**Federal Aviation Administration**

**Aircraft Safety Knowledge Management Environment**

**(ASKME)**

**Electronic File Service**

**(EFS)**

**Functional Requirements Document v 1.0**

![](media/image1.png){width="1.261111111111111in"
height="1.2465277777777777in"}

**January 2007**

#### **Revision History Summary** {#revision-history-summary .unnumbered}

  ---------------- ---------- -------------------------- -------------------
  **Version        **Date**   **Author**                 **Justification**
  Number**                                               

  0.1              12/20/06   Scott Stolzfus             Created initial
                                                         document draft.

  0.2              01/16/07   Jennifer Frye              Updated document to
                                                         incorporate ISUG
                                                         comments and
                                                         updates resulting
                                                         from first round
                                                         requirements
                                                         review.

  0.3              01/25/07   Jennifer Frye              Updated document to
                                                         make changes noted
                                                         in 1/18/07 team
                                                         meeting.

  0.4              1/25/07    Jennifer Frye              Updated document to
                                                         make change
                                                         indicated in
                                                         1/25/07 meeting and
                                                         a couple of other
                                                         minor additions.

  0.5              3/15/07    Jennifer Frye              Added search by
                                                         category and check
                                                         for duplicate
                                                         documents on
                                                         upload.

  1.0              3/23/07    Jennifer Frye              Changed document to
                                                         indicate final
                                                         version.
  ---------------- ---------- -------------------------- -------------------

receipt / Acceptance

***By signing below, I acknowledge receipt of this document. Comments
and feedback to this document shall be provided within 5 business days
of receipt of this document. In the absence of any comments or feedback
within the period specified above, I acknowledge acceptance of this
document.***

+-------------+--------------------------------------------------------+
| **FAA**     | **Jennifer Frye**                                      |
|             |                                                        |
|             | **EFS PM**                                             |
+-------------+--------------------------------------------------------+
| **          |                                                        |
| Signature** |                                                        |
+-------------+--------------------------------------------------------+
| **Date**    |                                                        |
+-------------+--------------------------------------------------------+

+-------------+--------------------------------------------------------+
| **FAA**     | **James Seipel**                                       |
|             |                                                        |
|             | **EFS Sponsor**                                        |
+-------------+--------------------------------------------------------+
| **          |                                                        |
| Signature** |                                                        |
+-------------+--------------------------------------------------------+
| **Date**    |                                                        |
+-------------+--------------------------------------------------------+

+-------------+--------------------------------------------------------+
| **FAA**     | **EFS ISUG Members**                                   |
|             |                                                        |
|             | **Wanda Kimura, Carlos Quiles, Margaret Magnifico,     |
|             | Patricia G Smith, Gregory Michalik, Naomi Bryant,      |
|             | Bobbie Smith, Glen Young, Hank Tong,**                 |
|             |                                                        |
|             | **Perry W Cutts, Michelle Sauer**                      |
+-------------+--------------------------------------------------------+
| ###         |                                                        |
| ### **Signa |                                                        |
| tures** {#s |                                                        |
| ignatures . |                                                        |
| unnumbered} |                                                        |
+-------------+--------------------------------------------------------+
| **Date**    |                                                        |
+-------------+--------------------------------------------------------+

[1 Introduction 1](#introduction)

[1.1 Purpose 1](#purpose)

[1.1.1 Background 1](#background)

[1.1.2 Assumptions and Constraints 1](#assumptions-and-constraints)

[1.1.3 Interfaces to External Systems
2](#interfaces-to-external-systems)

[1.2 Document References 2](#document-references)

[2 Functional Requirements 2](#functional-requirements)

[2.1 Data Requirements 2](#data-requirements)

[2.2 Functional Process Requirements
2](#functional-process-requirements)

[2.2.1 Catalog 4](#catalog)

[2.2.2 Index 5](#index)

[2.2.3 Search 5](#__RefHeading___Toc156710136)

[2.2.4 Retrieve 8](#__RefHeading___Toc156710137)

[2.2.5 Security 8](#__RefHeading___Toc156710138)

[2.2.6 Store 9](#store)

[2.2.7 Print 10](#__RefHeading___Toc156710140)

[2.2.8 Disposition 10](#__RefHeading___Toc156710141)

[2.2.9 Reporting 10](#__RefHeading___Toc156710142)

[2.2.10 Administration 11](#administration)

[2.2.11 Other 12](#__RefHeading___Toc156710144)

[3 Operational Requirements 13](#__RefHeading___Toc156710145)

[3.1 Security 13](#security-1)

[3.1.1 User Security 13](#user-security)

[3.2 Database Security 13](#database-security)

[3.3 Physical Security 14](#physical-security)

[3.4 Audit Trail 14](#audit-trail)

[3.5 Reliability 14](#reliability)

[3.6 Maintainability 14](#maintainability)

[3.7 Availability 14](#availability)

[3.8 Recovery 15](#recovery)

[3.8.1 Data Rollback 15](#data-rollback)

[3.8.2 Restoration of data 15](#restoration-of-data)

[3.9 Capacity 15](#capacity)

[3.10 Data Retention 15](#data-retention)

[3.11 Enhanceability 15](#enhanceability)

[3.11.1 Scalability 15](#scalability)

[4 Requirements Traceability Matrix
16](#requirements-traceability-matrix)

[Appendix F Acronyms, Abbreviations, and Glossary
17](#__RefHeading___Toc156710162)

# Introduction

## Purpose

The Electronic File Service (EFS) is a commercial off-the-shelf (COTS)
enterprise class document management system infrastructure that will
provide document management services for multiple applications within
AVS. The first interface to EFSI will be limited to the Aircraft
Certification (AIR) organization. Ultimately, EFSI will be used
internally throughout AVS and externally to the general public. This
document contains requirements gathered through Information System Users
Group (ISUG) meetings, from the EFS Concept of Operations (CONOPS)
Document, the FAA AIR Concept Paper, and policy Orders relating to
document management. This document is intended to define the
requirements for the EFS infrastructure in addition to the EFS
application.

### Background

The AVS organization is responsible for promoting aviation safety by
regulating and overseeing civil aviation. AVS establishes aviation
safety and certification standards; monitors safety performance;
conducts aviation safety education and research; issues and maintains
aviation certificates and licenses; and manages the FAA rulemaking
program. AIR, an organization within AVS, is responsible for developing,
administering, and ensuring compliance to standards governing the
design, production, airworthiness, and continued operational safety of
civil aircraft and related components.

Among AIR's most valuable assets are the knowledge, skills, and
abilities of its workforce. This is especially true in the issuance of
engineering and manufacturing approvals for aircraft design, related
components, and production systems. Data generated during original
certifications is used as a basis for design and production
modifications, some of which may occur twenty or more years after the
original approval.

In order to provide continued operational safety and promote the FAA
Flight Plan, AIR needs an integrated source of safety and compliance
information and organized processes for easy, quick access at any time
and place. Automated tools are needed for capturing and creating an
inventory of knowledge assets as part of normal work activities.
Automated tools are required for analyzing data to predict potentially
unsafe conditions and for providing easily accessible management
information.

EFS will meet these identified needs by storing knowledge assets, making
them accessible, facilitating management and workforce decision making,
and providing a proactive system safety approach. This will be
accomplished through a collection of automated tool sets developed under
the ASKME program beginning with EFS. EFS will provide electronic
storage information capability and will require an application
interface.

### Assumptions and Constraints

The EFS Application Interface shall use the EFS services to provide
document management services. The application shall not provide any
functions that overlap the functionality of the EFS services provided by
the COTS product chosen for implementation.

Administrative requirements may be satisfied through the COTS
administrator application. If the COTS application program can satisfy
the administrative requirement then the application interface shall not
implement these functions. If the COTS application program cannot
satisfy the administrative requirement then the EFS application
interface shall provide the functionality.

### Interfaces to External Systems

There are several interface requirements that are deferred from version
1.0 of the application interface. However, the functionality of the
requirements should be considered in the initial design of the
application interface. External interfaces to consider are:

-   Searching external databases or content repositories.

-   Electronic data deletion based on disposition dates, archiving,
    transfer, and migration to and from EFS.

## Document References

-   EFS Project Document - \"Concept of Operations (CONOPS) Document
    (Business Requirements)\"

-   EFS Project Document - "EFS Business Process Analysis and Software
    Specification Development Statement of Work"

-   EFS Project Document - "EFS Concept/System Boundary Paper"

-   EFS Project Document - "EFS Requirements Team Charter"

-   FAA Order FAA-IR-04-01, "Records Management Requirements Manual" and
    its referenced mandates to NARA

-   FAA Order 0000.1G, "FAA Standard Subject Classification System"

-   FAA Order 1350.14A, "Records Management"

-   FAA Order 1350.15C, "Records Organization, Transfer, and Destruction
    Standards"

```{=html}
<!-- -->
```
-   Information Technology Standards Document - "Institute of Electrical
    and Electronics Engineers (IEEE) Standards Document (1362)"

# Functional Requirements

## Data Requirements

All data accessed by the EFS Application Interface shall be in
electronic format.

## Functional Process Requirements

The ASKME Electronic File Service (EFS) provides electronic
documentation storage. EFS shall provide an interface to logically
categorize, store, search, and retrieve documents to and from the file
service. This component is referred to as EFS application interface.

### Catalog

#### EFS shall provide for adding information about the document (called metadata) such as title, subject, document type, etc., while other information such as author, date created, version number, physical location, is automatically captured by the EFS interface. (AIR Concept Paper, High Priority)[^1]

#### EFS shall allow users to populate metadata fields from data entries in a drop down list. EFS shall employ defaults and valid-value lists to choose from where applicable (e.g., metadata). Metadata drop down lists may have sub menus. (CONOPS, High Priority) 

#### EFS shall display automatic metadata fields first, followed by Required fields, and Optional fields last. (ISUG Requirements Meeting, High Priority)

#### EFS will only allow one version of a document. (ISUG Requirements Meeting, High Priority)

#### EFS shall display appropriate metadata fields based on the document type that is selected by the user. (AIR Concept Paper, High Priority)

#### EFS shall populate the document type drop down list based on the user\'s authority to upload those document types. (AIR Concept Paper, High Priority)

#### EFS shall store documents to the appropriate storage location. (AIR Concept Paper, High Priority)

#### EFS shall validate the metadata field values that have been selected by the user based on the business rules that have been defined. (ISUG Requirements Meeting, High Priority)

#### EFS shall prompt the user to make corrections or selections until all required metadata fields are validated. (ISUG requirement meetings, High Priority)

#### EFS shall provide an administrator method to add document types. (ISUG requirement meetings, High Priority)

#### EFS shall provide an administrator method to define or modify what metadata fields are associated with each document type. (ISUG requirement meetings, High Priority)

#### EFS shall provide an administrator method for defining optional or required metadata fields. (ISUG requirement meetings, High Priority)

#### EFS shall provide an administrator method to define or modify whether a metadata field will have a valid values list. (ISUG requirement meetings, High Priority)

#### EFS shall provide an administrator method to establish the default value for a metadata field. (ISUG requirement meetings, High Priority)

#### EFS shall provide the ability to relate or link one document to one or more other documents. (AIR Concept Paper, High Priority)

#### EFS shall provide a spell check for users to check spelling of open field metadata entered. (CONOPS, Low priority)

#### On document upload, EFS shall check to see if a document already exists in the repository. If a duplicate document is found, a message shall be displayed indicating the content already exists with a link to the document. (ISUG Requirements Meeting, Medium priority)

### Index

Text documents and associated metadata are submitted to a full-text
indexing engine. When documents are submitted to EFS the indexing occurs
automatically.

#### EFS must ensure the indexing is enabled. (AIR Concept Paper, High Priority)

### Search

#### EFS shall search within the EFS system and return results according to user access permissions. (AIR Concept Paper, High Priority)

#### EFS shall search data sources external to EFS. (AIR Concept Paper, Deferred for release 1.0)

#### EFS shall offer basic and advanced searching. (ISUG requirement meetings, High Priority)

#### The basic search will consist of searching for a string anywhere within metadata and/or a document. (ISUG requirement meetings, High Priority)

a.  within documents of specific document types

b.  within metadata fields

c.  within document names

d.  within document content

#### EFS shall allow the user to select one or more allowable document types to search. (ISUG requirement meetings, High Priority)

#### EFS shall allow document types to be selected and deselected from the search list. (ISUG requirement meetings, High Priority)

#### EFS shall allow a search on the list of documents from a previous search. (ISUG requirement meetings, High Priority)

#### EFS will allow metadata to be selected to limit the search criteria. (ISUG requirement meetings, High Priority)

#### EFS shall display a list of document types that the user is authorized to search. (AIR Concept Paper, High Priority)

#### The advanced search will consist of a basic search plus additional search criteria. (ISUG requirement meetings, High Priority)

a.  Searching with all words specified

b.  Searching with at least one of the words specified

c.  Searching excluding the words specified

d.  Search by file format (Microsoft Word, Excel, Image etc..)

e.  Search by creation date range

f.  Search by created by

g.  Search by modified date range

h.  Search by modified by

i.  Search by disposition date (author and administrator)

j.  Search by metadata fields

k.  Search within a specific folder

#### EFS search will provide support for Boolean operators, full text search methods (text strings, proximity searches and wild cards). (AIR Concept Paper, High Priority)

#### EFS search will support relevancy ranking. (CONOPS, Low Priority)

#### For performance EFS search will allow the search to be limited to a specific number of documents. (ISUG requirement meetings, Low Priority)

#### For performance EFS search will allow the search results to be limited to a specific number of result documents. (ISUG requirement meetings, Low Priority)

#### EFS search results will display a standard set of metadata fields including File Code, Description, Author, Creation Date. (ISUG requirement meetings, High Priority)

#### EFS search will retain search criteria settings from the previous search. (ISUG requirement meetings, High Priority)

#### EFS search will allow the search criteria to be cleared or reset. (ISUG requirement meetings, High Priority)

#### EFS search will provide for a paged view of the search results. (ISUG requirement meetings, High Priority)

#### EFS search will provide for sorting by selecting the header of each column in the search results dialog. (ISUG requirement meetings, High Priority)

#### EFS search will allow the search results to be exported to a comma separated value (csv) file format. (ISUG requirement meetings, High Priority)

#### EFS search will allow the search to be interrupted or stopped. (ISUG requirement meetings, High Priority)

#### EFS shall provide the ability to save and modify common queries available in EFS. (ISUG requirement meetings, High Priority) 

#### EFS shall provide the ability to view multiple search results. (ISUG requirement meetings, Low Priority) 

#### If feasible, EFS shall be integrated with a FAA Thesaurus, when and if the FAA Thesaurus is finalized. (ISUG Requirements meetings, Deferred for release 1.0)

### Retrieve

#### EFS shall include the FAA data disclaimer on the main screen of the application interface. (ISUG Requirements Meetings, High Priority)

#### EFS shall provide an interface to retrieve one or more documents from the EFS and save the documents to the user\'s computer or network storage location. (AIR Concept Paper, High Priority)

#### EFS shall allow documents to be selected from a search list or a directory/folder browse list. (CONOPS, High Priority)

#### Multiple document selection will be according to the operating system selection method using the shift, CTRL or other keys. (ISUG requirement meetings, High Priority)

#### EFS shall allow the user to browse the operating system/network to choose a location to store the documents that are being retrieved. (ISUG requirement meetings, High Priority)

#### EFS shall not write to the user\'s computer or network locations other than documents that the user specifies. (ISUG requirement meetings, High Priority)

### Security

#### EFS must be developed in accordance with National Institute of Standards and Technology (NIST) Security Guidelines and Federal Information Processing Standards (FIPS).

#### EFS shall support designation/categorization of documents for secure access/disposition within EFS. (AIR Concept Paper, High Priority)

#### EFS shall allow users to submit and retrieve documents based on permissions within the EFS. (AIR Concept Paper, High Priority)

#### EFS shall prevent the unauthorized destruction of documents. (1350.15, 2-2, High Priority)

#### EFS shall allow the transfer of documents from one user to another. (FAA-IR-04-01A, 307, Deferred for Release 1.0)

#### EFS shall authenticate users within the EFS when they login. (AIR Concept Paper, High Priority)

#### Single Sign-On will be used. (ISUG requirement meetings, High Priority)

#### EFS shall ensure that a user\'s authentication is preserved throughout the session and that the authentication is accurately provided to the EFS for submitting and retrieving documents. (AIR Concept Paper, High Priority)

#### EFS will provide role-based security. (CONOPS, High Priority)

#### EFS will interface with Active Directory.

#### EFS will provide the following roles: (CONOPS, High Priority)

a.  Reader - can retrieve documents but not store/submit

b.  Author - inherits rights from Reader, can submit new documents and
    link submitted documents to other documents. Can delete documents
    within 14 days of posting.

c.  Editor - inherits rights from Reader and Author, can delete
    documents they did not author, can generate a report for scheduled
    dispositions.

d.  System Administrator- full authority, generally provided by the COTS
    product.

e.  Content Administrator - full authority, generally provided by the
    COTS product.

f.  Roles may be further refined.

### Store

#### EFS shall provide an interface to store electronic documents in the EFS. (AIR Concept Paper, High Priority)

#### EFS shall only accept electronic data. The process of converting paper, electronic, and verbal information into an electronic version shall be performed in an offline/external process to EFS. (AIR Concept Paper, High Priority)

#### Scanners will be evaluated, purchased, and installed at a specified number of locations in conjunction with the EFS implementation. (AIR Concept Paper, High Priority)

#### EFS shall apply the same document type and metadata field values to all documents submitted at one time. (CONOPS, Low Priority)

#### EFS shall allow the user to browse the operating system/network to choose the documents to be submitted. (ISUG requirement meetings, High Priority)

#### EFS shall display a list of documents to be submitted as the user selects documents during one or more browse operations. (ISUG requirement meetings, Low Priority)

#### EFS shall allow documents to be removed from the list of documents to be submitted. (ISUG requirement meetings, Low Priority)

#### EFS shall be able to accept all Standard AVS Client software file types for the upload process (e.g., Microsoft Office applications and graphic file types). (CONOPS, High Priority)

#### EFS shall accept input directly from within MS Office applications. (ISUG Requirements Meetings, Deferred for Release 1.0)

#### Documents shall be organized by document type (e.g. Initial types of Letters and Memos) and then file codes identified by the ISUG from FAA-IR-04-01A.doc. (FAA-IR-04-01A, High Priority)

### Print

Printing shall be performed through the native application and operating
system appropriate for the document. EFS is not required to directly
print documents that are retrieved from the EFS.

#### EFS shall be able to print the application interface screens including complete lists that are within scrolling regions. (ISUG requirement meetings, Low Priority)

### Disposition

#### EFS will provide an interface to perform disposition in compliance with the requirements extracted by the ISUG user group from FAA orders1350.15 and 1350.14 identified below. (1350.15 and 1350.14, High Priority)

#### Disposition dates will default based on disposition rules that a records manager assigns to a particular document type or file code. (ISUG requirement meetings, High Priority)

#### Disposition dates and disposition instructions shall be populated based on information provided by the ISUG for each file code. (FAA-IR-04-01, High Priority)

#### When a document contains related documents, the disposition date is the latest of all the documents that are linked in this manner. (FAA Order 1350.14, High Priority)

#### EFS will provide a disposition date report. (FAA Order 1350.14, High Priority)

#### EFS shall provide for document archival (AIR CONOPS, deferred for Release 1.0, functionality will be to export and transfer in the appropriate format rather than archival)

#### EFS shall provide for the transfer of documents to NARA electronically. (FAA-IR-04-01, Appendix 2, deferred for Release 1.0)

#### EFS shall provide for data migration when necessary (FAA-IR-04-01, Appendix 2, deferred for Release 1.0) 

#### Disposition time periods will default based on file codes. The starting date for the time period will be the 'Date Signed' metadata field.

#### Records administration functionality will provide for disposition dates in the 8000 series to be extended. (ISUG Requirements Meetings, Med Priority)

### Reporting

#### EFS shall provide basic and advanced search functionality in place of ad-hoc reporting functionality. (ISUG requirement meetings, High Priority)

#### EFS shall provide the following reports: (ISUG requirement meetings, High Priority)

a.  Common EFS user query report.

b.  File code report.

c.  Disposition date report.

d.  Organization/division/directorate report.

e.  Author name report.

f.  Information within 30 days of disposition date report.

g.  Ability for authors to generate a report to view all their
    information that is within 30 days of disposition date.

h.  Metadata taxonomy report

i.  Recommended for Public Viewing Report

### Administration

Some administration functions may be accessed through the EFS
administrator interface. If any administrator functions are not
available in the EFS administrator interface then the EFS application
interface must provide the administrator functions.

The following are required administrator functions:

#### Assign default disposition dates. (AIR Concept Paper, High Priority)

#### Notification of pending deletion. (ISUG requirement meetings, Deferred for Release 1.0)

#### Approving deletions. (ISUG requirement meetings, Deferred for Release 1.0)

#### Report for scheduled dispositions. (ISUG requirement meetings, Deferred)

#### Add and modify document types, metadata, and metadata selection drop down lists and default values. (ISUG requirement meetings, High Priority)

#### Add and modify users and groups. (ISUG requirement meetings, High Priority)

#### User Name Report (CONOPS, High Priority)

#### Modify permissions for documents and folders. (ISUG requirement meetings, High Priority)

#### Create and modify document storage and folder layout. (ISUG requirement meetings, High Priority)

#### Configuration and reporting of auditing. Auditing data should consist of who did what and when. Uploads of documents should be audited to include the action, the user, the document, and the time. (ISUG requirement meetings, High Priority)

#### Metadata reporting for quality control of metadata definitions and for quality control of document metadata assignments. (ISUG requirement meetings, High Priority)

### Other

#### EFS shall be available to 1400 AIR employees (AIR Concept Paper, High Priority)

#### EFS shall be available to currently estimated 7300 AVS employees (AIR Concept Paper, Deferred for Release 1.0)

#### EFS shall be available to an unlimited number of users external to the FAA (AIR Concept Paper, Deferred for Release 1.0)

#### EFS shall be 508 compliant. (FAA Web Application Standards, High Priority)

#### EFS shall initially be configured with the following metadata fields for the Letters and Memos document types. (ISUG requirement meetings & ITSG Approval, High Priority)

1.  User who submits the data into EFS

> Required, captured automatically

2.  Approving Official (Name in title block)

> Required, no default

3.  Prepared By (Person who created the content)

> Optional

4.  Office

> Required, captured automatically, defaults based on user

5.  File Code

> Required, selection of valid values from FAA IR-04-01A

6.  Disposition date -- (When it can be destroyed or archived)

> Required, defaults based on disposition dates identified for file
> codes, cannot be modified

7.  Disposition Instructions

> Required, defaults based on disposition instructions identified for
> file code, cannot be modified

8.  Access Rights

> Required, Defaults to all, can be limited to office

9.  Recommended for future public viewing (?)

> Required, Choose Yes/No, Default to No

10. Subject

> Required, free-form

11. Applicant Provided Information

> Required, Choose Yes/No

12. Keywords (Country, Regulation Part, etc.)

> Optional, free-form

13. Date Signed Field

> Required, default to system date

14. Date Submitted --

> Required, System date automatically captured

#### EFS shall support an upload of 100,000 documents within the first year. (ISUG requirement meetings, High Priority)

#### EFS shall support an upload of 1 million documents within the first 3 years. (ISUG requirement meetings, High Priority)

#### EFS shall support 10 million documents once it is made available to all of AVS. (ISUG requirement meetings, High Priority)

#### EFS shall support user-defined event-driven notification (alert service) of documents for review (AIR CONOPS, Low Priority) 

#### EFS shall be developed in accordance with FAA Web application standards.

# Operational Requirements

## Security

### User Security

The application interface shall assign and track various user security
levels. The general security model follows. The roles in the security
model below include but are not limited to those indicated. Role
authority will be detailed in the EFS Systems Administrators document.

The general security model is composed of the following attributes:

-   Personal identification and authentication

-   The role(s) assigned to the person

-   The organization(s) the person belongs to

-   The organizational hierarchy

-   Any delegation authority extended to the person

The above model will control access and navigation within the EFS
system.

## Database Security

It is a requirement that all data that is part of the system not be
inadvertently disclosed or accessible to unauthorized users. Transaction
logs must be maintained by the system. The logs should record user, time
date, file accessed, report run, etc. The transaction logs must be
maintained in a secured condition that would preclude tampering.
Additionally, access to the logs should be controlled to only those
specifically authorized to read or edit the log

## Physical Security

EFS is designed so that many users will be accessing the system and its
data from portable computing devices. Should a portable computing device
be lost or stolen, it is essential that it cannot be used to access
either the data within it or the data from the central database. Should
a lost or stolen computing devise be used to attempt access of the
central database, some form of detection and forensic tracing of the
attempt should be available

## Audit Trail

Audit logs shall be accessible to system administrators. Access to
system and component audit logs shall be controlled and generally
restricted to security personnel and system administrators

## Reliability

The system must be reliable to the following specifications:

The first year, (1) four hour delay (one time occurrence) and (2) one
hour delays will be allowable.

Every year there after, (2) one hour delays will be allowable

## Maintainability

The system must also be maintainable to certain specifications and
parameters. They are as follows:

-   Maintainable to meet the 60 minute down time

-   Data driven processes (i.e. all constants or tables of constants are
    revisable by authorized users or administrators.)

-   Operational parameters must be changeable by the authorized owners
    of the system

## Availability

Availability refers to when and where the users of the system can access
EFS. Maintenance of the system will not occur during the system core
hours of 6:00AM EST - 6:00PM PST, Monday thru Friday.

The system must be available to the system users, if a connection to the
FAA infrastructure can be established via the Intranet.

When a public interface is implemented, the system will need to be
available 24/7 except during agreed upon maintenance timeframes.

## Recovery

Recovery is defined as what is the user expectation for recovering data
and getting the system up and running if the system should go down.
Recovery also refers to restoring data which has been erroneously
modified.

The database will be backed-up on a daily basis. If the system should go
down, data from the previous day will be restored.

### Data Rollback

The data rollback process from the latest transaction will be set at 10
minutes. If the system becomes inoperable during a transaction, the
transaction will not be completed.

### Restoration of data

Transaction logs indicating additions, revisions, or deletions must be
maintained in order to restore data erroneously changed. The logs should
record, in addition to the data revised: user name, time, date, and
terminal/computer ID

## Capacity

EFS shall support an upload of 100,000 documents within the first year.
EFS shall support an upload of 1 million documents within the first 3
years. EFS shall support 10 million documents once it is made available
to all of AVS.

## Data Retention

All data must be retained until disposition dates and activity determine
otherwise. The EFS system shall perform data retention and disposition
according to the requirements listed in section 2.2.8 of this document.

## Enhanceability

The system is to be constructed so as to be flexible to the evolution of
EFS. This maintenance function is to be designed intuitively so that the
maintenance functions can be performed without the intervention of
application programmers. In this manner, the application will continue
to evolve and keep pace with the EFS process while remaining structured
around a consistent framework. Programming shall be modular and/or
object based (data driven rather then hard coded).

### Scalability

Scalability refers to the fluctuation of size and the system
accommodations for it.

Given the appropriate network and services architecture, EFS shall be
able to scale from 1400 initial AIR users to accommodate 7300 AVS users
and ultimately to an unlimited number of external users.

[]{.mark}

# Requirements Traceability Matrix

See separate document EFS Functional Requirements Traceability
Matrix.xls

1.  []{#__RefHeading___Toc156710162 .anchor}Acronyms, Abbreviations, and
    Glossary

+-----------+----------------------------------------------------------+
| AD        | Airworthiness Directive                                  |
+-----------+----------------------------------------------------------+
| AIR       | Aircraft Certification Service                           |
+-----------+----------------------------------------------------------+
| ASKME     | Aviation Safety Knowledge Management Environment         |
+-----------+----------------------------------------------------------+
| A         | A statement that is believed to be true in the absence   |
| ssumption | of proof or definitive knowledge.                        |
+-----------+----------------------------------------------------------+
| Attribute | A characteristic                                         |
+-----------+----------------------------------------------------------+
| Author    | An EFS user who can read, submit, and edit information.  |
|           | This role can only edit its own information.             |
+-----------+----------------------------------------------------------+
| AVS       | Office of Aviation Safety                                |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Business  | A high-level business objective of the organization that |
| Re        | builds a product or of a customer who procures it.       |
| quirement |                                                          |
+-----------+----------------------------------------------------------+
| Business  | A policy, guideline, standard, or regulation that        |
| Rule      | defines or constrains some aspect of the business.       |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Catalog   | The process of entering attribute information (metadata) |
|           | about information (e.g., title, subject, document type,  |
|           | author, date created, version number).                   |
+-----------+----------------------------------------------------------+
| ConOps    | Concept of Operations                                    |
+-----------+----------------------------------------------------------+
| C         | A restriction that is imposed on the choices available   |
| onstraint | for the design and construction of a product.            |
+-----------+----------------------------------------------------------+
| COTS      | Commercial-off-the-shelf                                 |
+-----------+----------------------------------------------------------+
| Crawl     | To search the web for web pages relevant to search       |
|           | criteria.                                                |
+-----------+----------------------------------------------------------+
| Cut-off   | The date when a file is "closed" and the retention       |
| Date      | period begins.                                           |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| DIN       | Designee Information Network                             |
+-----------+----------------------------------------------------------+
| Di        | Instructions for what to do with data once the retention |
| sposition | period has expired (e.g., destroy, transfer for          |
| Ins       | permanent storage).                                      |
| tructions |                                                          |
+-----------+----------------------------------------------------------+
| DOT       | Department of Transportation                             |
+-----------+----------------------------------------------------------+
| DPC       | Designee Process Coordinator                             |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Editor    | An EFS user who has the ability to read, submit, and     |
|           | edit information. This role can edit their own and other |
|           | EFS users' information.                                  |
+-----------+----------------------------------------------------------+
| EFS       | Electronic File Service                                  |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| EFS User  | An entity that interacts with EFS. Examples of 'EFS      |
|           | user' include applications, other services, and in some  |
|           | instances, individuals.                                  |
+-----------+----------------------------------------------------------+
| FAA       | Federal Aviation Administration                          |
+-----------+----------------------------------------------------------+
| File      | Codes outlined in the "Records Management Requirements   |
| Codes     | Manual" -- FAA Order FAA-IR-04-01 that are attached to   |
|           | FAA files.                                               |
+-----------+----------------------------------------------------------+
| FOIA      | Freedom of Information Act                               |
+-----------+----------------------------------------------------------+
| F         | A statement of a piece of required functionality that is |
| unctional | specified or built into a product.                       |
| Re        |                                                          |
| quirement |                                                          |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| GOTS      | Government-off-the-shelf                                 |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Index     | The process of reading data and storing the words        |
|           | contained in the data to allow the data to be            |
|           | searchable.                                              |
+-----------+----------------------------------------------------------+
| In        | The term "information" as used in this document refers   |
| formation | to various types of information used by AIR (e.g.,       |
|           | paper-based documents, official records, and             |
|           | electronic-based information like e-mails).              |
+-----------+----------------------------------------------------------+
| Input     | The process of uploading electronic information into     |
|           | EFS.                                                     |
+-----------+----------------------------------------------------------+
| ISUG      | Information System User Group                            |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Metadata  | Data about data. In data processing, metadata is         |
|           | definitional data that provides information about or     |
|           | documentation of other data managed within an            |
|           | application or environment.                              |
|           |                                                          |
|           | For example, metadata would document data about data     |
|           | elements or attributes, (name, size, data type, etc) and |
|           | data about records or data structures (length, fields,   |
|           | columns, etc) and data about data (where it is located,  |
|           | how it is associated, ownership, etc.). Metadata may     |
|           | include descriptive information about the context,       |
|           | quality and condition, or characteristics of the data.   |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| NARA      | National Archives and Records Administration             |
+-----------+----------------------------------------------------------+
| Non-f     | A description of a property or characteristic that a     |
| unctional | software system must exhibit or a constraint that it     |
| Re        | must respect other than an observable system behavior.   |
| quirement |                                                          |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Output    | The process of displaying, printing, saving, and/or      |
|           | disposing of information.                                |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| "Passive" | A service that does not actively "prompt" users to take  |
| Service   | action.                                                  |
+-----------+----------------------------------------------------------+
| Process   | A sequence of activities performed for a given purpose.  |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Reader    | An EFS user who has the ability to read information      |
|           | submitted by other individuals.                          |
+-----------+----------------------------------------------------------+
| Re        | A statement of a customer need or objective, or of a     |
| quirement | condition or capability that a product must possess to   |
|           | satisfy such a need or objective.                        |
+-----------+----------------------------------------------------------+
| Retention | The length of time to store information before           |
| Period    | disposition.                                             |
+-----------+----------------------------------------------------------+
| Retrieve  | The ability to view information stored in EFS.           |
+-----------+----------------------------------------------------------+
| RGL       | Regulatory and Guidance Library                          |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| SDLC      | System Development Lifecycle                             |
+-----------+----------------------------------------------------------+
| Search    | The process of locating information stored in EFS by     |
|           | specifying keywords.                                     |
+-----------+----------------------------------------------------------+
| Security  | Ensuring that data stored in a computer cannot be read   |
|           | or compromised by any individuals without authorization. |
+-----------+----------------------------------------------------------+
| Single    | A feature that will allow authorized users who are       |
| Sign-on   | already signed on the FAA network to access EFS without  |
|           | having to sign-on to EFS.                                |
+-----------+----------------------------------------------------------+
| Spider    | A program that automatically fetches web pages. Spiders  |
|           | are used to feed pages to search engines.                |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| UAT       | User Acceptance Testing                                  |
+-----------+----------------------------------------------------------+
| Unit      | Tests that evaluate the integrity of software code units |
| Testing   | before they are integrated with other software units.    |
+-----------+----------------------------------------------------------+
| User      | A group of users for a service who have similar          |
| Class     | characteristics or requirements for the service.         |
+-----------+----------------------------------------------------------+
|           |                                                          |
+-----------+----------------------------------------------------------+
| Workflow  | The defined series of tasks within an organization to    |
|           | produce a final outcome.                                 |
+-----------+----------------------------------------------------------+

[^1]: The initial item in parentheses is the origin of the requirement.
    The second item in parentheses is the priority for implementing in
    the first release.