CRS ADSTAR REQUIREMENTS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP85-00988R000300070007-6
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 50
• Document Creation Date: December 15, 2016
• Document Release Date: October 9, 2003
• Sequence Number: 7
• Publication Date: August 3, 1976
• Content Type: REQ

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CRS ADSTAR REQUIREMENTS
3 August 1976
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CRS ADSTAR REQUIREMENTS
CONTENTS
Page
INTRODUCTION ........................................1
II SUMMARY STATISTICS OF PRESENT
CRS DSR SYSTEM................... ..............6
III ASSUMPTIONS .........................................8
IV FUNCTIONAL REQUIREMENTS ............................12
SUMMARY TABLES .....................................33
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CRS ADSTAR REQUIREMENTS
SECTION I
INTRODUCTION
1.1 This paper defines the requirements for an Automated Document
Storage and Retrieval (ADSTAR) System to succeed the present
CRS/DSR (Document Storage and Retrieval) System and to support
a SAFE system. While the narrative addresses only the SAFE/ADSTAR
requirements", the tabular presentations (see Summary Tables)
present the requirements for an ADSTAR system with and without
SAFE. The ADSTAR requirements are based on data extracted
from Volumes II (September 8, 1973) and III (August 8, 1975)
of the third edition of SAFE Requirements Paper, the SAS paper
entitled "Holistics View of SAFE," and from. management data
available about the present CRS/DSR system.
1.2 ADSTAR JUSTIFICATION
1.2.1 Intelligence production is a dynamic process, the need
for more timely intelligence products is increasing and has
resulted in changes in the way information is collected,
transmitted, disseminated, and analyzed. Consequently, the
level of expectation of intelligence analysts and their customers.
F l HCA1 ON
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for both raw and finished intelligence has been raised through
the use of advanced technology in virtually all areas. This
pressure is the principal reason for acquiring an ADSTAR
system for the 'Agency's central document storage and retrieval
(DSR) facility. The production offices, in fact, are themselves
undergoing some rather dramatic changes and innovations in the
methodology of the analytical process--everything from computer
modeling to the application of Bayesian theorems. In brief,
the present manual DSR system is no longer capable of meeting
the response time, delivery, and display requirements of its
users.
1.2.2 More specifically, the system is "output bound," i.e., it
takes too long to get what you need from the system compared
to the time it takes to search computerized index records and
get a document reference. The gap worsens with demands for
on-line, near real-time support to Agency components and
others..
1.2.3 Another deficiency of the present system is its heavy
use of manpower. This is compounded by the continuing inability
to keep the operation fully manned, and pressures to reduce
the size of the present staff. If we add the fact that we
expect a SAFE-supporting central ADSTAR system to process
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several times more documents in and out of the system than is
presently being done, it becomes reads y apparent that we must,
take advantage of improved technology to accomplish this.
1.2.4 Finally, a new ADSTAR system is needed to save space. If the
present system continues to grow even at its present limited
pace, it will require far too much space per image stored.
If, as a result of SAFE, we are required to increase annual
storage capacity for several times the number of documents we
now input to the system the problem becomes even more critical.
In the SAFE context and to a more limited extent with an
efficient ADSTAR system with remote display, the space saving
must be thought of as not just occurring in CRS' Document
Services Branch, but possibly Agency-wide. An effective
ADSTAR system, with near instantaneous response, should reduce
significantly the need for an analyst in a production office
to build and maintain his own files.
1.3 DATA RELIABILITY
1.3.1 A word needs to be said about the reliability of the
data used. Management data about the present DSR operation is
available and reasonably accurate, and therefore the statistical
factors used to derive specifications for an ADSTAR system
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Without SAFE can'be viewed with a high degree of confidence.
rr
In fact, the only changes made to err'ent`system load
factors, i.e.; Phase I, ADSTAR,.were to allow for an increase
in receipts to accommodate new document sources, and to allow
the entire new system to accommodate a greater input and
output by raising the average document length from 7.5 pages
to 10 pages.
1.3.2 In assessing the available data needed to arrive at
requirements for an ADSTAR system in a SAFE environment,
however, the situation is considerably less reliable. The
most reliable data available to calculate the SAFE-ADSTAR
System requirements relates to input. SAFE expects to handle
several categories of documents not presently processed into
the DSR system. These consist primarily of items selected for
input to the microstore from open literature sources, estimated
to number approximately 1,000 items per day (10,000 pages), as
well as a more complete selection for the microstore of electrical
receipts from official channels, i.e., State, DIA, NSA, and
While the estimate of open source material
(approximately 260,000 items per year) to be input to the
SAFE-ADSTAR system is difficult to assess in terms of'reliability,
our prediction of the likely volume of total input to the
system seems reasonably reliable.
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1.3.3 It is somewhat more difficult to lbok at~the output side of
the SAFE-ADSTAR requirement and speak with a similar degree of
confidence. Analyst accesses to the system in the SAFE
paper, only provided fora "maximum system load," i.e., peak
load; but no average or sustained load is given. Nor is there
any indication of a total annual system load in terms of
documents, or more importantly, pages per year retrieved,
viewed, printed, etc. The estimated load requirement presented
in this paper requires careful examination before the figures
are accepted for system design purposes.
1.3.4 The SAFE-ADSTAR requirements contained in this paper emphasize
the hard copy document world. Electrically received messages
are included in the ADSTAR system as an integral part of that
system. They are to be stored in microform in ADSTAR as a
successor to the present DSR system and also to serve as a
document storage back-up to the SAFE system.
1.3.5 The ADSTAR requirements are stated to reflect the varying.
workload factors that will exist for the initial system,
Phase I and Phase II, and the ultimate SAFE-supporting
system. Phase I will begin in FY 1978 and Phase II in
FY 1979.
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SECTION II
SUMMARY STATISTICS OF PRESENT CRS DSR SYSTEM*
2.1 The CRS DSR system houses about 10 million documents or an
estimated 80 million pages in various formats. It receives
about 750 thousand documents each year; 400 thousand of these
are added to the microfiles annually. Approximately 50 percent
of the annual document receipts are in electrical form; 30
percent of these are added to the microfiles via COM. The
remainder consists of filmed documents and paper documents
which are converted to microfilm. About 12 percent of all
receipts are stored in their original paper format.
2.2 Hard copy documents reach the microfilm files within four to
six days after receipt in the Agency. Documents converted to
microfilm via COM reach the files within two to two and one-
half days. Electrical receipts are available from the digital
*For a full description of the present system see The IRS
Document Storage and Retrieval System, dated 15 March 1976.
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files within a half an hour and up to twenty-four hours after
receipt.
1. -16
2.3 The present system retrieves between 125,000 and 150,000
documents per year, and blows back to paper about 1,050,000
pages per year for requesters located primarily in the Head-
quarters Building. While there is a trend toward more use of
microfilm as the final output medium, most system users still
prefer to receive paper copies of documents. About 30 percent
of all images retrieved are provided to requesters using
microfilm and viewed on a screen.
2.4 On the average, the present system provides a response to a
request in about five days; however, the time frame for .
responses ranges from minutes to many weeks. Requests are
received by mail, telephone, or "walk-in" to the DSB reading
rooms.
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SECTION III
ASSUMPTIONS
3.1 In.the process of developing the general CRS ADSTAR systems
requirements, a number of assumptions were made. They are as
follows:
3.1.1 The production of intelligence will require speedier input,
access, retrieval, display, and delivery'of documents/information
than is possible with today's system.
3.1.2 Additional personnel resources are not available to
improve the present DSR system's input and output processing
times.
3.1.3 Rapid, on-line, access to hard copy documents will
be limited to the data covering the most recent five years,
except for branch/private files which will be retained as per
user's instructions. Based on past experience, it is assumed
that the document file beyond the most recent five years will
continue to be less active and a slight delay of no more than
six hours in the worst case is acceptable (see 3.1.4).
3.1.4 Access to documents five to ten years old is acceptable
at retrieval rates within hours, and for all documents older
than ten years at times provided by the present system.
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3.1.5 Only a limited amount of the present document file will
be converted and input to any sucr., gsor'system. Conversion
costs, documeht use statistics, and other factors will be
considered before a final recommendation is made.
STAT
3.1.6 The ADSTAR system is being developed to support both SAFE
system users and document requesters who are not SAFE participants.
3.1.7 Document categories currently stored in CRS will also be
stored in ADSTAR. This includes RSM-stored electricals,
i.e., NSA, State, DoD electricals.
3.1.8 The ADSTAR system will not require basic R&D but should
be available for the most part from off-the-shelf systems.
System modification will probably be required.
3.1.9 ADSTAR is designed primarily for Headquarters users; however,
it must be able to serve document requesters for query input
and document display, from and in remote locations, i.e.,
0
OGCR, IAS, NPIC. Secure communications links to
these organizations from Headquarters must be provided.
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1 ..
3.1.10 The system must satisfy archival document storage
requirements:
3.1.11 ADSTAR will be the SAFE document back-up system.
3.1.12 During the upcoming years, we can expect an increase
in the percentage of documents received in electrical form.
3.1.13. The ADSTAR system should have a life span of about ten
years.
3.1.14 The ADSTAR system must optimize energy and resource
conservation characteristics.
3.1.15 The cost of acquiring and installing an ADSTAR system
without SAFE will not exceed two and one-half million dollars
in FY 77 and 78.
3.1.16 To the extent that a SAFE-supporting ADSTAR system will require
funding beyond the FY77 $1,500,000 and FY78 $1,000,000,
Project SAFE or other funds must be made available.
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3.1.17 Because of its size and transaction rate ADSTAR must be
completely-modular in both storage(76apacity and output capability
to permit gradual growth to a full-sized system.
3.1.18 Because ADSTAR will be operational prior to SAFE, the SANS
number will not initially be employed. SAFE forsees no index
conversion, but if such should occur, SAFE will have to supply
a document number to the SANS conversion facility. The
SAFE system will assign a SANS document number.
3.1.19 ADSTAR will be operational approximately two years prior
to SAFE.'
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SECTION IV
FUNCTIONAL REQUIREMENTS
4,1 Input Function
4.1.1 Input Quantity
4.1.1.1 The CRS ADSTAR system must be able to process 1,100,000
documents into the microstore annually (d/y). Because the
SAFE system will have a larger ratio of short documents
(electricals) in it than ADSTAR without SAFE, the average
number of pages per document would be considerably lower than
in an ADSTAR system without SAFE. With an average length per
document of five pages and a 10 percent growth factor for
receipts from new sources, the total number of pages to be
accommodated by the system per year (p/y) would amount to
5,500,000 ply. During the early phases of ADSTAR the system
must also accept for temporary storage in digital form about
433,000 electricals annually that will not have been indexed.
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These non-indexed electricals should be stored digitally for
text search retrieval. This funct n,may ultimately be
assumed by SAFE.
4.1.2 Types of Documents
4.1.2.1 The initial phases of ADSTAR will encounter an input workload
similar to the present DSR system.
4.1.2.2 About 50 percent of all documents input to the SAFE-ADSTAR
microfile will come from electrical sources and will be
available-from digital files. The other 50 percent are
received in hard copy and initially will be available only
from the microfile. All indexed documents, i.e., documents
indexed for the public file either centrally by CRS or those
selected and indexed by individual analysts, will be stored in
the microfiles, whether received in electrical or hard copy
form. The average number of pages per electrical has been
calculated at two pages per document as compared to about
eight pages per hard copy document. Thus, the electrical path
must process about 1,100,000 pages into the microfiles and the
hard copy path must process about 4,400,000 pages into the
microfiles. The 1,100,000 documents per year input to the
microfiles includes all documents input to the present non-
digital DSR system, plus 260,000 miscellaneous non-NFIB
intelligence items, and an additional 300,000 electricals,
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State, DIA, and NSA field traffic. In addition to
the microfile documents, ADSTAR -6-quires storage space for
about 830,000 pages of electrical receipts annually received
in digital form. These documents include all those elec-
tricals not indexed or controlled by any SAFE or CRS index.
4.1.3 File Size
4.1.3.1 The ADSTAR system must be completely modular to permit file
expansion. ADSTAR Phase I and Phase II should be able to
accommodate on-line a file size of 2,000,000 documents or
about 14,000,000 pages. This figure is based on the assumption
that we would convert the last three years receipts (i.e.,
about 1,000,000 documents) to the ADSTAR system, and in addition,
allow for two years of increased growth (1,000,000 documents).
In the final ADSTAR phase the system must accommodate on-line
5,500,000 documents or 27,500,000 pages.
4.1.3.2 Besides sheer volume, conversion presents a number of other
potential problems that must be considered before determining
the degree of certainty with which any portion of the current
collection may be converted to a new ADSTAR storage medium.
The new system must accommodate conversion from a variety of
formats including the CRS/DSR 35mm 8-up aperture card as well
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as NMA and COSATI standard microfiche and if possible 35mm
non-standard reel film. Therefor~,f,-pptential problems can be
related to those of hardware, format, age and physical condition
of the microforms, image quality, and film characteristics of
the present and future storage medium. The existing imagery
must be able to withstand the subsequent generations leading
to the new file medium whether it is digital, conventional
microfilm, or ultra-high reduction film technology. The
physical condition and characteristics of the various CRS held
media will affect the ability to automatically manipulate the'
materials or to obtain indexing information, i.e., punched
data can be read from aperture cards and they may be machined,
but this cannot be done with either microfiche or roll micro-
film. Image quality and image orientation must also be considered,
e.g., contrast ratio between line and background densities,
reduction ratios, resolution, and condition and type size of
original input material. Images should be right reading when
the microforms are properly oriented.
4.1.3.3 Document conversion must be initiated prior to total system
installation. About 50 percent or 500,000 of the documents
to be converted should be ready for storage by Phase I of
ADSTAR.
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Rate
4.1.4 Input _Rate
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4.1.4.1 The system must be-able to process 5,500,000 images annually
into the microfile. The hourly input rate will be about
2,640 pages per hour 5,500,000. Of these about 530 pages
2,080
per hour will be processed automatically from electrical
sources and 2,110 pages/hour from hard copy sources. Doc-
uments must be available in the microfiles.within one day
after initial receipt, e.g., those in by 1500 hours of one day
must be available by 0700 the next day. Input speed should be
optimized.
4.1.5 Document Control
4.1.5.1 The ADSTAR system must be able to assign document control
and address numbers to all documents resident in the system by
using the SAFE SANS numbering system or in the pre-SAFE phase
some other computer supported numbering system to identify the
document. At the least, ADSTAR must interface with this
numbering system,
4.1.6 1-lard Copy Receipts
4.1.6.1 The system must be able to process a wide variety of hard
copy receipts into the microfiles. Document sizes will
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include standard 8.511x14" and 8"xlO.5" sizes as well as odd-
size newspaper clippings. Documer4`which exceed the limits
of the input "copy board will be sectionalized. Document
quality will also cover a broad spectrum including varying
print fonts (style and size), Xerox-like copies, half tones,
press and journal articles, etc. The system must possess
sufficient blow-back capability so that pictorial material
will be able to meet simple recognition criteria. It must be
able to accept and store colored charts, maps, and photos, but
not blow-back such material in color, although such a capability
would be desirable. In addition, the system must be able to
handle materials several inches thick, e.g., a bound volume,
and where the shade and quality of paper may vary greatly.
4.1.7 Electrical Receipts
4.1.7.1 The system must be able to receive and process electrical
receipts into storage virtually automatically, i.e., with as
little human intervention as possible. This process must be
faster than that for hard copy documents. Processed electrical
receipts must be available from the microfile within a few
hours and no later than 16 hours after receipt by the system.
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4.1.8 Quality Control
Z
4.1.8.1 The system should be fail-safe against misfiles (i.e.,
storing a document in the wrong address) and duplicate control
numbers.
4.1.8.2 The input must not degrade the image quality of a document
as a result of its introduction into the system. Image
enhancement should take place during the input process, e.g.,
controlling exposure variables to provide the most precise
copy image. Such enhancements may be through optical, elec-
tronic, or any other means.
4.1.9 System Integration
4.1.9.1 Input processing must interface with communications and
computer subsystems.
4.2 Storage and Maintenance
4.2.1 System maintenance must not significantly degrade system
operation. Enough redundancy must be built into the system to
permit the required maintenance activity to operate in par-
allel with system operations. Maintenance should not degrade
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system operating effectiveness below the 85% level.
4.2.2 The system must have a power failure recovery procedure
that guarantees data integrity.
4.2.3 The system should have, if possible, a method to correct
or replace document images, e.g., downgrading the classification
of documents.
4.2.4 The system should provide some type of purge capability.
Purging must not interfere with I/O functions and must be
limited to central processing.
4.2.5 The system should provide management information on its
operations, i.e., number of inquiries, number of documents
retrieved, number of images viewed and reproduced, etc.
4.3 File Organization
4.3.1 The system must permit documents to be filed and retrieved
on a compartmented basis. Such criteria as the identification
of documents as codeword, collateral or sensitive must be
accommodated in segregrated files.
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4.3.2 The system's size and cost must be controllable by
keeping only active material (most_.recent five years. receipts)
on-line. D?cuments in "branch/private files" will be retained
as long as the analyst requires. Since on-line storage will
be limited to the most recent five years of receipts, the
system should permit documents to be stored by date of receipt.
4.4 Output Function
4.4.1 Output Media
4.4.1.1 The ADSTAR output media must include paper, microfilm, and
soft display, i.e., optical display and CRT displays. The
utlimate phase of the system provides for the soft displays to
be the major medium. However because of the phased instal-
lation of the ADSTAR system over approximately three years,
i.e., FY 1978-80, the output requirements will vary in re-
lation to the type of display and delivery system ADSTAR and
subsequently SAFE will provide. Thus in its earliest phase
the ADSTAR system will have to output 66 percent of all images
retrieved in hard copy, i.e., paper, and 33 percent in soft
display and a small remnant in microfilm. As the remote
display capability improves in later installation phases the
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system can expect a decline in the paper output load and an
increase in-display output. It is 4stimated that with a full
complement of display stations, i.e., at least one terminal
for every two users, the system would have to be able to
display 75 to 95 percent of all images retrieved and blow back
to hard copy 5 to 25 percent of the retrieved images. The
system must be able to supply an archival medium copy of all
officially designated archival documents.
4.4.2 Output Quality
4.4.2.1 The quality of the system output should be equal or better
than that of the original material. An image enhancement
capability should be provided.
4.4.3 Output Quantity and Rates
4.4.3.1 The ultimate SAFE-supporting ADSTAR system must retrieve
an estimated 6,500,000 documents or 52,000,000 pages per year.
This estimate is based on data derived from a SAS study
entitled a "Holistic View of SAFE," dated 6 January 1976.
This study involved 900 users surveyed over a period of one
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month. Of the nine'SAFE functions studied in this report,
only five offer the probability fob"reque"sts for documents
from the ADSTAR system. They are Compose, Search, Public
File, Search Information Files, Search Branch File, and Build.
(Of these,. the Compose and Build functions appear to generate
a .low level of retrospective document retrieval activity.)
During the 11-hour period of study each day, there were a
total of 2,371 uses of the three most used files mentioned
above. If the number of accesses is doubled to represent
1,800 SAFE users, a total of 4,742 accesses per day results.
Volume III of the SAFE Requirements Paper says that each
access will result in an average retrieval of 10 documents,
with an average of 8 pages per document. Half of these
documents will be retrieved from the microstore, for a total
of 189,680 pages per 11-hour day (4,742 x 40), or approximately
17,240 hard copy pages retrieved per hour.
4.4.3.2 Using the percentages of output quoted above, it is estimated
that the various outputs from the microstore are distributed
as follows:
1 ~
.. +... r . ~ i u+ s
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11-hour day
8-hour day
Non-SAFE Users:
500 pages per hour
500
View Only
12,930 pages per hour
17,780
Print
860 pages per hour
1,185
*
t
t
A
450 pages per hour
3
4,742
a
e
nno
,
Total continuous
rate of
retrieval 17,740 pages per hour 24,207
(Rounded upward to 25,000 pages retrieved per hour or 52,000,000
ply)
4.4.3.3 The ADSTAR system will be operational one to three years
before the first phase of SAFE becomes operational. During
this time lag ADSTAR will function more or less as a replace-
ment of the current DSR system. During phase I of ADSTAR the
system output work load will be approximately 200,000 documents
or 2,000,000 images/pages p/y. This allows for a 25 percent
increase over present operations. From phase 1, the system
must evolve subsequently to support a SAFE system work load.
*In the absence of an adequate on-line annotation capability
within the SAFE system for source documents this may also
represent a paper blow-back work load.
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4.4.4 Hard Copy Quantity
4.4.4.1 The initial ADSTAR system must be able to blow-back to paper
66 percent of all retrieved images/pages, i.e., 2,00600,000
=1,320,000 p/y or 650 p/h (p/y=per year; p/h=per hour).
4.4.4.2 SAFE calls for the blow-back to paper of 5 percent of
all retrieved images--i.e., 2,600,000 p/y at an hourly rate of
1,250 p/h. The 20 percent of retrieved images that require
annotation will probably also require paper copy. This would
result in a requirement to blow-back to paper 10,400,000 p/y
or 5,000 p/h. The system must permit an increased estimate of
20 percent to accommodate peak demands, or 6,000 hard copy
pages/hour.
4.4.5 Soft Display
4.4.5.1 Upon installation and operational start-up of the ADSTAR
system, the capability must exist to allow all information,
e.g., reference citations, and/or images to be viewed centrally.
This is required for file verification and maintenance, and
for customer viewing of requested document references and
resultant images. Initially, the system capacity for soft
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copy viewing will be 33 percent of the total images retrieved
(2,000,000 pages). This means that 60.,000 p/y or 320.p/h
will be viewed in the central facility. If the ultimate
system design requires that a separate terminal be used for
the remote transmission and viewing of document images, then
this terminal should be installed into each central work
station during the Phase 1 ADSTAR operation.
4.4.5.2 In the ultimate SAFE supporting ADSTAR system all images
should be able to pass a viewing station. The requirement for
soft display equates to the total output of the system, i.e.,
.25,000 p/h sustained or 30,000 p/h peak load. Of these, 75
percent or 18,750 p/h (peak 22,500 p/h) will not be processed
any further, i.e., 75 percent will be viewed only, and 25
percent or 6,250 p/h (7,500 p/h peak) will be blown back to
paper.
4.4.5.3 The system should be able to support about 50 remote display
terminals by the end of Phase II. The final ADSTAR system
should have a capacity for up to 2,000 terminals.
4.4.6 Display/Reproduction-Rate
4.4.6.1 The first image of a search should be displayed within 30
seconds with subsequent images displayed within a fraction of
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a second. For documents exceeding the buffer capacity, an
additional 30 seconds delay would b7 .epcountered. Paper blow-
back speed must be 2.5 seconds/page or less. Paging of documents
in the reproduction process should be continuous and not
require human interference, e.g., a seven-page document should
require only one command to print all seven pages with a
maximum time delay of 17.5 seconds. The reproduction process
must not delay viewing any longer than required for the image
exposure. Exposure time should facilitate the total blow-back
cycle of 2.5 seconds.
4.4.7 Request Rate
4.4.7.1 Initially, the ADSTAR system will be required to respond to
30,000 requests p/y or about 15 requests p/h. During peak
load situations the system must handle 36,000 requests ply or
about 20 request p/h.,
4.4.7.2 Based on the SAS report a "Holistic View of SAFE," the
ultimate SAFE supporting ADSTAR system must be able to process
a request rate of about 1,250,000 requests per year. This
number of requests requires a system that can process an
average of 600 requests per hour with a peak of about 720
requests per hour. These figures include requests levied by
non-SAFE users.
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4.4.8 Mode
4.4.8.1 The system should by on-line. If not operated on a
24-hour basis, it must permit rapid (less than 30 minutes)
start-up.
4.4.8.2 The system should permit multiple remote query input.
4.4.8.3 The system must permit interface with an automated
image transmission/delivery subsystem.
4.4.8.4 Batch processing of document requests should be possible.
4.4.9 Paging and Browsing
4.4.9.1 The system must permit browsing through the file document
by document and page by page. It must permit paging within a
fraction of a second. The system should permit jumping
forward or backward from and to pages and/or documents.
4.4.10 Miscellaneous
4.4.10.1 The system should provide some level of tutorial support,
e.g., notifying a user that he is using invalid document
numbers, a wrong procedure, etc.
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4.4.10.2 A keyboard must'be available for system access to the
microstore-and for computer support'`
4.4.10.3 The system must interface with the communications, computer,
and remote image display/delivery subsystems.
4.5 System Reliability
4.5.1 The system must have a very high degree of reliability.
The system hardware, software and power supply must have
enough redundancy to assure a high percentage of availability.
The system should be available for use 99 percent of each
workday, 365 days per year. By "available" we mean that the
system must be able to perform all of the functions for which
it was intended in support of the storage and retrieval of
specific documents at required rates, formats, and operating
modes.
4.6 Security Requirements
4.6.1 General
4.6.1.1 The security features incorporated into ADSTAR should provide
protection against the following threats:
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User or system error
Unauthorized user infiltration; e.g., browsing through files,
masquerading as a. legitimate user by unauthorized personnel,
unauthorized physical acquisition of computer records (cards,
tapes, printout, micrographic storage media), and exploitation
of the system through "holes" in the operating system
Monitoring system transactions by tapping unencrypted com-
munications lines or pick up of emanations
Misrouting of output data to the wrong addressee (spillage)
4.6.2 Physical security requirements will be dictated by the
requirements of the information stored and/or processed.
4.6.3 Hardware/Software
4.6.3.1 Hardware/software protect features will be incorporated
in the system to provide maximum data and system integrity.
4.6.3.2 The system should protect data, programs, etc., and prevent
unauthorized access and guarantee that authorized access is
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reliably accomplished.
4.6.3.3 Security processes should not significantly degrade system
performance and should not require continuous human monitor-
ing. Security procedures should not present a serious com-
plication to system access.
4.6.3.4 Users should be able to add their own processes onto, but
not subtract from or alter system security processes.
4.6.3.5 Each remote terminal unit will have a unique identifier
which is identifiable by the operating system.
4.6.3.6 The system will have the capacity for detection of any change
of status of the hardware configuration.
4.6.3.7 The operating system will have a method for determining the
operating state of the software (i.e., whether operating
system or other program). In a multi-programming environment,
the operating system will distinguish each of the programs
in execution.
4.6.3.8 The system will have a mechanism to clear memory and
auxiliary storage.
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4.6.3.9 The hardware-will have fetch, store#`and. /0 protection
4.6.3.10 The operating system will be protected from other program
execution. Privileged mode execution of the operating system
should be as minimal as possible.
4.6.3.11 System security software will be a part of the operating
system and will be as modular as possible. This software will
contain a security audit trail capability.
4.6.3.12 The system will have the capability to carry security labels
for the data internally and print these labels on output.
This applies to CRT as well as printed output, i.e., the
system will verify the classification of a given document in
the index record and if other than the original classification
a "new classification" will be overprinted on the document.
4.6.4 Communications Links
4.6.4.1 Communications links must maintain the security of the data
from the central ADSTAR processor to remote devices.
r, n
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4.6.4.2 Lines internal to a building will be incorporated in a
data distribution system which meets security requirements for
the transmission ofTOP SECRET data.
4.6.4.3 Lines connecting outside building remote devices to the
central ADSTAR facility and the main computer center will be
encrypted in accordance with Office of Communications re-
quirements.
4.6.5 Emanations
4.6.5.1 All equipment designated for use outside the Headquarters
Building will be TEMPEST tested and modified as appropriate.
4.6.5.2 Equipment will be placed in working areas so as to provde
a maximum necessary sgparation distance between classified and
non-classified devices.
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SECTION V
SUMMARY TABLES
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 Approved
or Release 2003/11IQ6 CW;RDP85-009888000300070007-6
The Automated Document Storage and Retrieval (ADSTAR) system
is a system, yet to be defined, which will replace the
Central Reference Service's manual document storage and
retrieval system. This document addresses the managerial
approach for the development of an ADSTAR system required
for effective responsiveness to document retrieval requests
and support to the Agency's analytical offices.
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TABLE OF CONTENTS
Paragraph Page
Preface ---------------------------------------- ii
SECTION I
INTRODUCTION
1.1 PURPOSE AND SCOPE-----------------------1-1
1.2 OBJECTIVE-------------------------------1-1
SECTION II
BACKGROUND------------2-1
SECTION III
MANAGEMENT APPROACH-------3-1
SECTION IV
TASK DESCRIPTION
4.1 REQUIREMENTS DEFINITION PHASE-----------4-1
4.2 SYSTEM DESIGN AND ANALYSIS PHASE--------4-1
4.2.1 Source Selection Authority-------4-2
4.2.2 Source Selection Board----------- 4-2
4.2.3 Source Evaluation Board----------4-2
4.2.4 RFP Review Panel-----------------4-2
4.3 SYSTEM DEVELOPMENT, ACQUISITION AND
ACCEPTANCE TEST PHASE-------------------4-3
4.4 SYSTEM IMPLEMENTATION PHASE-------------4-3
4.5 OPERATIONS AND MAINTENANCE PHASE--------4-3
SECTION V
CONSTRAINTS
-------------------------5-1
5.1 COST-----------
5.2 SYSTEM LIFE SPAN-----------------------5-1
5.3 -SAFE COMPATIBILITY---------------------5-1
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0
ParaQrraph Page
5.4 OFF-THE-SHELF TECHNOLOGY---------------5-1
5.5 BACKUP OPERATION PROCEDURES------------5-2
5.6 CONSERVATION OF UTILITIES -------------~-2
SECTION VI
REPORTING AND REVIEW PROCEDURES-6-1
SECTION VII
TASK FORCE MILESTONES (FY-1976)-7-1
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SECTION I
INTRODUCTION
1.1 PURPOSE AND SCOPE
This document describes the management plan and direction
for the development of an ADSTAR System.
1.2 OBJECTIVE
The objective is to develop a system which: a) is more
responsive to near realtime support requirements, b)
reduces human costs associated with the on-going, labor
intensive system, and c) saves filing space in CRS and
throughout the Agency's analytical offices. Because of
weaknesses.in the extant manual document storage and
retrieval system, increasing service demands, and growing
user dissatisfaction, the ADSTAR system should be provided
in the immediate future, i.e., FY-1978-79 time period.
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SECTION II
BACKGROUND
The Agency's central Document Storage and Retrieval (DSR)
system is unable to keep pace with, and be responsive to,
new requirements from the Agency's analytical offices in
terms of increased service demands, faster response times,
and capabilities for remote document viewing. In addition,
Research and Collection offices are themselves undergoing
some rather dramatic changes and innovations in the method-
ology of,the analytical process and forthcoming improvement
in real-time collection systems, respectively. Taken as a
whole, these developments_spell trouble for the manual/
microform DSR system. More specifically, the present DSR
system is output.bound", that is, it takes too long to_
obtain products from the system compared to the time it
takes to search computerized document index records and
notify the-analyst the document exists. The present situ-
ation will worsen when faced with demands for on-line,
near real-time support?to the research analyst, target
programmers, photo-interpreters, and others.
The ADSTAR System, therefore, must satisfy new DSR system
requirements as well as the document storage, retrieval,
and remote image viewing requirements of the SAFE Project._
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SECTION III
MANAGEMENT APPROACH
The ADSTAR System development will be carried out as an
Agency task. That is, an in-house group (ADSTAR Task
Force) will be responsible for the definition, concep-
tualization, specification, administration of development,
evaluation, and acceptance of the system. Recognizing the
importance of concise specifications, contractor personnel
possessing expertise in candidate technologies will supplement
the Agency staff personnel already on-board and assigned to
Central Reference Services (CRS) and Office of Joint Computer
Support (OJCS) ---
The customer and contract administrator will be CRS. OJCS
will provide computer expertise and specify present and future
computer system interfaces as addenda to the ADSTAR functional
and processing requirements -_-
The ADSTAR Task Force will be composed of DDI/CRS and DDA/OJCS
personnel. Since the Document Services Branch (DSB) of CRS
has primary responsibility for operation of the present Document
Storage and Retrieval (DSR) system, and should be responsibl-u -
for operation and maintenance of the ADSTAR system, the Task
Force will be headed by a representative of DSB. Other Task
Force participants will include representatives of the Microform
Processing Branch/Support Services Division/CRS, the Systems - -
Analysis Staff/CRS, and the System Design, Operational
/
Development, and Test and Quality Assurance components of_SAFE
PAM/OJCS. ISAS/MPB will also be invited to assign a repre-
to the Task Force. CRS members of the Task Force
sentative
will be attached to CRS' System Analysis Staff during the
development of the ADSTAR system. Chief, SAS will provide (as
needed) first-level management direction and guidance as well
administrative and technical support, e.g., advice on nego-
tiating contracts, assistance in developing requirements and
specifications, and provision of clerical and editorial support
in the preparation of papers and other documentation.
An ADSTAR Steering Committee made up of the Directors and
Deputy Directors of CRS and OJCS, Chief, Document Services
Group/CRS and Project Director, SAFE/OJCS will oversee the
Task Force as a whole and provide managerial direction and
controls when they are deemed necessary.
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Because of the diversity of Agency microform interests and
applications and the obvious advantages of selecting com-
patible (if not identical) hardware solutions to similar
document storage and retrieval problems, close communications
will be maintained with other Agency and Community components
to avoid costly duplication of efforts, insure complete
familiarity with alternative design plans and/or installed
systems, and increase the utility and cost-effectiveness 'of
the system chosen. The specific means for exchanging in-
formation and coordinating system plans and ideas will be as
follows:
Internal
a. Formal meetings of representatives of the principal
Agency micrographics systems (i.e., CRS/DDL and ISG/DDO) will.
be convened periodically under the auspices of the Comptroller.
In addition, informal contacts between these two components
will be maintained at -least at the level experienced over the-
past 6-9 months. Every effort will be made--consistent with
satisfying the design requirements peculiar to each
application--to select -the- same- ADSTAR system hardware for
both components.
b. Participation will be continued in periodic meetings
of the Agency's "Micrographics Users Group," chaired by _
C/MPB/ISAS, at which a far- larger number of Agency components
interested in micrographics is generally represented.- -?
External
Q. Attendance at meetings of the "Micrographics Working
Group" (MWG) of USIB's Information Handling Committee (IHC).
CRS represents the Agency at meetings of the MWG/IHC and,
in concert with the CIA representative to the IHC, was in-
strumental in the establishment of this panel whose objective
is to achieve Community agreement on microform standards,
formats, image quality, storage media, hardware, etc. Any
Community-imposed considerations or constraints which might
impact on the CIA ADSTAR system design-should emerge at
sessions of this group.
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SECTION IV
TASK DESCRIPTION
The task will be carried out through five distinct phases,
as follows:
4.1 REQUIREMENTS DEFINITION PHASE
The task force will research and write the functional and
processing requirements of the system which will require
joint approval of the D/CRS and D/OJCS. All changes and
addenda to the requirements document will require similar-
approval:-- A.significant effort during this phase will be
an industry survey and study whereby feasibility and
optimization studies of candidate systems are performed to
facilitate the Design and Analysis Phase (below). Monies
will be made available for these studies during FY-76 and/or
the Transitional Quarter. The requirements document will-
be used to solicit voluntary suggestions and ideas from in-
terested organizations. in industry.
4.2 SYSTE14 DESIGN AND ANALYSIS PHASE
Using the requirements document supp emented by industry-
sioaestions, the ADSTAR task force will develop a system _
descriprion capable of meeting the requirements. From the
system definition, an external reference specification (ERS)
document will be developed outlining the external character----
istics of the system, such as user interface facilities and =
examples of system-output. The ERS will be used to solicit
ideas and approaches for Request for Proposal (RFP) refine-
ment and concision. During this phase, RFPs for the system
will be developed and distributed, the logistic and communi-
cation requirements will be specified, and the coordination
and interface requirements with existing and future systems
related to ADSTAR will be firmly established.
The outline below shows the Management structure, respon-
sibilities, and possible Agency organizational component
rcpresentatives.that will oversee: a) the writing of RFPs,
b) evaluation of proposals, and c) awarding of contracts.
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4.2.1 SOURCE SELECTION AUTHORITY
The Source Selection Authority will be composed of the
Director of CRS advised by the Directors of OJCS and Office
of Logistics (OL).
Directors, CRS and OJCS will be responsible for final
Agency selection of winning bidder proposals based on
technical assessment, price, and other factors.
Director, OL will be responsible for: a) final Agency contract
negotiations upon receipt of obligation of funds authorization
and b) contract award to the successful bidders.
4.2.2 SOURCE SELECTION BOARD
Will be composed of Chief, DSG/CRS (Chairman), Chief, SAS/CRS,
PD/SAFE/OJCS, and a representative of Procurement Division/OL.
This board will be responsible for: a) approval of RFPs
submitted by the Source Evaluation Board and b) recommending
winning bidder proposals to the Source Selection Authority.
The recommendations will be based, in part, on a review of
the proposal evaluation performed by the Source Evaluation
Board (below) .
4.2.3 SOURCE EVALUATION BOARD
Will be composed -of the ADSTAR Task Foreo(Chief, DSB/CLD/
DSG/CRS--Chairman), and a representative
Division/OL. This panel will be responsible for: a) review
and ref ement of RFPs, b) establishing evaluation criteria,
c) evaluating proposals, d) ranking bidders based on technical
and cost considerations, e) establishing bidders' list and
f) presenting recommendations and rationales to the Source
Selection Board.
4.2.4 RFP REVIEW PANEL
Will be composed of the Source Evaluation Board (Chief, DSB/
CLD/DSG/CRS--Chairman) and representatives of Engineering
Division/OC and Information Systems Security Group/OS.
Draft RFPs will be prepared by the ADSTAR Task Force and
submitted to this panel. This panel will be responsible
for: a) reviewing RFPs for their completeness, concision,
and legal soundness and clarity, and b) initial preparation
of bidders-lists.
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4.3 SYSTEM DEVELOPMENT, ACQUISITION AND ACCEPTANCE
TEST PHASE
This phase will involve the evaluation, selection, acquisition
of hardware and development of software (if required).
Software packages may include those defined for outside
procurement as well as in-house developed packages necessary
to produce the final system. The system will 'be documented
by an Internal Reference Specification (IRS) which requires
approval of Chief, DSG/CRS and Project Director, SAFE/OJCS.
The acceptance testing activity will be the implementation
of a test and quality assurance plan initiated as the
beginning of the Design and Analysis Phase to insure that
a consistent and structured test program is available'to
meet reliability, functional, and processing requirements.
4.4 SYSTEM IMPLEMENTATION PHASE
Following successful completion of the acceptance test, --
acceptance recommendation by the Tesk Force, and approval
by the ADSTAR Steering Committee, the system will be phased
into service. This phase will include: a) implementation.
of standard operating procedures developed during the
preceding phases, b).conversion and parallel operation of
the DSR system, and c) 'phasing out of operation the DSR
system.
4.5 OPERATIONS AND MAINTENANCE PHASE
During this phase, the system will be operated as a special
purpose automated document storage and retrieval system by
CRS with all necessary interfaces established for existing
and future systems. This will be the ongoing phase of the
developmental effort and the task force responsibilities
will have been completed.
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CONSTRAINTS
The system development and design must addresS?the following
constraints:
5.1 COST
Funds programmed for ADSTAR currently total $1,500,000 in
FY-1977 for the basic system with an additional $1,000,000
programmed in FY-1978 for acquisition of a non-SAFE remote
terminal display capability. Other than funds for the
operation and maintenance of the system, the total system
cost through FY-1978, excluding Agency staff personnel
salaries, shall not exceed $2,500,000. -
5.2 - SYSTEM. LIFE SPAN
The system selected and implemented shall have a production
life span of seven to ten years.
5.3 SAFE COMPATIBILITY
Particular emphasis shall be placed on the definition of
requirements- and system development and design compatible
with the SAFE system. The ADSTAR system must be capable
of satisfying reliability, availability, and response----
requirements of both SAFE and non-SAFE users.
5.4 OFF-THE-SHELF TECHNOLOGY
Hardware chosen to drive the ADSTAR system will be essen-
tially "OFF-THE-SHELF" rather than the product of a special
research and development effort to meet the Agency's needs.
While this does not preclude the modification of certain
standard components to render items more effective in the
ADSTAR environment, it is not the intent to implement a
system which relies to any, significant extent on one-of-a-kind
devices.
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5.5 BACKUP OPERATION PROCEDURES
In the event of system failure or catastrophe, 'the
a) be amenable to a manual operation
stored documents, and/or b) include a capability for storage
and retrieval of documents in a different medium amenable to
manual operations.
5.6 CONSERVATION OF UTILITIES
A criterion for the evaluation and selection of the system
architecture and technology shall be the conservation of
logistic resources and energy utilities.
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The Chief of the ADSTAR Task Team will report monthly in
writing to the Chairman, ADSTAR Steering Committee, on
progress, key problems confronted, and plans. He will
also participate in the OJCS/CRS weekly meetings. Ad-
ditional reporting responsibilities are identified in the
Task Force Milestones Section VII (below).
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ADSTAR MILESTONES
(TQ and FY77)
Consultant Contracts, signed
Complete ADSTAR Requirements
Identify OC, ODP, OL, CRS Interface
Requirements and Initiate Coordination
System Description and Specifications
External Reference Specification
Draft RFP
RFP Approved*
Bidders List
RFP's Released
RFP Response
Evaluation and Ranking of Bids
Bidder Selection*
Critical Milestones
13 August 1976
16 August 1976
30 August 1976
31 October 1976
15 November 1976
30 November 1976
31 December 1976
31 December 1976
January 1977
30 April 1977
30 June 1977
31 July 1977
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