Computer-Based National Information Systems: Technology and Public Policy Issues
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Computer-Based National Information Systems: Technology and Public Policy Issues September 1981 NTIS order #PB82-126681 9 Library of Congress Catalog Card Number 81-600144 For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 Foreword This report presents the results of an overview study on the use of computer technology in national information systems and related public policy issues. The purposes of this study are: ● To provide a general introduction to computer-based national in forma- tion systems. –Will help acquaint the nonexpert reader with the nature of computer-based national information systems and the role they play in American society. ● To provide a framework for understanding computer and information policy issues. —Develops a structure of information policy and presents brief essays on several of the more important issue areas, with an em- phasis on how future applications of computer-based information systems may intensify or alter the character of the policy debate and the need for new or revised laws and policies. ● To provide a state-of-the-art survey of computer and related technologies and industries. –Highlights recent developments in computer and in- formation technologies and describes the current status and likely evolu- tion of the computer and information industries. ● To Provide a foundation for other related studies. While some observa- tions can be made about national information systems in general, a full assessment of impacts and issues is best conducted in the context of specific systems. The report builds a foundation for three related OTA studies in the areas of computerized criminal history records, electronic mail, and electronic funds transfer. These three separate studies will be published later this year. As a set, the four studies comprise the OTA assessment of Societal Impacts of National Information Systems that was requested by the Senate Committee on the Judiciary, House Committee on the Judiciary, and House Post Office and Civil Service Committee. Supporting requests were received from the House Government Operations Subcommittee on Government Information and Indi- vidual Rights and the House Science and Technology Subcommittee on Science, Research, and Technology. OTA appreciates the participation of the many advisory panelists and others who helped bring this study to completion. /jwf’~#. JOHN H. GIBBONS Director ///. — — National Information Systems Advisory Panel Susan Nycum, Chairwoman Attorney at Law, Gaston Snow & Ely Bartlett Roy Amara Rob Kling James Rule President Professor of Information and Professor of Sociology Institute for the Future Computer Science State University of New York at University of California at Irvine Stony Brook Paul Baran President John C. LeGates* Richard M. Schmidt Cabledata Associates Director, Information Resources General Counsel Policy Program American Society of Newspaper Harold P, Belcher Harvard University Editors General Manager for Advanced Henry Lucas Sherry Turkle Mail R&D Chairman and Professor of Program in Science, Technology, U.S. Postal Service Computer Applications and and Society Information Systems Massachusetts Institute of Robert L. Chartrand, ex officio New York University Technology Senior Specialist in Information Technology and Policy Ron Uhlig Congressional Research Service Daniel McCracken Manager, Business and Services Past President Planning Kent W. Colton Association for Computing Bell Northern Research Professor of Public Management Machinery Laboratory Brigham Young University Arthur S. Miller Jacques Vallee Donald Dunn Professor of Law Emeritus President Professor of Engineering- The George Washington Infomedia University Economic Systems Carl Vorlander Stanford University Sharon Nelson Executive Director National Association for State Lawrence J. Gervais Attorney at Law Information Systems Vice President Consumers Union American Postal Workers Union Phil Nyborg Fred W. Warden Former General Counsel Former Director, Maurice W. Gregg Computer and Communications Telecommunication Relations Senior Vice President for Finance Industry Association IBM Corp. The Gap Stores, Inc. Russell Pipe Willis Ware Jeremiah Gutman President Senior Computer Specialist Attorney at Law Translational Data Reporting The Rand Corp. Levy, Gutman, Goldberg & Service, Inc. Kaplan Iram Weinstein Ithiel De Sola Pool System Planning Corp. J. Robert Harcharik Professor of Political Science Alan F. Westin President Massachusetts Institute of Professor of Political Science Tymnet, Inc. Technology Columbia University *Resigned in late 1979 iv OTA National Information Systems Assessment Staff John Andelin,* Assistant Director, OTA Science, Information% and Natural Resources Division Stephen E. Doyle,** Program Manager Communication and Information Technologies Fred B. Wood, † Project Director Fred W. Weingarten, Study Director, NIS Overview Renee G. Ford,†† Writer-Editor Susan S. Stocker,†† Research Assistant Jean E. Smith, Analyst Elizabeth A. Emanuel, Administrative Assistant Teri Miles, Secretary Zalman A. Shaven, Senior Analyst Raymond B. Crewel.1, Senior Analyst OTA Publishing Staff John C. Holmes, Publishing Officer John Bergling Kathie S. Boss Debra M. Datcher Joe Henson *Since March 1980; Eric H. Willis served as Assistant Director through February 1980. **Through February 1981 ; Sam Hale serving as Interim Program Manager since March 1981. † Since June 1979; Ruann E. Pengov served as Project Director through May 1979. †† OTA contract personnel. Special Advisory Panel on Information Technology Paul Baran, Chairman Lance Hoffman Phil Nyborg President Professor of Electrical Former General Counsel Cabledata Associates Engineering and Computer Computer and Communications Science Industry Association The George Washington Craig Fields University Donn B. Parker Senior Program Manager Senior Consultant Defense Advanced Research SRI International Projects Agency Konrad K. Kalba President Ron Uhlig Kalba Bowen Associates, Inc. Manager, Business and Services Dean Gillette Planning Executive Director for Corporate Bell Northern Research Studies Daniel McCracken Laboratories Bell Telephone Laboratories, Inc. Past President Association for Computing Frederic Withington Vice President Vico Henriques Machinery Arthur D. Little, Inc. President Computerland Business Theodore Myer Paul G. Zurkowski Equipment Manufacturers Senior Scientist President Association Bolt, Beranek & Newman Information Industry Association Acknowledgments The following individuals contributed as contractors or reviewers during the course of the study: Charles C. Joyce and Jeffrey Held, Richard L. Fred Bernard Wood, Computer Social Impact Deal & Associates, Inc. Research Institute, Inc. Kenneth C. Laudon, Croton Research Group, John L. King and Kenneth L. Kraemer, Irvine Inc. Research Corp. Donald A. Marchand, University of South Fred M. Greguras, Kutak, Rock & Huie Carolina at Columbia Alan Lipis, Electronic Banking, Inc. Jeffrey A. Meldman, Massachusetts Institute of Technology . Contents Chapter Page ● ix Overview . .. OO. O. OOOOOOO” “OOOOOO”O”COO.. *O I. Summary . ..ovono”o”.”””~ ● “”” 3 2. Background and Purpose of Study. ..+...... 29 3. information Systems and Computers . ....~”~””””o.. 37 4. Information in Society . ........””’.~”” .“”””+.”””” 47 5. The Structure of Information Policy . .....””””””””” 55 6. Innovation, Productivity, and Employment. 65 7. Privacy . .....”90.0””””0 s“. ”” ”” ”” s”””.” ● “”” 73 8. The Security of Computer Systems . ...+””.”” .“”.””””” 81 9. Government Management of Data Processing . 89 10. Society’s Dependence on Information Systems . 97 11. Constitutional Rights . .......+”.”””” •.””~’”””.Go105 12. Regulatory and Other Issues . .......”””””” ● “.””.”” 115 13. Trends in Computer Technology . ....”~””<””~’”. ““”123 14. Industry Structure . ...”.”””””””?. .“””os”oc””0.0147 vii Overview Computers have become a major technological tool of American society dur- ing the last quarter of a century. New developments in computer and com- munication technology promise within this decade an even more radical revolu- tion in the way that information is collected, stored, used, and disseminated. Large-scale integrated circuit technology, for example, allows hundreds of thousands of electronic components to be fabricated on a thin wafer smaller than a paper clip, thereby providing computing capability hundreds of times less ex- pensive, less energy-consuming, and more reliable than was available only two or three decades ago. One result is the rapid growth in small, inexpensive com- puters that are the equivalent of machines selling for as much as a million dollars in the 1950’s. Data communication networks using satellite and microwave tech- nologies make it possible to provide access economically to large data bases from anywhere in the country or the world. Thus, networks of remotely sited computers can provide services such as credit card and check authorization or airline scheduling to users nationwide. As these and other computer-based information systems–such as those used in air traffic control, military command and control, and electronic funds transfer–become more important to American society, they create correspond- ing public policy issues. Among the most important issues are the following: 9 Innovation, productivity, and employment. —Continued innovation in in- formation technology is a prime requisite for a healthy information in- dustry and also offers the tools for improving the productivity