone. The design had to accommodate the computer and tasks and special items that have to be accomplished. The system was designed mainly for the following features.

 

   (1) The document acquisition mission and specific items. The specific items of the information acquisition system are:

 

   (a) The time span is short, and the coverage consists mainly of newly published matter and S&T reports issued within the last three or four years, and any older documents are generally not retrievable.

 

   (b) It has specific management items. The order number, price, origin, publisher and address, the publication date and delivery time all have to be used in the document acquisition system, and nothing less.

 

   (c) The title and organization report number are mainly used for look up, and the retrieval system mainly uses subject search.

 

   (2) The scale of the database has to be maintained in dynamic equilibrium. The scale of the database is limited by the memory capacity of the microcomputer, which limits information input to material of the last few years. As new information is constantly being put in, the old information has to be deleted periodically so that the database scale will be kept in dynamic equilibrium.

 

   (3) Full utilization of storage space. In the process of laying out the structure of the database, choosing the term length and setting up indexes, full consideration has to be given to how much storage space is being taken up in order to leave as much room as possible for data input.

 

   (4) The system must be easy to operate, have reliable stability and have fast operating speed.

 

   2. System Structure and Functions

 

   (1) Database structure

 

   In order to assure that the system will operate normally, a primary concern was the use of terms in the database, which had to be of quite high frequency (see table).

 

   Term strings were used based on the initial letters of their Chinese Pinyin spellings, such as PM to represent Pian Ming (article title), and GRZZ for Ge Ren Zuo Zhe (individual writer).

 

   In order to save storage space, the number of terms was reduced as much as possible, some having two uses, such as PM, which means article title, and is also the name of a conference. CBS is both publisher and conference sponsor. LYDH is both goods‑ordering number and a non‑ordering‑channel codename (such as in reproductions and technical talks).

 

   In order to save storage space, every term length was carefully chosen. The selected length of the PM field was 100 characters, and the title of any document with more than 100 characters was left incomplete. The part that was dropped, as far as the document acquisition system was concerned, had no effect, and was admissible. Abbreviations were used to shorten titles that were too long for input, such as shortening International to Intl, and Conference to Conf, etc. Another consideration was that terms such as GRZZ would not be principle look‑up items, only reference items. Term lengths were set at 20 characters, the minimum to guarantee that the first author would be complete, and as far as the system is concerned, one author is enough.

 

   In order to improve the look‑up speed, reliability and convenience for the user, the term PMDM was entered into the database structure. It is composed of a small amount of characters selected from an data article card according to a given procedure in order to avoid using all of the characters for the article title look‑up, the time and the input so as to reduce the error rate and speed up operations.

 

   (2) System Structure

 

   The system uses modular operations, the various function modules being coordinated by a main control module.

 

   (a) Main control module. A system menu is displayed by which the user can select operational functions and build system branches and links.

 

   (b) Look‑up module. The desired records are found through the specific look‑up value of each term. If the record exists, the system notes whether there are revisions, if the record doesn't exist, the system tells whether it has been added to the database. The user can change or add the records as needed.

 

   (c) Tracer module. When searching for data that should have arrived but hasn't, this module makes it convenient to make inquiries to relevant organizations.

 

   (d) Statistics module. Statistics are kept on order forms and examination and acceptance data. Examination and acceptance statistics are divided into conference records, books, and other categories.

 

   (e) Bulletin module. This module sends timely notifications on new information to the reader enabling the reader to see the new information as quickly as possible.

 

   (f) Deletion module. This module keeps the database in order. It can delete records one at a time, or in batches (under prescribed conditions it deletes all unneeded records at once) in order to guarantee the dynamic equilibrium of the scale of the database.

 

   (g) Printer module. This module prints information order forms and look‑up service cards. A card or order form of any type can be printed many times in succession.

 

   (h) Accounting module. Material account records made from the data in the computer are put into an account record format. If the process starts at the first line, the system prints the record heading and proceeds from there, and if not from the first line, it starts with the line number, and then, when it reaches the end of the page, it automatically turns the page, records the record heading and proceeds again.

 

   (i) Budget module. This module computes the expenditure for material actually received within a specified time, and performs research analysis on the material prices.

 

   (j) Database module. This is used for building the database.

 

   Figure 7.1        System Structure Diagram

 

   [figure omitted]

 

3. System Features

 

   (1) The system is used by information collection operators of intelligence elements and libraries.

 

   (2) It is menu driven, has strong dialog functions, and is easy to use and master.

 

   (3) The database has protective functions, and it is easy to fix when something goes wrong.

 

   (4) Besides Western languages, Chinese, Japanese and Russian can be used on the system.

 

   (5) It can be used on microcomputers, it doesn't cost much, and it has wide applicability.

 

        Table:   Database Structure

 

       Number                 Term                Information category                Width               

 

        1        PM (Article title or conference title)        C                100

        2        PMDM (Article title code)                        C                10

        3        FDRQ (Order date)                                C                8

        4        DHRQ (Goods received date)                        C                8       

        5        CBS(Publisher)                                        C                50

        6        GRZZ (Individual writer)                        C                20

        7        SSH (Book search number)                        C                15

        8        JGBGH (Organization report number)                C                25

        9        CBNY (Publication, year, month)                C                8

        10        LYDH (Source number)                                C                20

        11        DGJG (Goods order price)                        C                10

        12        DGSL (Goods order quantity)                        C                6

        13        DHSL (Goods received quantity)                C                6

        14        YS (Page number)                                C                4

        15        HYRQ (Conference date)                                C                14

        16        HYDZ (Conference location)                        C                15

 

   4. Operational Effectiveness of the System

     

   The development of this system was completed and put into use in November 1985. Practice has shown that it fulfills design requirements and gets positive results.

 

   (1) It has greatly increased look‑up speed and saves search time. It requires only two seconds to search nearly 10,000 records.

 

   (2) It has more search forms. Look‑up forms have increased from the two former article name and organization report number to sixteen forms, including dates and goods‑order numbers.

 

   (3) It has solved many problematical manual procedures, for example, in using cards in the catalogue look‑up, if the card placement is incorrect it is difficult to find anything and that results in superfluous ordering of goods. With this system the card placement doesn't matter, everything can be found.

 

   (4) It reduces duplication of labor. The computer rapidly prints out order forms, service cards and material records from the information in the database. Triplicate copies no longer have to be typed out manually.

 

   (5) It has increased work quality and effectiveness. It used to be difficult to find order forms for material that had not arrived after long periods, and one could only wait passively for the material to arrive. This system makes old records easy to find and makes active tracing possible, which increases the goods delivery rate and raises the quality of information collection.

 

   (6) It increases the information utilization rate. Bulletins announcing the arrival of new material are quickly produced by this system, which enables the reader to view the material at least two months earlier than in the past.

 

   (7) In order to create the conditions for improving information collection services, the total body of data in the database is available for analysis of the promptness of delivery, publisher prices and inflation laws, and the findings can be used for follow‑on improvements.

 

   Collection management systems are now being used in China, and in addition to the DAMMS at the China National Defense S&T Data Center, Guizhou University has developed a Chinese periodicals acquisition microcomputer management system as well, and many other intelligence elements, libraries and information service units are actively developing or have already developed collection management systems of their own.

 

   The use of computers for information collection management got off to a late start in China, and the level of technology and degree of application is also higher abroad than in China. The U.S. Library Automated Management Corporation has developed the LIBS system, and the TULIP system at Tsukuba University in Japan is now in use.

 

   III. Strategic Intelligence Resources Database System

 

   The strategic intelligence resource database system was designed to meet the needs of the China National Defense S&T Data Center's intelligence researchers in their strategic research on weapons facilities development, and the needs of information collection operators in developing strategic information resources. Its purpose is to help intelligence researchers find the information they need for their own research subjects as quickly as possible; and to help information collectors to study, understand and master the circumstances, special features and publication rules of foreign strategic information resources.

 

   The system uses the DBASE III compiler program and the new Chinese character system on an IBM‑PC/XT computer. It has good man/machine dialog functions, wide search range, and clean, neat and succinct language and wording standards. It completes work that is difficult to accomplish by hand, and it's far more effective.

 

   This strategic intelligence resources database system is the product of applied research conducted by collection science researchers. They combined new concepts in collection science research with database technology. It is cleverly conceived, inventive, has its own style and has good practical value.

 

   1. System Design Ideas

 

   The system is based on the latest research results and concepts in information science and collection science of recent years. Those results and concepts were employed in designing the system, including the intelligence resources and information resources concepts that grew out of intelligence and information research, the development of principles concerning the particular needs of strategic intelligence researchers, maximum savings in labor, networking concepts, directed and active collection, combining of negatives and positives, and overt information that can satisfy over 80 percent of consumer's intelligence requirements. What all this signifies is that the strategic intelligence resources database system is the applied result of collection science research.

 

   (1) Intelligence researchers' requirements are characteristically problem oriented and needed on short notice, unlike the forecasted medium‑ and long‑range requirements that are worked into a collection plan and pursued through active collection of foreign information resources, therefore, in solving their near‑term problems they have to rely mainly on their daily accumulations and searches done at the intelligence center and on the collections of fraternal elements. There isn't time to fill their requirements by looking for the relevant information from foreign sources. Therefore, a way must be found for the "database" to clearly contain the collections of relevant elements for their own use.

 

   (2) Intelligence researchers are primarily engaged in strategic development research, and their information requirements gradually become more and more comprehensive. Nor are their requirements limited to military and defense matters, but their information needs extend to aspects of government, economic, S&T, law, and research on national and international affairs. Therefore the scope of interest of elements associated with the activities of the local Center need to broaden the "database" and it should contain information on international affairs and relevant organizations.

 

   (3) Over 80 percent of all consumer requirements can be satisfied by overt information, therefore if all of the information collected through whatever channels by all elements were put together to form a consultation network of shared information, under existing conditions researchers requirements could for the most part be satisfied. The relevant elements need only to be brought into the network and then they would be happy to lend their information collections to the building of a database.

 

   (4) One of the laws that emerged from research on consumer intelligence requirements was the "maximum labor saving law" of consumer intelligence work. The problem they encounter is that after beginning the search for information near at hand, they always end up having to search in ever farther and more difficult places. If the "database" could select and supply everyone with the subject‑title record of the information collected by many organizations sharing common interests, it would greatly reduce the time and energy of their information searches. One of the ideas incorporated in the "database" design was to satisfy psychologically and in actuality the consumers' needs expressed by this law of intelligence work.

 

   (5) Although the system works on a microcomputer and doesn't yet have full text storage, there is no great need for that, and to build an intermediate intelligence resource database amenable to the spirit of saving time and effort and satisfying the needs of researchers is something that can be done. The data collections of all associated elements in the "database" are all in the form of subject‑title records that only provide a lead to the information. It is not duplicated storage, and whenever necessary the record can be borrowed for viewing by the relevant element. This is again the collection policy of combined positives and negatives.

 

   (6) When it is necessary to do active collection, or when the collector is specifically directed to proceed further with current collection, then it is clearly understood, with no uncertainties, that the search needs to progress to domestic and foreign information sources, be it an "organization" or a "scientist." The "database" is to be used as a reference book, and it ascertains the existence of relevant information sources and the relevant information.

 

   (7) The arrangement of the data items in the "database" should be based on and reference the information as described in the conjoined "intelligence resources" and "information resources' research.

 

   (8) Inasmuch as the "intelligence resources" and the "information resources" are dynamic in nature, the "database" system should be designed to function dynamically, and it should be easily revised and expanded.

 

   2. System Structure and Functions

 

   The strategic intelligence database system is composed of four sub‑databases in the structure depicted in the following illustration.

 

   Figure 7.2        System Structure Diagram

 

   [figure omitted]

 

   (1) The Collection of Relevant Information from Domestic Information Resources by the Sub‑Databases

 

  The data leads recorded in those databases are not for the data kept at the local Center because that data is at hand for machine or manual investigative lookup and retrieval. What they record are the leads to the data collections of other information resources that are of interest to intelligence researchers of the China National Defense S&T Data Center. The data leads contained in the sub‑databases have been selected, collated, processed and keyed to the governmental, economic, military, S&T and legal aspects of developing strategic issues. They contain eight data items: collection element, document search number, title, translation title, author, year of publication, page number and subject. They can display and print all of the new relevant data leads for the collection of any element, and according to the subject, year of publication and author, they can display and print the data leads in a sub‑database that fall within the range of that subject, year of publication or author. If the consumer already knows the title, the consumer can find out what domestic element has that material, and the consumer can go to the relevant element by means of the document search number and ask to view the material.

 

   Sub‑databases are mainly for the use of intelligence researchers, and they are also of value for the collection operators' understanding of the circumstances of the collections of other elements. Consumers can peruse the data in another unit's collection without leaving their own areas, and they can determine their own needs, which makes their work so much easier. It speeds up the delivery of information and markedly increases the information utilization rate.

 

   (2) The Sub-Database for Domestic Information Resources

 

   This database provides an understanding of the services of domestic information resources (intelligence organizations and research units) that relate to the affairs of the China National Defense S&T Data Center, and it is convenient for making contacts, collection, and making requests to review material. It contains nine items of data: organization names, addresses, telephone numbers, responsible persons, nature of missions, service organizations, collection data, magnetic tapes and publications. It can display or print its data resource items according to locations or names of organizations.

 

   (3) The Sub‑Database for Foreign Data Resources

 

   This database is primarily for the collection operator's understanding, research and development of relevant foreign data resource services, and it is also of value to intelligence researchers in learning the activities of relevant organizations and circumstances of publications. It holds the daily accumulations of the research efforts of collectors and their files. After any year of assiduous effort it can serve as a reference book. This database contains 12 items of data: organization names, addresses, cable and telephone numbers, histories of changes and developments, nature of missions, distinguishing features, leadership organizations, financial circumstances, primary activities, publications, and databases. It can display or print out certain data resource items according to locations and names of organizations.

 

   (4) The Sub‑Database for Eminent Foreign Persons

 

   This sub‑database is set up for learning the circumstances of foreign authors, specialists and academicians. It contains names and surnames, sex, biographical notes, work and home addresses, occupations, achievements, writings, range of primary activities, recent work circumstances, and whether they have visited China. It can display or print out all information according to name and whatever the database contains according to special subject category numbers, and the circumstances of all persons engaged in any special activity.

 

Chapter 8   A First Approach to the Study of

Intelligence, Information, and Collection

 

 

   Section One -- Brief Review of the Development of Information Science

 

   The origin of information science can be traced back to 1945. Vannerar Bush, Director of the US Bureau of Scientific Research and Development, released an article entitled "As we may think." For the first time, the role of scientific information in large scale R&D was revealed. A prototype mechanically reduced literature index system (Memex) was introduced. Since then, scientists around the world began to pay attention to information. A number of famous scientists gathered in London in 1948 to hold the first information science conference. The meeting was sponsored by the Royal Society and had a great deal of impact. In 1958, an international information science conference was held in Washington DC, sponsored by the National Science Foundation, the National Achieve Society, the American Academy of Sciences and the American Scientific Research Evaluation Committee. The foundation of information science was laid down in these two meetings. During the past 40 years, the development of information as a science can be discussed in three stages.

 

   First phase (1950s-1960s): applied research. Most of the topics dealt with the sharp contradiction involved in the production, supply and utilization of information, exploring theories and methods to look up information, and establishing information organizations that provide the optimal service. In addition, issues related to information users and their demands were also investigated.

 

   Second phase (1970s): application of new technology. Due to rapid advances in electronics and communications, the use of new technology in information was put on the agenda. During this period, the major projects included using mainframe computers to establish a domestic literature processing system, establishing various databases and networks for online search, automation, studying the design, evaluation, interconnect and compatibility of automated information systems, and assessing the impact of modern information technology on conventional intelligence work, as well as its social, economic and political influence.

 

   Third phase (1980s): basic theoretical research. In this period, the focus was basic theory in all countries. In developed nations the focus shifted from "design and development" to basic theory. During this period more in-depth work was done on networking of information systems, automatic categorization, automatic indexing, machine translation, etc.

 

   Section Two -- Current Thinking on Intelligence, Information, and Collection

 

   I. Intelligence

 

   Intelligence is a new discipline. It is still being developed and there is not a commonly agreed upon definition.

 

   Russian professor A. H. Mihaylov believed that intelligence is a science that "studies the structure and basic characteristics of information and the general pattern in scientific exchange."

 

   T. Saracevic, an American information expert, believed that information is a science that studies human communications and the characteristics of communication systems.

 

   British information expert Brooks considered information a study of the action and reaction between "World 2" and "World 3."

 

   In 1979, the International Standardization Organization (ISO) introduced the definition that information is the study of the function, structure and transfer of information and the management of information systems.

 

   In China, the "basic glossary of information and documents" defines information as a study of the theory, pattern and method of acquiring, transferring and using information, and of the management of information systems.

 

   Theories about information came from actual practice. Furthermore, they have fallen far behind actual practice. Assuming it did start in 1945, it has been around for more than 40 years. Has it become an independent discipline?  There are different views in the international community. With the exception of a few people such as E.P. Semenyuk of USSR, the majority still believes that information has not yet become an independent discipline because theories must be established before a subject becomes an independent discipline. Theories of information are evolving at the present moment.

 

According to V.M. Kedrov et al. of Russia, the following four conditions must be met to establish an independent discipline.

 

   1. Define a specific subject to study.

 

   2. Establish a conceptual system.

 

   3. Illustrate basic laws intrinsic to the subject to be studied.

 

   4. Create principles and theories to explain facts.

 

   Recently, Semenyuk presented a long paper to the Soviet Academy of Sciences and argued that all the conditions for information to become an independent discipline have been met. First, there is a clear subject to investigate in information, i.e., scientific information and its exchange. Second, there is a conceptual system concerning its subject. Third, basic laws governing the subject have been demonstrated, such as Price's law of the exponential increase of documents and Bradley's law of dispersion on publication. Fourth, a number of principles and theories have been established to interpret many facts, such as the principle that scientific exchange and information activities have social, economic and cultural constraints. Fifth, there are unique methods to study information, such as the blank analysis method.

 

   However, Professor V. Slamecka of the United States believed that there is a considerable distance for information to become an independent discipline.  He briefly discussed the progress in information in the past 20 years as follows.

 

   (1) As a scientific movement, it does not have a unified structure.

 

   (2) As a discipline, its nature is not yet defined.

 

   (3) There is a lack of core standard.

 

   (4) Most of the study methods come from other mature disciplines.

 

   (5) The majority of the activities are focused on practical issues.

 

   (6) The objective in most cases is pointed toward applications.

 

   Brooks of the United Kingdom believed that information is still drifting in the sea of practicing common sense. Philosophically, information neither has a well-defined position nor a theoretical basis.

 

   Krauss et al. of the former Democratic Republic of Germany believed that information was still mainly limited to applying knowledge from other disciplines to solve practical problems.

 

   We are in agreement with the latter type of scholars. The status and unique features described above indicate that information is not yet an independent discipline. Its theoretical system is still evolving.

 

   Finally, let us quote Qian Xuesen to end this section. In July 1983, he was the first person to say: "S&T intelligence must be treated as a scientific discipline. To do a good job in this area, we must build up this discipline in China." "We no longer treat defense S&T intelligence as a task. It must be considered a scientific discipline." And, "Why don't we spend two years to devote to defense S&T intelligence." Nevertheless, contrary to his wishes, very little progress was made. Six years later, Qian Xuesen wrote: "I proposed to create a discipline to study information six years ago called knowledge and information activation technology. An academic discussion group was initiated, but it stopped in six months because most participants were not interested." In 1989 Qian Xuesen wrote: "This type of conservatism originates from society. To a large extent it is because there are too many issues concerning the environment we live in and the orderliness we live by. It is difficult to motivate people." Hence, Qian Xuesen put his hope in the 21^st century.  He wanted the intelligence community to welcome the 21^st century by devoting itself to the study of defense S&T intelligence.

 

   II. Information

 

   As we know, S&T intelligence can be divided into four areas. First, information needs to be gathered. Second, information needs to be organized according to a certain order and a database needs to be established. Third, information needs to be indexed for ease of access. Fourth, information needs to be analyzed, or studied. According to the custom of the Chinese technology intelligence community, the first three areas are considered as data handling.

 

   In order to transfer information and acquire intelligence, there is a need to gather data. It has been around for a long time. As information becomes a topic, people are interested in conducting scientific research on information, especially given the sharp contrast between the "information explosion" and "intelligence poverty." Objectively, there is a need for information workers to provide an effective and scientific method to satisfy the growing need for information. As mentioned earlier, in the 1950s-1960s information workers explored the principle and method for information indexing and the preparation and evaluation of abstract indexing publications. In the 1970s the use of a mainframe computer to provide on-line search by networking with various databases, which belonged within the domain of information, became a central subject in the field of information with remarkable success.

 

   The study of information materials started at almost the same time as information studies, but it was not recognized as a discipline. Because information materials are tied even more closely to day-to-day practice, or they are even more highly specialized, or the study subject is even more specific, it appears to be more mature in certain areas, especially in applications such as information indexing, data labeling (by subject, by category), glossary, etc. From the standpoint of building an intelligence organization, in the data field every nation more or less follows the same model. There is very little disagreement. Of course, as a whole, there is a lack of a theoretical concept framework. It is still focused on applied research. The majority of the work is directed toward solving practical problems. These are facts facing people working in this field.

 

   Information work is a spin-off of library science. It has benefited significantly from library science. Methods such as indexing and abstracting are very successful because they are the foundation of library science. However, it is also severely restricted by library science. For instance, a library is a "house of books" and its collection should be "large and complete." Hence, collection plays a very minor role, otherwise known as "purchasing." Over the years, anywhere in the world, very few people ever performed any in-depth research on data collection in a scientific manner.

 

   III. Collection

 

   For the fields of intelligence and information it is possible to list the subjects, contents, methods and theoretical structures being studied by various scholars. However, the field of collection is lagging far behind.  There is a lack of content even for research on collection. Flipping through various information journals, out of a total of 500-600 pages collection accounts for merely a dozen pages. Furthermore, there is a lack of variety.  It seems that everyone follows the same principles of specificity, accumulation, prediction, planning, purchasing, exchange, requesting, on-site searching and duplication.

 

   A profound scientific investigation of collection to build it up as a discipline occurred in the past 5 years. Qian Xuesen made a great contribution. He laid the foundation for this discipline.  In a defense S&T intelligence meeting held on July 2, 1983, he pointed out with foresight that "information collection is a science that needs to be rigorously studied."  Since then, S&T intelligence workers and information collectors put more effort to "deepen" their understanding of collection. Thus collection studies began. Collection, as a science, is still in its infancy. It will take at least a few years, if not a decade or perhaps until the middle of the 21^st century for collection to become an independent discipline.

 

   Collection research has the following characteristics.

 

  1. Most research projects are work-related; i.e., collection is treated as a task, rather than a science. Although there are a few research projects, most of them are specifically focused on a process or link. From the system standpoint there is no high level research. Hence the research is carried out at a lower level with relatively few results. It is also often limited by the users. Although this type of research can solve some practical problems, it does not have a major impact on the profession as a whole. Collection is being impacted by social progress. Overall, it is in an "ultra stable state."  Only in recent years, as national S&T system reform deepens, with reduced or level funding for information expenditures, it is becoming more difficult to manage.

 

   2. To initiate a study of collection and its related tasks the first problem encountered is information gathering. There are no mature and reliable methods. First, the task of collection depends strongly on social connections. It often involves multiple channels and multiple nodes. Therefore a collector cannot experience the entire process of information collection. An individual or a group of people in a certain department cannot control all information.  Furthermore, due to interference from either social or human factors, even with partial information in hand, it is difficult to extract false information and then establish either a mathematical or physical model based on true information. Information collection and truth screening are far more serious and complex than data sequencing, labeling and indexing. This is caused by the unique situations encountered in information collection. They are the "high thresholds" preventing the study of collection as a science.

 

   All collectors from various departments must cooperate fully to solve this problem. However, due to differences in understanding, collection research is highly uneven in different departments. Some departments are not interested at all. It appears it will take a long time for this issue to be resolved.

 

   3. As far as study methods are concerned, traditional methods used in information and library science still apply. It barely begins to "borrow" or "modify" techniques used in other disciplines. Of course, there is a lack of uniqueness. Most people are still using a direct descriptive method to qualitatively describe what actions are taken and how the work is being done.  Or it is a qualitative explanation of practical experience in information collection. In conclusion, the most commonly used methods are limited to experience-based surveys and statistics. Very few modern scientific methods are being applied.

 

   4. Some scholars and collection workers have realized that general principles and laws to guide and explain collection must be derived from a philosophical level. Some beneficial investigations have begun. Certain opinions and concepts have been introduced. Although these viewpoints are not mature enough to be accepted by the general public, it signifies some progress in the science of collection. It propels the study of collection science into the next phase.

 

   Section Three  Comparison of Study Subjects in Intelligence, Information and Collection

 

   As discussed earlier, one of the premises for an independent discipline is a clearly defined study subject. Let us understand and compare the subjects to be studied in intelligence, information and collection as follows.

 

   I.  Subjects of Intelligence

 

   As far as intelligence and its study subjects are concerned, there are numerous definitions and some are distinctly different. They are given by information scholars and operators with a variety of experiences, knowledge backgrounds, and targets. A number of classic methods to define it were described earlier. 

 

   Collectively, we have an idea. Regardless whether so-called "intelligence research" work should be included as a part of intelligence, we should use a novel approach to observe intelligence both laterally from a social perspective, as well as longitudinally from a historical perspective based on more than 30 years of experience in S&T intelligence in order to gradually create theories and form a branch of intelligence with Chinese characteristics. Some call it information science, others call it intelligence science. Why not call it informagence science [note: the terms are given in English].

 

   Under the premise of separating intelligence from information, let us name the science to study S&T intelligence as intelligence science. Another way to express it to call the study of intelligence and its processes intelligence science. Specifically, it is the study of the patterns, principles and laws related to intelligence, including its concepts, attributes, structures, and functionality, as well as the processes of creation, transfer, exchange and absorption.

 

   Intelligence has two branches, i.e., information and intelligence analysis. The former includes information collection, sequencing, indexing and retrieval.  

 

   II. Subjects of Information

 

   There are similarities between what we refer to as "information" and what the foreign intelligence community refers to as intelligence work. It is close to information and communication. Nevertheless, it is definitely not equal to documentation. 

 

   Can the science and technology used to study information be called information science? In other words, is the study of information and information flow processes a science?  Specifically, information science is the study of patterns, principles and laws related to the concepts, attributes, types and functionality of information, as well as the processes of information creation, transfer, flow and utilization.

 

Obviously, compared to intelligence, the subject and contents of information science are a subset of those in intelligence science.

 

   III. Subjects of Collection

 

   Data collection is a technical discipline and warrants additional research. Can the science to study data collection be called collection science? In other words, is it appropriate to call the study of information collection and information collection process the science of collection?

 

   Obviously, collection is a branch of information. The subject and contents of collection science are a subset of those studied in information science. In one field, the focus is on "commonality" while in the other the focus in on "individuality." Of course, compared to intelligence science they are even a smaller subset.

 

   The science of collection studies intelligence sources, information sources, the needs of intelligence users, transfer channels, collection techniques, and basic theories of collection. The core contents include intelligence sources and collection techniques. Collection science does not study laws and methods related to information activation and extraction because those are areas covered by intelligence analysis. The basic objective of information collection is to obtain information required by the clients. 

 

   Section Four  Disciplinary Characteristics of Intelligence, Information and Collection

 

   Because information and collection are branches of intelligence, we must first discuss the disciplinary characteristics of intelligence before we investigate those of information and collection.

 

   I. Disciplinary Characteristics of Intelligence, Information and Collection

 

   According to conventional systems, is information a social science, or a natural science, or a technological science? There is no agreement among scholars around the world.

 

   Professor Mihaylov of Russia believed that information belongs to the domain of social science because it studies "phenomena and laws unique to humans."

 

   Russian Academy Fellow Ershov believed that "information is a natural science that studies the transfer and processing of information."

 

   F. K. Klaus of the former Democratic Republic of Germany believed that "information is a discipline on the periphery of natural science, social science, engineering and science."

 

   The majority view in China agrees with that of Klaus et al. In China, although some people believe information belongs to social science and others consider it a management science, most people believe that "information is a comprehensive applied science that borders natural science, technological science, and social science."

 

   A different view was presented by Qian Xuesen on August 7, 1984 in a national discussion meeting on thinking. It was introduced for the first time that "information is an applied science in the domain of thinking.

 

   Recently, A.A. Dorovnichyn of Russia introduced yet another new concept.  He believed that "like mathematics, information is a methodology."  Mathematics is the slave of other disciplines. Intelligence is also a slave.  Its mere existence is only to help other disciplines. It does not study or create any specific matter or natural process. Rather, it provides methods for other disciplines. This is a unique viewpoint.

 

   Let us discuss our understanding and viewpoint as follows.

 

   Modern science and technology have developed into a closely related entity with numerous disciplines. This entity is a system that needs to have clearly defined layers and departments. There is a need to pinpoint the position and layer of a modern topic in this system in order to study its disciplinary properties.

 

   To pinpoint the position of information in modern science and technology, we must first clarify whether it is an independent discipline, or a subset of other disciplines. In reality, information is a new area. It has not yet evolved into a new discipline. Its theoretical system has not yet been created. It is not a separate department. From the standpoint of its study and contents, it is not appropriate to assign it to either natural science or social science. Information and information materials have developed into large-scale enterprises in all countries. Information is a powerful tool to understand the world objectively. It is an extension of the human brain and the five senses. It is attached to human thinking and belongs to the domain of cognition. It is a very powerful methodology. Hence Qian Xuesen was profoundly correct to put it under the science of thinking. The science of thinking is a science that studies laws and methods governing thinking.

 

Although still in its inception stage, Qian Xuesen predicted that there will be a Chinese Academy of Thinking in the 21^st century. Thinking, social science, natural science, mathematics, system science and the human body are the six subsystems of modern science and technology.

 

   From the experience gathered in the past 100 years in natural science, the six subsystems may be further divided into three layers, i.e., basic science, technology and engineering, based on whether it either directly or indirectly impacts on the objective world.

 

   Longitudinally, which layer does intelligence belong to? Our actual experience shows that on one hand intelligence is the application of basic sciences such as thinking, information, and culture (the study of creating intellectual wealth). On the other hand, it involves engineering and technology, including intelligence analysis, data handling techniques, database, and design of information structures and systems.  Hence, it belongs to the technology layer. Its disciplinary characteristics are similar to those of control theory, operational research, applied mathematics, applied mechanics, and electronics. They all belong to technology.

 

   Transversely, intelligence is most appropriately placed as a cross sectional discipline. This is determined by its study subject and research contents. Unlike other disciplines, intelligence research is not the study subject itself. Instead, it is a study of commonality – intelligence phenomena and general motion – intelligence process. Rather than the specific characteristics of various subject matters and processes, intelligence is the study of the laws governing the transfer, processing, activation and utilization of information produced by the subject matter as it develops. In other words, intelligence is situated in a position where various disciplines, including natural science, social science and human body science, merge. It provides a common method to all disciplines – how to effectively gather, store, index, activate and utilize information. Committee member Gao Yisheng of the Chinese Academy of Sciences complained in a meeting that "one problem is the huge amount of information. How can we grasp what is most critical?  We need intelligence workers to teach us some effective methods." This illustrates that intelligence is a methodology. It also proves, from a different angle, that intelligence is a cross sectional discipline, similar to mathematics, information theory, system theory, and control theory.

 

   In conclusion, we believe intelligence belongs to the subsystem of thinking. Longitudinally, it is at the level of technology. Transversely, it is a cross sectional discipline.

 

   Since information science is a branch of intelligence, its disciplinary characteristics are similar to those of intelligence as well. It is also a technology and a cross sectional discipline. Furthermore, information science is a combination of basic sciences such as thinking, information and culture, as well as an application of intelligence. In addition, it is the theoretical basis for techniques such as information creation, data acquisition, data sequencing, database, data retrieval, data transfer, and data flow.  Furthermore, transversely it supports other disciplines by providing theories and methods for data acquisition, data processing, data retrieval, and data utilization.

 

   Similarly, collection is a technology and a cross sectional discipline. It is comprised of basic sciences such as thinking, information and culture. It is also an application of information science. In addition it is the theoretical basis for all data acquisition techniques. Furthermore, transversely it provides theoretical and methodological support to other disciplines. Certainly, from the operating standpoint, collection may be more involved with management and coordination than indexing and retrieval. However, collection is not a management science.

 

   II. Query the Theory of "Peripheral Discipline"

 

   Very few people in China consider intelligence and collection as social sciences. However, quite a few people believe they belong within the domain of peripheral disciplines.

 

   What is a peripheral discipline? There are numerous ways to create a peripheral discipline. Basically, there are two expressions. One is the creation of a new discipline in an area where two related disciplines cross over, such as biochemistry. The other is to use the theoretical methods of one (or more) discipline to study the subjects in another discipline. For instance, the laws of physics are used to study the motion of heavenly bodies to create astrophysics.

 

   However, intelligence and information are not quite the same. The subject matter is not the specialty of the discipline. In other words, it is not a study of either the state or the motion of matter. Instead, it discards specific features of various disciplines, matter, phenomena and processes to study their common patterns, theorems and criteria in an abstract manner. Hence, it cannot be called a peripheral discipline.

 

   Of course, an intelligence phenomenon is a phenomenon. System theory, information theory, and control theory have permeated into intelligence and information. Some physical principles and mathematical methods have been applied in intelligence and information research. Technologies such as computer, communication and data storage are being widely used. Nevertheless, they cannot be used as bases to determine the academic characteristics of intelligence. Since system theory, information theory, and control theory can be used to study a wide range of subject matters, they have powerful methodology capabilities. Since new technologies such as computers can be used over a wide range, they can provide excellent technical protection. Just because of the fact that the theories, methods, and techniques described above are used to study population, it does not make population science a peripheral discipline.

 

   In addition, intelligence cannot be considered a peripheral discipline simply because the subject matter and contents of intelligence and information involve both social and natural science. In essence, it is not developed as a result of crossover permeation between social science and natural science.

 

   Finally, we want to review the academic characteristics of intelligence, information, and collection from the standpoint of their significance.  As we know, a leap of understanding of the objective world is considered a scientific revolution. A leap in changing the objective world is a technological revolution. Then, once a leap in the understanding of intelligence and its process, or collection and it process, takes place, is it a scientific or technological revolution? This question may lead people to reflect on the peripheral discipline argument and take the technology argument into consideration more profoundly.

 

   Section Five -- General Methods to Study Intelligence, Information and Collection

 

   Any discipline has its own unique methods. Intelligence is still evolving and does not have a comprehensive and unique set of methods. Many of its methods are either derived from library science, or transplanted from social science and natural science. It takes more hard work and further investigation by all workers in the field of intelligence and information to advance and perfect its methodology.

 

   I. Commonly Used Methods

 

   1. Terminology Analysis

 

   Before attempting to solve any problem, a person working in intelligence and information should have a clear definition of each term and the concept it represents, and gradually builds up an understanding of the relationship among different concepts in order to stabilize their positions in the theoretical system. Defining basic (key) terms is helpful to form various assumptions, which is the basis of research. In light of the fact that theoretical concepts lag in intelligence, this is a highly practical method.

 

   Marxist-Leninist epistemology believes that a concept is an objective reflection of the nature of a thing or a phenomenon in words. A specific word (or phrase) to describe a concept is a term. Using terminology analysis to define the meaning of a term is to illustrate the content, as well as the most important and essential characteristics of the concept.

 

   Terminology analysis usually goes through four stages.

 

   First step: Pick terms of interest to the task as initial preparation work.

 

   Second step: Collect all the information on the term possible. Collect information from all possible aspects to build the ensuing analysis on a solid foundation, rather than limiting the outcome by the data collected.  Information should collected from special papers, theses, dictionaries and handbooks.

 

   Third step: Perform terminology analysis to determine the concept and most essential characteristics of the term. Rigorously read through the information gathered and extract anything that describes the term. Deliberate and compare repeatedly to find differences and contradictions, and write down all the questions. Use it as the basis to perform terminology analysis. The first step from the standpoint of historical materialism is to analyze the term from a historical perspective in order to understand any changes of its definition, and the formation and development of the concept. History itself is also evolving as well. The second step is to perform an etymological analysis to understand the original meaning of the term and possible interpretations. The third step is to perform a comprehensive contrast analysis to extract the essence. Taking your actual work experience, and the status and prospect of intelligence science into consideration, introduce your own assumption of the concept and essential characteristics of the "term" or "derivative."

 

   The fourth step is to put your own "terminology assumption" into practice to see whether it can adequately explain various problems encountered in the real world. Examine whether it is properly placed in the theoretical concept system. Find contradictions and correct them. Finally, more accurately express the concept and essential characteristics of the term. Or, give a definition to a newly "derived term."

 

   In this book, the concept definition of "intelligence source" and the derivation of "information source" are perfect examples of terminology analysis.

 

   2. Concept Inference

 

   Concept inference is based on the dialectical materialist theory of methodology. On this basis, the concept to be analyzed is compared to the fact, phenomenon, or event. Here, the fact, phenomenon, and event are a reflection of the concept itself.

 

   In simpler terms, concept inference is to find a more specific experience related mark of a concept after the definition of the term is determine by terminology analysis. These marks should be visible and measurable. It provides the material basis for the concept of this term. Upon completion of the research work and after obtaining new information, analyze and understand the concept of the term at a higher level to make the definition and connotation of the term more accurate, enriched and comprehensive.

 

   In the study of intelligence, information and collection, abstract concepts are often encountered. It is difficult to directly link these abstract concepts to facts, phenomena and events encountered. Hence, it is hard to measure and it is necessary to "decompose" a concept into various components in order to convert them into measurable markers in the real world of intelligence. By doing so, it is then possible to collect more information and information for either qualitative or quantitative analysis to allow the research to dig in deeper. It will make the concept more complete through feedback signals.

 

   In intelligence, information and collection, concept inference is a commonly used method. Let us use an example to explain the steps and specific procedures to implement concept inference.

 

   Assume that there is a need to study the "reading skill" of various groups of readers. Since "reading skill" is an abstract concept, it is often very difficult to collect any information that is a direct measure of "reading skill." In this case, concept inference is useful in the research. Usually it may take four steps.

 

   Step 1: On the basis of terminology analysis, find a number of specific concepts (lower level) that determine "reading skill" to some extent.

 

   In this example, "reading skill" may be decomposed into the following specific concepts, including "reading contents," "book list knowledge," "systematic and continual nature of reading," "capability and skill to select specific information," "capability to grasp and profoundly understand the contents read," "capability to apply knowledge contained in the information in practice," "reading hygiene," "reading skill (experience and techniques to protect effective reading)," etc.  

 

   Step 2: The concepts described above, in whole as well as in common, form the concept of "reading skill." In any study concerning "reading skill," it is necessary to pick some of them. In some cases, it is necessary to choose more of them and in others less. The selection is dependent on the subject matter and objective of the study. Hence, the second step is to select specific concepts that are both meaningful, important and relevant to the direction of the study, and are necessary to accomplish the objective of the task. These selected concepts can then be the characteristics of the abstract concept of "reading skill."

 

   Step 3: This step can be summarized as a determination of the experience characteristics of "reading skill." Experience characteristics are the final characteristics of the concept "decomposition" process. These are visible and measurable features. Based on these features, a judgement can be more precise.

 

   Let us use "reading range," i.e., the first characteristic of "reading skill" as an example. It can be further "decomposed" into the following experience characteristics:

 

   (1) contents of reading;

2       (2) hours spent on reading;

   (3) quantity read;

   (4) purpose of reading;

   (5) difficulty of materials read.

 

   Once experience characteristics are identified, it is possible to apply a number of suitable methods to monitor and record facts and information. For instance, reading contents can be determined through an analysis of the materials checked out. Reading hours can be measured through reader surveys, or by observation. Quantity read can be surveyed or analyzed by reviewing library cards. Reading purpose can be determined by interviewing readers, or analyzing the contents and assessment of the information. The difficulty of the reading material can be revealed by using one or more methods to measure the degree of difficulty of articles.

 

   Step 4: Collect, organize, process and analyze the data and information on all experience characteristics and try to elucidate a pattern. Then by deduction apply it back to concept characteristics and to basic concept. Use the criteria illustrated to support or direct your own research work. In this example the mode of operation of scientific readers is determined by reviewing the "reading skill" of different reader groups.

 

   In this paper, concept inference is also used to determine the assessment criteria for intelligence users' needs.

 

   3. Information Activation Method

 

   This is a fully scientific (inter-disciplinary) method. In essence, it extracts nutrients from a variety of data to obtain intelligence.

 

   Similar to other researchers in basic science, technology and engineering, researchers in intelligence, information and collection must also read a great deal in order to obtain intelligence from work done in the past and experience gathered by their peers. It is a misunderstanding and a joke to study intelligence while neglecting acquiring intelligence. 

 

   The core of information activation work includes collecting quality materials of the subject matter in sufficient quantity, assessing these materials in accordance with reliable standards, eliminating all questionable portions, repeatedly checking and double-checking if necessary, and eventually arriving at dependable results. Finally, one must work hard to reveal any unnoticed pattern that exists objectively in order to activate the information to obtain intelligence.

 

   It is highly inadequate for a researcher to collect information at the last moment. Instead, it should build up over time. A researcher should routinely read 5 foreign periodicals, 10 Chinese periodicals, and some special reports. Furthermore, he or she should periodically attend international academic exchange meetings.

 

   Information activation is needed in both theoretical and applied research.  In addition, it can be used in various stages of the research project. In preparation, it can help determine the direction of research and set up a plan. In implementation, it can be helpful in terminology analysis, concept inference and hypothesis creation, as well as in providing some facts. Upon completion, it can help verify the accuracy of the results.

 

   At present, information activation is widely used in intelligence research.  In the example introduced in this book, a user study conducted by the US DoD Document Center in 1975 regarding the "status and future trend of information storage and transfer technology" was done using the information activation technique alone.

 

   4. Observation and Experimentation

 

   Observation and experimentation is a common method in natural science. It has been transplanted into intelligence.

 

   The close relationship between observation and experimentation is well known. Experimentation is based on observation. Furthermore, it is preserved as a component. However, observation is not always based on experimentation. Nevertheless, an experiment becomes meaningless without observation.

 

   Although experimentation evolves from observation, they are absolutely not on opposing sides. Instead, it is a single entity. When observing a subject, in addition to selecting a suitable method, it is necessary to ensure that the researcher (observer) does not influence the study of the development process of the phenomenon. Moreover, every effort must be made to avoid any influence from the researcher. An experiment is done to understand the nature and pattern of a certain phenomenon. Consciously, certain necessary conditions are created, or altered, to actively influence the process of the subjective matter to meet the objectives. This is an important difference between experimentation and observation.

 

   (1) Observation

 

   In general a scientific observation is a specially organized, planned and goal-oriented activity to understand a subject matter. It can be an individual method or a component of another method. The difference between a scientific observation and an ordinary observation is that it obeys the objectives and tasks of the study. It must have a well-defined range of terminology and concept. These terms and concepts are needed in the study. It has a detailed observation plan and follows rigorous methods. The information obtained from various observation methods should be comparable. In addition, the data collected by means of observation usually need to be verified and tested for reliability.

 

   The quantity and quality of the subject matter must be selected and determined in an observation so that it can accurately represent the major characteristics of the subject matter. This task can be accomplished by using certain empirical equations and statistical methods.

 

   Finally, a method must be chosen.

 

   Based on the way facts and data are obtained, it can be divided into direct observation and indirect observation. In direct observation facts and information are obtained when there is a direct link between the observer and the subject matter. In this case, the observer records what he sees. In indirect observation the observer does not come in contact with the subject matter. Instead, it is done by other people who are familiar with the subject matter.

 

   On the basis of the relationship between the researcher and the subject matter under observation, it can be divided into intervening observation and non-intervening observation. When a researcher observes the subject matter "from the sideline" during a pre-determined time period according to plan it is a non-intervening observation. In an intervening observation the researcher becomes a member of the subject under study. He works with the group and participates in all their activities in order study the subject matter internally.

 

   In addition, there are open observation and undercover observation. In the former case, the subjects know that they being observed. In the latter case, they do not know they are being observed. An observation may be long or short. Of course, a long observation is most beneficial. A short observation is usually used to clarify a specific situation and detail or to collect certain evidence.

 

   The results must be recorded in accordance with certain requirements. The format should suit the objectives and tasks of the study. Not only is the format important but also the time of record is critical.

 

   Finally, statistical analysis must be performed to reach some conclusions. Certain techniques in statistical analysis and fuzzy logic can be used to find the nature and pattern associated with the subject matter.

 

The disadvantages of observation include a large workload and deviation of the information from reality.

 

   (2) Experimentation

 

   Experimentation is an extension of observation. It is the most commonly used study method in natural science. Any research institution has a large number of laboratories. One of the unique features of experimentation is the ability to reproduce facts and situations of interest. Another feature is the ability to create and change a series of experimental conditions and to observe the creation, development and change due to such conditions. The objective is to determine any intrinsic correlation between these effects and the objective conditions to unveil the nature and pattern of the effect itself.

 

   The premise is to establish a hypothesis to be validated. To verify the validity of a hypothesis, a detailed plan is required to establish the necessary experimental conditions, and to observe and record the results in detail. Finally, the data is analyzed both qualitatively and quantitatively using suitable mathematical methods. 

 

   Based on logic structure, there are two types of experiment to verify a hypothesis. The first is the contrast method. In this type of experiment the hypothesis is verified by comparing two or more (test and control) groups. The second type is the serial progressive approach. In this type of experiment there is no control. The way the hypothesis is verified is by comparing the results obtained before and after the experiment.

 

   In light of the fact that intelligence, information and collection have strong social characteristics based on the place and condition of the experiment, they can be divided into natural experiments and laboratory experiments.

 

   A natural experiment takes place in a normal workplace under normal conditions, such as a reading room in a library. By changing the working conditions and providing various extraneous factors, the effect on the subject of study is observed. This provides the researcher with information that is otherwise impossible to obtain. This is the unique feature of a natural experiment.

 

   A natural experiment can be carried out easily. However, it is highly susceptible to unintentional interference. To "eliminate" any interference and to ensure the accuracy of the experiment, an experiment may be organized to take place in a laboratory. In this case, it is necessary to have a specific site. The people or subject matter must also be appropriately selected. Various experimental conditions are then created without external interference to unveil and measure the reaction of the study subject.

 

   When using an experimental method, error analysis should be carefully done just as in natural science. This is a critical step.

 

   Currently, experimentation is widely used in intelligence, information and collection, such as studying intelligence user's needs, construction of transfer channels, selection of information sources, and design of indexing and retrieval systems.

 

   5. Survey Statistics

 

   Survey statistics is a commonly used method in social study. It was the first method to be transplanted into intelligence research. It is the most popular method and is being widely used.

 

Survey is a method where a sufficient number of "samples" is taken according to a specific scientific principle.

 

   Statistics is a method where statistical analysis in done on various records related to a specific problem to obtain more information.

 

   The methods introduced earlier to study the needs of intelligence users, including survey questionnaires, interviews, and citation analyses, belong to the domain of survey statistics. These classic methods have been introduced in detail before and will not be repeated here.

 

   Of course, survey statistics is not limited to studying intelligence user's needs. It is widely used in the research of information transfer channels, methods and techniques for data acquisition, and policies and plans for collection. Without any exaggeration, improvement measures in every aspect of today's intelligence work are based on survey statistics.

 

   6. Expert Appraisal

 

   Expert appraisal can be considered as a logical and statistical process.  Information obtained from experts based on their experience and practice is analyzed, judged and synthesized.

 

   Expert appraisal is being applied to various studies in intelligence, information and collection. It is primarily used to solve problems in two areas.

 

   First, it is used to assess the quality of various objects in intelligence research. These objects may be intelligence sources and users, and previous processes and study methods. In this case expert appraisal not only can be used alone, but also as a component of other research methods. Today it is still the primary method to judge the value of the information collected.

 

   Second, expert appraisal is often used to predict the future development of a certain object. Because it is difficult to set up a mathematical model for some objects, expert appraisal is invaluable in predicting their future development. It does not require detailed computation and experimentation to arrive at the future development of subject matter that is familiar to the expert. Of course, it is a prediction of trends and directions, rather than details.

 

   Expert appraisal is divided into "individual appraisal" and "collective appraisal." For a relatively simple problem, such as assessing the value of a piece of information, "individual appraisal" may be used. It involves visiting one or a few experts to assess the situation. For a relatively complex or important issue, such as evaluating certain research methods or predicting the future development of certain events, "collective appraisal" is required. A group of experts needs to be assembled. Conclusions will be drawn based on statistical and probability analyses of the appraisal from each individual expert. By doing so a brand new appraisal from a quality standpoint can be obtained based on the opinions of the group. Collective appraisal can reduce the level of subjectivity, bias and narrowness often encountered in individual appraisals.

 

   The procedures to use "collective appraisal" are as follows:

 

   (1) Establish an expert appraisal analysis group. Its tasks are to clearly define the topic and objective of the study, select experts, determine the method and procedure for the survey, prepare, issue and collect survey forms, perform statistical analysis on the results, and finally summarize the results of the appraisal.

 

   (2) Establish a group of experts for appraisal. The organizational structure can either be a "solid entity" or a loosely held organization. However, it must contain a group of pre-selected experts who are familiar with the subject matter. They must be representative in quantity and viewpoint. Choose experts who can assess the problem from various aspects. Retain key figures that are experienced in related fields. The accuracy and reliability of the appraisal can be directly impacted by the quality and representation of the expert group.

 

   (3) Prepare for survey work. Primarily, prepare the necessary background materials and draft the survey outline. To quantitatively process survey data it is usually necessary to decompose the survey outline into a form in order to standardize and tabulate the answers. To a large extent the accuracy of the appraisal is dependent upon how detailed the questions asked by the experts are and the accuracy of the questions expressed. Hence, preparation of a scientific questionnaire is an important step in "collective appraisal." 

 

   (4) Organize to implement the survey and appraisal.

 

   (5) Retrieve survey opinions to perform data analysis.

 

There are three ways to perform a "collective appraisal." One is to visit or interview experts to go over the form. Then the results are summarized by an expert appraisal analysis group. The second approach is to invite the expert group to a meeting to discuss the results. The third approach was first adopted by Land Corporation and it is also called the Turfy method. The key feature is to first mail the survey and background material to every expert.  Each expert then replies in writing after studying the issues. The organizer collects their opinions and then sends all the answers back to the experts with or without any editing in a anonymous manner to allow each expert to evaluate his own opinion based on the arguments of his peers. He can supplement or modify his opinions and send in his answers one more time. The expert appraisal analysis group can then perform statistics and summarize the results of the second reply. Of course, if the issue is highly complex, then the process may be repeated a few more times to make the conclusion more precise and focused. This method is an extension of a discussion meeting. It has the following advantages of a discussion. (1) Experts have ample time to review the materials and to perform in-depth research. It can overcome the problem of having to speak on the spot without adequate preparation. (2) By reading through the previous survey, the opinions of others are known. With this level of understanding, one can perfect and modify one's own opinions. (3) Due to anonymity the group is not influenced by the opinions of a few well-known experts. This helps open up the field and encourage independent thinking. It can also avoid face to face confrontation when opposing views are presented. It allows each party to calmly analyze the view and reasoning behind the other party's opinion and to complement his own. (4) Since usually more than a few dozens of experts are involved, all answers are given in a tabulated format to facilitate quantitative analysis. In view of these advantages, this method has been widely used since 1960. Some research materials pointed out that more than 20% of the prediction in modern time is done this way.

 

   7. Mathematical Methods

 

   There is one unique feature in modern S&T development. As computer technology advances, mathematical methods are widely used in various fields.  Hence the trend is to turn scientific knowledge into mathematical expression. Intelligence, information and collection are no exception. For example, a mathematical abstract of a complex intelligence or information flow process is obtained by applying probability and control theory, and quantitative analysis is carried out using mathematical models. Marx believed that "a science is truly developed after mathematics can be used to deal with it."

 

   It usually takes the following steps to apply mathematics to intelligence and information science.

 

   (1) Use the language of mathematics to describe the problem to be studied and to build a suitable mathematical model.

 

   (2) Find a method to solve the mathematical model.

 

   (3) Interpret and evaluate the mathematical solution to form a judgement or prediction of the problem.

 

   II. Several Notable Issues in Philosophy and Methodology

 

   In exploring the philosophy and methodology of studying intelligence, information and collection, we are in agreement with the overall principle introduced by Qian Xuesen for intelligence research. He said: "Never just limit yourself to your own ideas because it prevents you from seeing the whole system."

 

   1. The development of disciplines such as thinking, systems, control theory and information theory reflects an overall change to make thinking a more scientific process. In the study of information and collection, we have to actively adapt to this change. Of course, information and collection are collective bodies of a series of processes and factors, i.e., systems. The purposes to study information and collection are to investigate the law governing the organization of information and collection, to understand the law that puts the system in order from a random state, and to explore how this orderly entity remains functional. To study the correlation between processes or factors, an optimization method based on the selection theory must be used.  We cannot limit to factors affecting an individual entity.  Instead, it must be deduced based on decision theory. For a long time, classic decision theory was used exclusively to study information and collection. This is a deficiency in the field.

 

   2. Because to date people are still using a qualitative methods by describing an experience, similar to what happened in conventional library science, progress in information and collection is very slow. Furthermore, it does not seem very scientific and the unique characteristics of the discipline appear ambiguous. In the future certain novel techniques should be used to further strengthen quantitative methods. Methodology to extract and summarize from past practice should be noted to gradually form a distinctly unique system to study information and collection. Another disadvantage of using methods in library science is that it is confined in a primitive descriptive approach.

 

   We must point out here that as far as collection is concerned, not even intuitive experience has been accurately and sufficiently described as of the present moment. Hence, when one is ready to initiate a study on collection, one must combine intuitive description with theoretical extraction. In the early stage, we should look for issues encountered in routine work and use topics to drive key tasks.

 

   3. Since information is often inappropriately accumulated and inherited, it makes information and collection more resistant to change. Over the years we have felt that it is easier to stir up the pot than to reform. In the future, in addition to microscopic methods aiming at partial improvements, we should especially pay attention to studying some macroscopic methods that can advance information and collection as a whole in order to result in a fundamental reform.

 

   III. New Approaches and Methods Discovered in Research and Introduced from Abroad

 

   Intelligence, information and collection are new disciplines. The theoretical concepts are still yet to be formed. The study methods are also just evolving. Hence there is an urgent need to refer to certain new theories, ideas and methods in philosophy, social science and natural science. This point is of great significance to the formation, development and even key breakthroughs in the discipline of information and collection. A number of new theories and ideas that are related to theoretical research on intelligence and information are introduced below. These methods and ideas were developed abroad in the past several years.

 

   1. Idea Gene Theory by Dawkins of the United Kingdom and Intelligence Gene Theory by S.K. Sen of India

 

   According to modern genetics, the gene is the basic biologic element of inheritance. It exists on the chromosome in the form of a linear array. In 1976, Dawkins proposed the idea that a human being, just like a biologic body, transplants, expands and reappears as time and space vary. There is also a basic unit that is a thinking gene. A thinking gene is the basic element of science, as well as the heir and propagator of human culture.

 

   A biological species evolves based on invariance and mutation of genes.  Dawkins believed that the development of a scientific idea is remarkably similar to the evolution of a biological species. Some new ideas undergo changes to form new laws, doctrines and theories. He attributed the inheritance and development of ideas to heredity and the mutation of thinking genes. He also believed that a thinking gene is a high fidelity replica of the idea. It can form a gene composite entity that can live and multiply.

 

   In 1981, S.K. Sen of India introduced the concept of replacing "thinking gene" with "intelligence gene" in an attempt to lay a solid theoretical basis for information science. He equated the state of living to an increase in intelligence. He believed that an organic entity evolves by way of hereditary genes, natural selection, replication fidelity and mutation.  Intelligence, however, increases gradually by way of heredity of intelligence genes, error detection, social constraints, and thinking changes.

 

   S.K. Sen criticized the methods to quantitatively evaluate and measure knowledge increases. He believed that these methods are based on published articles or available literature as a whole, and do not agree with the actual evolutionary process of ideas. He proposed to build a quantitative method to measure intelligence on gene theory. Counting the number of time an article has been read is not a good way to measure the novelty of a new idea.  Citation statistics cannot actually reflect whether the idea illustrated in an article is rejected, accepted, or partially utilized. Therefore he proposed to establish an idea gene structure, idea gene chain, and idea gene exchange model.

 

   S.K. Sen also pointed out that the current categorization method is irrational. He suggested that we reconstruct a categorization system based on an idea evolution chart. In information retrieval, he also proposed to start from looking for the idea gene from the literature and then gather data by means of natural progression to form an idea gene string. Then, prepare it into a novel idea index for use.

 

   Liu Zhihui of the Chongqing Branch of China Institute of S&T Intelligence pointed it out that it is more appropriate to change "intelligence gene" to "knowledge gene." The phenomenon of knowledge inheritance and mutation should be looked at from a dialectical standpoint. In the evolutionary process, knowledge primarily represents the inheritance of certain academic ideas. At the same time, to some extent, it contains a criticism of this idea. In genetics, the dominant character, i.e., inheritance, is to carry forward tradition, and its recessive character, i.e., mutation, is to criticize tradition. As knowledge mutates, the primary behavior is to criticize the idea. At the same time, to a certain degree, it also inherits this idea. Its dominant character is to criticize tradition, i.e., mutation. Its recessive character is to inherit tradition, i.e., inheritance. The idea gene theory describes the process of thinking based on the theory of evolution. An idea is a system of knowledge. A knowledge gene is the basic concept of science. The equations, laws and patterns created from these basic concepts are the DNA of knowledge. Knowledge DNA is the primary constituent of the knowledge cell. It is the basic structure of "inheritance" and idea "mutation." The entire building of science is created by knowledge cells.

 

   The idea gene theory of Dawkins and intelligence gene theory of S.K. Sen are worthy of further study. Based on such theories, the traditional categorization method will be challenged and current quantitative methods of information analysis will be impacted. The theoretical study of intelligence may undergo a major reform after introducing the idea gene theory into this field.

 

   2. Brooks' View

 

   Since 1978 Brooks has dedicated himself to the basic theory of information. He presented a series of insightful viewpoints. His representative work, "Fundamentals of Information" (published in 1980), received worldwide attention. His view can be summarized in the following five points.

 

   (1) He advocated that information ought to be a discipline of science. He said that "from the standpoint of philosophy, information does not have a place nor does it have any theoretical basis." Hence he proposed to abandon some narrow concepts developed in their embryonic stage (limited to literature) and investigate the essence of information and a series of basic issues related to information from a broader perspective.

 

   (2) On the basis of the three-world theory, information should study the interaction between world 2 and world 3 to form an independent discipline. He said that " information is fundamentally needed and is objective, rather than subjective, knowledge." "People studying library science and information science have to pay attention to Bop's three-world theory because it provides a theoretical basis for library and information activities other than from a practical viewpoint." He emphatically denied that information is a combination of some related fields (such as linguistics, communication theory, computer science and statistics). He believes that information has its own unique research subjects and domains that have not yet been touched; i.e., the interaction between world 2 and world 3.

 

   (3) The basic equation to express the effect of information on knowledge structure is K(S)+DI = K(S+DS), where K(S) is the original knowledge structure, DI is the incremental information, and DS is the improvement.  Brooks considers it a quasi-mathematical formula. The reason why he presented this equation is because people are extremely ignorant about how knowledge grows. He also stressed that knowledge increase is not a simple addition. Instead, it is an adjustment of the knowledge structure.

 

   (4) Ranking & sequencing and logarithmic perspective are two basic methods to quantitatively measure information. In Brooks' replied to Neil's criticism, he said "information also needs a quantitative measure, otherwise it is merely a summation technique and not a true science." What did he advocate to use? One is ranking and sequencing. This method can preserve more information and data, and it is easy to use. The second is logarithmic perspective. Brooks daringly applied the Weber-Fleishnan law to the subjective human recognition process. That is, the human recognition process operates in a logarithmic manner. He also pointed out the presence of "recognition space" and "information space." It is different from physical space and is constrained by logarithm.

 

   (5) Objective knowledge is organized based on the logic content of the literature. Brooks believed that the material organized by current information workers by category and by subject is not knowledge. Instead, it is literature. A system thus built can only provides literature clues. The real information still needs to be analyzed and revealed by the user. Therefore, he proposed to organize it by a knowledge map. A knowledge map is a direct display of the interaction and linkage points for people to create and think based on the logic content of the paper. Brooks conducted a small experiment to draw a knowledge map by using Faradan's index.  However he did not disclose any results.

 

   Brooks is an up-and-coming youngster in information. His viewpoints are worth pursuing. His understanding of the characteristics of knowledge is a giant step deeper. His equation, although simple and coarse, after all establishes an inherent relation between information and knowledge. It points to a direction of basic research – to further elucidate the relation between information and knowledge to establish a more elaborate mathematical model.  The idea of drawing a knowledge map by Brooks coincides with S.K. Sen's point of building a idea gene evolution chart. Of course, it is very difficult to draw such a map. There are numerous technical issues to be resolved. However, once a "knowledge map" or "idea gene chart" is successfully drawn, it is equivalent to building a brain outside the human body. It will be a significant contribution as people handle more and more information everyday.  Particularly, he sharply criticized the status quo of theoretical information research and challenged the traditional view. He fought hard to understand basic issues of information from a philosophical perspective and firmly believed that information will become a new independent discipline.

 

   Brooks' views are novel and we should study and absorb their scientific merit.

 

   3. Brief Introduction to the "Three New Theories"

 

   In the tide of new technology revolution, modern science has developed from the "old three theories" (i.e., systems, control and information) to the "new three theories" (i.e., dissipation structure, coordination and mutation). They are powerful tools to understand the multi-dimensional correlation between the internal factors of an object and the external environment.

 

   Dissipation structure theory was originally proposed by Professor Prigogine of the Freedom University of Belgium in 1969. It was primarily used to investigate the mechanisms, conditions and laws governing the evolution of a system that starts in a highly random state and ends in a stable and orderly state.

 

   Prigogine pointed out that in a system far from equilibrium, when a variable reaches its critical value, by means of abrupt changes there is a possibility that it may switch from a random state to a orderly state in terms of time, space or function. This orderly macrostructure formed in the non-linear region far from equilibrium must continuously exchange material and energy with the external world to maintain its stability so that it will not disappear due to small perturbation. Prigogine calls this kind of structure that needs to dissipate material and energy to maintain its orderliness a dissipation structure. Under certain conditions, the system can organize itself.  This is the self-organizing effect.

 

   According to Prigogine's hypothesis, a system requires at least four conditions to form a dissipation structure:(1) it must be an open system,(2) it must be remote from equilibrium,(3) there must be non-linear interaction among various factors, and (4) a huge rise or fall leads to orderliness.

 

   In 1973, Professor Haken of Stuttgart University in Germany introduced the coordination theory. It expands Prigogine's dissipation structure theory from an open system far remote from equilibrium to a closed system that is in equilibrium.

 

   Haken believes that under certain conditions, a coordination effect is produced through non-linear interaction among various sub-systems, a system may undergo changes from a random state to an orderly state, from a low level orderliness state to a high level orderliness state, or from a orderly state to a random state.

 

   In coordination theory, the degree of orderliness of the system is expressed as an order variable. This order variable is a critical, undamped and slow-relaxing variable that governs the entire process. It determines the structure and functionality of the result.

 

   Quantitative study on both dissipation structure theory and coordination theory relies on mathematical methods associated with mutation theory. Mutation theory is the study of various discontinuities of various natural states and structures, as well as socioeconomic activities, using theories in topology, singular point, qualitative differential equation, and stability mathematics. Mutation theory organically combines dissipation structure theory with coordination theory to promote the development of systems theory.

 

   In recent years, some people are trying to introduce the "three new theories" into information research. Some preliminary attempts were made. However, it still take a great deal of hard work to understand how dissipation structure theory and coordination theory can be used to interpret the theories and practices of intelligence.

 

   Section Six -- Significance of Intelligence, Information and Collection Research

 

   It does not seem hard to answer this question from the standpoint of work.  However, from the standpoint of science and technology, considering the impact of technology and industrial revolution brought about by new technology, and also considering that major advances in systems science are right around the corner and major breakthroughs in thinking science are imminent and a new scientific revolution is in the near future, it is not an easy task to clearly express the significance of studying intelligence, information and collection under such a broad background.

 

   In spite of it, our feeling is that the significance and impact of such a study is definitely not limited to improving the effectiveness of various tasks such as data collection, sequencing, indexing and activation. It is also not limited to making better use of the information. Roughly speaking, in addition to understanding how to utilize information fully and in a timely way to create intellectual wealth and total knowledge for mankind, it also involves how the human brain can function to the full extent. Let us assume that once the thinking mechanism of the human brain is understood, artificial intelligence can be developed and knowledge engineering is widely spread. By then, information technology will also have advanced considerably. What would the state of intelligence, information and collection be? What is going to happen to other sciences and technologies? What kind of impact would it have on industrial and technology revolution? If these questions are asked, then indeed it is impossible to accurately and comprehensively describe the significance of studying intelligence, information and collection.

 

   As for collection science, it is still in the inception stage. As the social function of intelligence continues to develop, a series of changes must occur regarding the concept and understanding of collection. Eventually, people will realize the significance of collection research. It is, at least, a major social issue concerning gathering of the human intellectual wealth.

 

   In conclusion, when one considers the profound significance of these topics, definitely try not to limit oneself to the current task in hand. One should keep one's eyes open and think farther.

 

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