NiST

PUBLICATIONS

TTie Information

Infrastructure:

Reaching

Society's Goals

Report of the Information

Infrastructure Task Force

Committee on Applications

and Technology

.U57

//868

U.S. DEPARTMENT OF COMMERCE

Technology Administration

National institute of

Standards and Teclnnology
This paper is intended for public comment and discussion. Your comments can be sent to

any of the following addresses:

Post: Committee on Applications and Technology

National Institute of Standards and Technology

Building 41 5, Room 102

Gaithersburg, MD 20899

Phone: (301)975-4529

FAX: (301)948-7242

Email: cat_exec(a)nist.gov
THE SECRETARY OF COMMERCE

Washington. D.C. 20230

Dear Colleague:

By working with Americans in many walks of life, the Clinton Administration is developing a broad vision of an advanced information infrastructure. As an

interconnection of computer networks, telecommunications services, and applications, the

National Information Infrastructure (Nil) can make a difference not just in how people work

but in how well they live. This document explores some of the benefits and barriers to

how people and organizations will use the Nil.

Last May, the Administration released "Putting the Information Infrastructure to Work,"

which explored applications of the Nil in several important areas. The report, released as

a draft for public comment, has been successful in drawing input from industry, educators,

governmental agencies, and the general public.

We are releasing a second group of papers as a draft for public comment. This set of

papers examines eight areas in which Nil applications can enhance the quality of life. Specifically, they address how an advanced information infrastructure applies to people

with disabilities, electrical power, transportation, telecommuting, emergency management,

arts and humanities, public safety, and environmental information.

This report was prepared by the Committee on Applications and Technology of the

Information Infrastructure Task Force. The Committee is charged with coordinating

Administration efforts to:

develop, demonstrate, and promote applications of information technology in numerous application areas, including, but not limited to, manufacturing,

electronic commerce, education, health care, government services, libraries,

environmental monitoring, and those addressed in this document; and

develop and recommend technology strategies and policy to accelerate the

implementation of the Nil.

We invite you to comment on the papers by responding to the questions they pose

and raising other issues relevant to the application areas. Your response will illuminate

and guide government policies and investments to accelerate Nil applications.

We look forward to hearing from you.

Sincerely,

Ronald H. Brown

NIST Special Publication 868

The Information Infrastructure:

Reaching Society's Goals

A Report of the Information Infrastructure

Task Force Committee on Applications and

Technology

U.S. Department of Commerce

Ronald H. Brown, Secretary

Technology Administration

Mary L. Good, Under Secretary for Technology .

National Institute of Standards and Technology

Arati Prabhakar, Director

Office of the Director

National Institute of Standards and Technology

Gaithersburg, MD 20899-0001

September 1994
National Institute of Standards

and Technology

Special Publication 868

Natl. Inst. Stand. Technol.

Spec. Publ. 868

160 pages (Sept. 1994)

CODEN: NSPUE2

U.S. Government Printing Office

Washington: 1994

For sale by the Superintendent

of Documents

U.S. Government Printing Office

Washington, DC 20402
Table of Contents

Page

Acknowledgments vi

Introduction 1

Nil: An Investment in People with Disabilities 5

Supply and Demand of Electric Power and the Nil 25

Improving Transportation: The Nil and Intelligent Transportation Systems 55

Promoting Telecommuting: An Application of the NIL 73

The Effect of the Nil on Local, State, and Federal Emergency Management 89

Public Empowerment with Environmental Information. 107

Arts, Humanities, and Culture on the Nil 117

Public Safety and the Nil: Supporting Law Enforcement and Criminal Justice 143

V
Acknowledgments

The Information Infrastructure Task Force and the Committee on Applications and Technology would like to thank the following people for their devoted efforts in developing this document.

Coordinator

David Lytel—National Institute of Standards and Techology

People with Disabilities

Michela Alioto—Office of the Vice President

Susan Brummel—General Services Administration

Electric Power Supply and Demand

Bob Aiken—Department of Energy

John Cavallini—Department of Energy

Frank OIken—Department of Energy

Transportation

Len Long—Department of Transportation

Gary Ritter—Department of Transportation

Telecommuting

Wendell Joice—General Services Administration

Warren Master—General Services Administration

Emergency Management

Gordon Fullerton—Federal Emergency Management Agency

Helena Mitchell—Emergency Broadcast System

Environmental Information

Eliot Christian—United States Geological Survey

Pat Garvey—Environmental Protection Agency

Arts, Humanities, and Culture

Ellen McCulloch-Lovell—President's Committee on the Arts and Humanities

Public Safety

Dan Schneider—Department of Justice

vi
Introduction

DRAFT FOR PUBLIC COMMENT

PART I: Introduction

This document is the second volume of papers

in which the Information Infrastructure Task

Force has attempted to articulate in clear terms,

with sufficient detail, how improvements in the

National Information Infrastructure can help us meet other social goals. These are not plans to be enacted, but the material with which the

citizens and their elected government may have

a structured conversation, a purposeful

interaction and deliberation on the issues raised

in the evolution of more capable means of information processing and human

communications. At the highest levels of

rhetoric and abstraction it is not necessary to reconcile opposing values like freedom and

equality. But working out the details of how new

communications media will be introduced

involves some crucial choices on matters that have historically been the intellectual underpinnings of our democratic society: What

Is the proper balance between individual liberty

and the functioning of social and political institutions like governments, businesses, and

associations? How may citizens maintain a sphere in which their private actions are

revealed to no one, while deriving the benefits of technological systems whose healthy functioning

requires that demand and usage be anticipated,

measured and controlled? How can we ensure

that the chorus of our community includes the

voices of everyone?

Our first volume, titled Putting the Information

Infrastructure to Work, discussed Nil applications in the areas of education and

lifelong learning, health care, libraries,

manufacturing, electronic commerce,

environmental monitoring, and government

service delivery. The chapters of this volume

help define a national vision for how advanced

communications and computing technologies

can:

enable Americans with disabilities to achieve full citizenship in our society

improve the production, consumption,

and management of our energy

resources

increase the safety and efficiency of our

transportation system

allow greater flexibility and worker

satisfaction through telecommuting

save lives and property in times of largescale emergencies and natural disasters

empower citizen action to maintain a

clean environment

ensure that nonprofit cultural institutions maintain their position on the front lines of popular creativity and expression

further educate and better inform both

citizens and the agencies they rely upon

to maintain public safety

We raise these issues in part to render them

accessible to the broadest number of Americans.

Yet, their identification as public decisions serves another purpose. Some of the benefits of an improved information infrastructure are public

goods that, like air and water, must be

maintained collectively by the community at large

in order that each of us may share them. Much

of the evolution of the National Information

Infrastructure will be driven by private investment

decisions on new network capabilities or

individual consumer spending decisions on new

1
access devices people may want to buy. But

there are also crucial components to an

infrastructure that we can only establish and

maintain as a community, not merely as a

collection of individuals. PART II: Issues Common to all of the

Application Papers

Not surprisingly, many of the same themes that emerged from our first volume of papers

continue to be expressed in this volume.

However, with a different set of examples some

of these themes take on new meaning in their new context.

Equity of Access

The most urgent requirement that these papers

express is that no one's ability to be a full citizen

in our republic can be lessened by technological

change. Equity of access here is broadened in two ways. It includes not just fully abled citizens

but also Americans who are experiencing either

temporary or permanent loss of one of their senses or who are mobility impaired. Almost a

fifth of the U.S. population is disabled in some

way, and that number will increase as the

number of older Americans increases. America

cannot afford to marginalize the contribution

these citizens have to make to our collective

enterprise. How can the Nil be used to compensate for, rather than exacerbate, the gap

between the abled and the disabled, so that one's standing as a citizen is not affected by the

strength of one's eyes or ears or legs? Equity of access also means inclusion of America's

thriving and vibrant private associations

alongside profit-making organizations and public

institutions. While we often organize ourselves in groups to engage in profit-making activities,

much of what we do is through our associations

and voluntary activities. This is especially true in the area of arts and culture, and will have a great

impact upon the content available with an

improved Nil. An improved Nil must enhance

the ability of many people to engage in creative

endeavors: to be writers, artists, performers, and

historians. How can we ensure that the ability to express ourselves is not limited only to the small

portion of the population who are able to earn

their living as artists and performers? What

actions must we take to extend the capacity for expression?

Technologically Robust Architecture

All of the papers here contribute to a broadened

understanding of what the Nil can be. These

papers go well beyond the narrow conception of the Nil as a means by which people can have more choices of what to watch on television. A

more intelligent management of our energy

resources, for example, could be enhanced if the

information infrastructure allowed energy

production and storage to be decentralized. The

onboard display of vehicle location in conjunction

with current road conditions could reduce the

amount of time people spend in transit. And

remote work locations could reduce the distance

they have to travel as well. None of these

application areas will be able to develop if we

build a specialized infrastructure whose

exclusive purpose is to deliver more

entertainment on television. They require full connectivity at many different points on the

network, and interoperability between networks

and services. What is the most thoughtful

implementation, especially of the emerging

wireless communications infrastructure, that can

facilitate these public purposes? How can we

ensure that capabilities that can improve the

quality of our lives evolve along with the sorts of

services that offer more immediate, short term

commercial reward?

Diversity of Content

Just as no technology or social strata of our

society should be able to dominate what is pictured here as a shared, common set of

capabilities for information processing and

communication, no one part of our society

should have exclusive control over what gets

communicated. A system designed exclusively

around the dynamics of commercial exchange

risks leaving out significant parts of our cultural heritage, producing a society in which we had

bookstores in which to buy but no libraries from

which to borrow. How can the creation and

dissemination of messages be as widespread as

their receipt and consumption? How can we

2
ensure that the richness of the message content

is as diverse as our population?

Safety in our Homes and Protection of our Neighborhoods

More than ever, citizens are aware of the work of the public officials who run the criminal justice

and transportation systems on our behalf. The

Nil can facilitate community-based policing and

other means by which the concerns of the

professionals who sen/e us may be shared with

the citizenry at large. How can we partially recover the long-lost protection against

aggression that small towns and word-of-mouth once offered? How can the disparate

community of agencies who must respond to emergencies and disasters best coordinate their

efforts and solicit our energies? Citizens, armed

with information, are also becoming a very

potent ally of the agencies charged with

environmental protection. Their ability to monitor

and call attention to pollution greatly strengthens

the fight against environmental degradation.

How can we harness environmental

consciousness so that people know how to act to protect their homes and communities?

Citizen Control over Private Information

PART III: Conclusions

A successful consultation between citizens and

their public officials requires not just the accurate

expression of the problems to be solved, but the

solicitation of advice on solutions, and active

listening to the responses. We hope that this document is widely read by people concerned

about these specific areas of public policy and

with the improvement of the National Information

Infrastructure, as well as those concerned more

broadly with our historic committment to democratic values. We believe that widespread access to advanced communications

technologies can be as enlightening as was the

arrival of the electric light, and as empowering as

the nation's vast and meticulously maintained

power grid. But as technologies they are merely

facilitative. Only the application of these

technologies as tools for solving social problems

can translate technological innovation into social

evolution.

Citizen control over private information is essential if the benefits of an improved Nil are to outweigh the costs. If people fear that traffic or energy control systems will be misused as tools

of surveillance then they will never be

implemented and the efficiencies they offer never realized. And yet, there are cases in which the authorized release of government-held

phvate information can be of tremendous benefit

to the citizens concerned, as when a disaster

has left them without a home or the ownership

records it contained. The information contained

in police records is also highly sensitive. How

can we be sure that careful auditing of those with access to these systems and the information

they authorize for release accompanies

widespread implementation of distributed

information systems?

3

People with Disabilities and Nil:

Breaking Down Barriers, Building Choice

DRAFT FOR PUBLIC COMMENT

In a competitive global economy, our country does not have a single

person to waste — opportunity must be open to everyone... I believe our

entire nation will share in the economic and social benefits that will result

from full participation of Americans with disabilities in our society.

- President Clinton, 12/1/92

PARTI: What Is the Application

Arena?

On September 15, 1993, the Administration

issued "The National Information

Infrastructure(NII): Agenda for Action," which

formalized several federal Nil policy

development mechanisms and enumerated the

guiding phnciples and goals for future policy

development. A portion of the vision is as

follows:

A major objective in developing the Nil will be to extend the Universal Service concept to the

information needs of fundamental fairness, this nation cannot accept a division of our people

among telecommunications or information

"haves" and "have-nots". The Administration is committed to developing a broad, modern

concept of Universal Service — one that would

emphasize giving all Americans who desire it easy, affordable access to advanced

communications and information sen/ices,

regardless of income, disability, or location.

The National Information Infrastructure: Agenda

for Action addresses responsiveness to the

usage requirements of people with disabilities as

a founding principle. Providing choices in the

modes of information representation and

manipulation will break down existing barriers

and accelerate progress toward the full

participation of people with disabilities in society as envisioned by the Americans with Disabilities Act (ADA). The technologies that deliver for the

Nil will be the technologies that LEAD the way in Liberating Expressiveness, Amplifying Dignity for

all Americans.

LEAD by Design: Breaking Down Barriers,

Building Choice

Ensuring that the Nil accommodates the rights of

the 49 million Americans with disabilities to equitable communication and information access

amplifies innovations and economic returns from

national investment in the Nil. Existing Federal,

State, and local investment activities underway

are demonstrating that accommodating people

with disabilities is finally gaining recognition as a

driving force for advances in human and

organizational performance. As this investment

strategy gains momentum, information

technology developers are weighing in on the

broad-based, competitive advantages of this universal design approach, that readily

accommodates individual needs associated not

only with disability, but also worker re-training,

aging, illiteracy, and high performance, critical mission information environments. Adoption of

universal design will stimulate the deployment of

applications that all consumers will value for convenience, customer choice, and equal

opportunity.

5
Americans with disabilities represent a large

customer base already discussing with industry

and government how they envision the

information infrastructure will work for them.

Most important is customer choice. Until now,

choice of the mode or form in which information

is represented or communications conducted

has not been available. Due to this inflexibility, many people with limitations of hearing, vision, or information processing have been

inconvenienced by, or excluded from using these

single modality services. Newspapers and

documents available in a visual mode only,

excluded or inconvenienced customers who

were blind until the choices of auditory or Braille modes became available. Auditory-mode-only

telephones excluded deaf individuals until multi- modality telephone services were developed that today incorporate hearing relay operators who

convert communications between users of

auditory-only devices and visual-only devices.

If future telephones or information appliances

accommodated the choice of either visual mode

(typing) or auditory mode (speaking), direct

communications could be achieved and

communicating parties would no longer be

handicapped by single-modality services that are

not compatible. Greatly anticipated as well are

visual communications appliances that accommodate a range of needs from sign

language transmission to handwritten note- sharing as an alternative to auditory mode only

for conversations.

As the Nil takes shape, being in the minority in terms of information mode requirements, due to a disability, need not be a significant

handicapping condition, if a useful alternative

mode is available. People who flexibly

accommodate to either auditory or visual modes

of information transmission, frequently fail to realize how single-modality services hamper and

inconvenience access by people who are

unable, due to a sensory mode limitation, to also

alternate between both modes.

Many people who can accommodate either

visually presented information or auditorially

presented information, but not both, due to hearing or vision loss, are now high demand

users of on-line services that readily

accommodate their choice of mode(s) and

media, including visual display (standard or

magnified). Braille display, or machine-generated

speech. This pattern of early and sustained

demand by people with disabilities can enhance

the evolution of Nil services. It will ensure that the full range of information mode choices

unavailable in the past, can now be provided to enhance learning and communications by

individuals and organizations.

Historical and Current Evidence of the

Benefits

Two of the world's most valuable information

technologies, the typewriter and the telephone,

emerged from early efforts to accommodate

greater choice in information mode by people

whose disabilities made them less adaptable to mode differences. The typewriter was invented as a private writing device for a blind member of a royal family. Other developers of early

typewriters also designed for blind people.

Modality choice of writing device was critical to these early users. Realization of commercial

advantages and transfer of this technology to business came much later.

When Alexander Graham Bell invented the

telephone, he was attempting to convert speech

to a visual representation in order to accommodate a greater choice of information

modalities for his wife who had a hearing loss. Unfortunately Bell's invention failed to accommodate conversion of information from

auditory to visual mode as intended. Instead the

telephone extended the range of the auditory

mode and broke down distance as a barrier to spoken communication. The originally intended

benefits to deaf people have been late and

inadequate. Only in the last 30 years has a

usable choice for telephone access by deaf

people become available. At that time, deaf

people began purchasing and adapting old Western Union teletypewriters (TTYs) that only

enabled communications with other TTY users. Communications between TTY users and

standard telephone users has only become

widely available in the last 2 years due to the

establishment of ADA mandated state relay

services.

6
Like the typewriter, transfer and extension of text messaging took a long time and could have

taken even longer. One of the lead engineers of

the originial Advanced Research Projects

Agency Network (ARPANET), the predecessor

of Internet, was very accustomed to modality

choice because he used a text messaging

device (TTY) when communicating with his wife

by telephone due to her hearing loss. This

exposure positively influenced the inclusion of

text messaging as an ARPANET application even though it was not part of the orginial

planning. Today the value of this electronic text messaging or e-mail capability to people around

the world is beyond estimation and choice of

information mode is becoming an inherent

feature in well-designed information applications.

Another contemporary ARPA example of choice

driving innovation is infrared-based eye-tracking.

This technology has been matured and

commercialized by a small business, that targeted individuals with severe disabilities as

the first customers of this hands-independent

and body-movement-independent intelligent

interface device. Today, this eye-tracking

product is being sold around the world to a small,

but growing number of people with extensive

mobility limitations for whom keyboard use is not an option.

This product, after being commercialized and

matured by users who demanded high

performance and reliability, is now being

purchased by federal and private sector

laboratories. Oak Ridge Laboratories is exploring its use to control tele-robotic vehicles

in hazardous environments. A number of

usability laboratories world-wide have purchased

a related product that enables user performance measures to drive advanced designs of visual

interfaces. A head-mounted display

incorporating eye-tracking is next; it will accommodate not only people with disabilities but anyone in high demand, high performance

environments, including national security.

Speech recognition, a technology increasing in power and potential, also originated through

ARPA resources. Quadriplegic individuals have

become recognized by the speech recognition

industry for the significant contributions they've

made to maturing a technology that is likely to revolutionize human-computer interactions in the near future. These pioneer users, without

functional use of a keyboard, were driven not by

device novelty, but by true performance

demands and the need for choice of information

input mode that accommodated effective

interactions with a computer. Other user groups

who have begun to derive significant benefits

from speech recognition are people with learning

disabilities and people whose repetitive strain

injuries preclude continued use of a keyboard.

Another powerful telecommunications advance was spearheaded recently by a person with a

profound hearing loss who worked with an

engineer to overcome her dependence on text telecommunications. She wanted another

choice. The resultant product is elegant in its simplicity and cost effectiveness. With this product, she is able to use both standard and

cellular phones directly. All amplification is provided by her existing hearing aid. While the

cost-per-unit is approximately $80, there are immense long-term benefits and value of this technology to a segment of the hearing impaired

population around the world.

Federal Evidence of Benefits

The General Services Administration,

Clearinghouse on Computer Accommodation

(COCA), has been tracking these little-known

innovation synergies for a number of years. Through the Congressionally chartered Federal

Laboratory Consortium for Technology Transfer,

COCA has recently begun serious discussion

with the Army Research Laboratory and other

labs that exhibit strong interest in user interfaces

that accommodate choice.

COCA became aware of this innovation

dimension during the past decade while assisting

federal agencies in identifying and shaping their investments in technology to fully accommodate

people with disabilities. Public Law 102-569,

Section 508, (1992 Amendments to the

Rehabilitation Act of 1973) is the source of this Federal policy.

7
As implementation of federal accessibility statutes proceeds, federal agencies are

discovering that purchasing information systems

that accommodate a wide range of user interface

requirements promotes productivity and ensures access to work-related and public information by

people with disabilities. Organizations are

benefiting from the ability to recruit and retain quality employees and the ability to effectively interact with all clients, including those with

disabilities.

Agency experiences with user interface options

that incorporate maturing technologies such as speech synthesis, speech recognition, or infra- red technologies also provide an effective means

for evaluating near-term applications with

potential benefit to all users. Many employees in "hands-busy," "eyes-busy," or noisy

environments can benefit today from flexible interface alternatives that have already been

adopted by people with disabilities.

Applications with user interfaces that accommodate choice of alternative displays and

keyboards are also being employed to minimize

or prevent the visual fatigue and repetitive strain

injuries associated with keyboard-intensive

environments. As the work-force ages,

accessible information services must support the

requirements of people who develop age-related

limitations of vision, hearing, or mobility. As

planning by the Federal Government

increasingly addresses a comprehensive

information infrastructure, planning for choice

represents a solid foundation to maximize the

value of information applications and acceptance

by users. LEAD by Design as an Nil Innovation Driver

As awareness of disability-driven innovations

becomes recognized, and societal dependence

on technology for community participation and

economic growth continues, breaking down

barriers and building choices will become

recognized as an innovation driver globally. E.H.

Sibley summarizes this strategic opportunity:

"In reflecting on the problems of the multiple

language and character sets faced by the world,

it appears that a large portion of the potential

computer user population is at a disadvantage.

They must use difficult interfaces or learn another language. When we add up the cost of not having good input/output devices for the

many people who can compute but find it cumbersome, we can conclude that the cost of

efficient new devices would pay for themselves

many times over. Particularly at a time when the

world's political barriers are being removed,

perhaps our new opportunity frontier should be

to remove the barriers to computing- for all humanity, be they different in language,

representation, or device needs."^

The recent report on High Performance

Computing and Communications: Toward a

National Information Infrastructure by the Office

of Science and Technology Policy also

acknowledges this opportunity. Addressing

intelligent user interfaces, the report states, "A

large collection of advanced human/machine

interfaces must be developed in order to satisfy

the vast range of preferences, abilities, and

disabilities that affect how users interact with the

Nil."

The Nil affords a unique opportunity in the

design of human interface technologies to formalize collaborations among early demand

user groups with a wide range of preferences,

abilities and disabilities in order to reduce the lag

time between technology transfer and user acceptance.

The Electronic Industries Foundation has

reported that "manufacturers who have found

ways to simplify the user interface have seen

positive consumer response in terms of

increased sales and decreased product returns... A growing body of research suggests that there are ways to design products that can accommodate functional limitations, and actually

enhance their ease of use for everyone." ^

'E.H. Sibley, Communication of the ACM, May

1990

^ EIA Seal of Accessibility Development Plan Version 1.0 9/17/93

8
\

The use of generic performance benchmarks

such as those developed by PirkI and Babic

(1988) would stimulate the design needed to ensure customer choice. The benchmarks

include:

cross-sensory redundant cuing, feedback,

and modes of operation that supports

choice

reduced complexity of operations

adjustable product/user interfaces designed

for a variety of populations and

accommodation levels

designing beyond basic needs in a manner

that enhances user's independence, self- respect, and quality of life.

These findings are congruent v\/ith the growing

recognition that technological advance only

provides a competitive advantage for a short

time; superior design and manufacturing —

doing it right for the customer and quickly the

first time ensures true economic advantage in a customer driven, global economy.

What is the Public Interest in Investing in Nil and People with Disabilities?

This section outlines how significant benefits are

anticipated in at least five areas. The public will be particularly interested in how building choice

in Nil:

removes communications and information access barriers that restrict business and

social interactions between people with and

without disabilities

removes age-related barriers to participation

in society

reduces language and literacy-related

barriers to society

reduces risk of information worker injuries

and

enhances global commerce opportunities

Removes Communications and Information

Access Barriers that Restrict Interactions

Between People with and without

Disabilities

An individual with limited mobility may not have

easy access to public libraries, places of

employment or business, or retail outlets. Although these facilities may be "accessible" for the wheelchair user, getting to and from such

locations often poses a serious challenge. Loss

of hearing or sight are obvious barriers to information access.

The capacity to communicate with, and collect information from almost any point on the globe

from one's home has already expanded the

ability of persons with disabilities to participate in an information oriented society more effectively

than ever before.

Federal policy promoting the coordination of a

Nil holds great promise of protecting the gains

already made in information access by persons

with disabilities. However, if the design and

development of the Nil does not accommodate

the technical requirements for choice needed to provide universal access, then information

utilization by persons with a variety of disabilities

will be set back to the days before the

development of computers.

At present, even without the development of a

coordinated infrastructure, people with

disabilities are carrying out electronic banking,

shopping on-line, telecommuting, providing

information services to others, all from their homes. In the office setting via electronic

document processing, visually impaired and

blind employees have access to vital information

equal in some cases to their sighted colleagues.

The economic impact of developing an

information system that fails to accommodate

the choice of modes of operation including access devices that convert electronic

information into a form that can be used by a

person with a disability (i.e.. Braille displays,

speech synthesizers, or voice input processors)

will be far greater than the cost of ensuring this

9
universal access in the infrastructure from its inception.

Personal Experiences of How the Nil is Reducing Barriers

"There are many truths of which the full meaning

cannot be realized until personal experience has

been brought home. "

John Stuart Mill 1800-1873

What follows is a list of personal experiences

that offer insight into how the Nil can benefit

citizens with disabilities.

Reduced Barriers to Full Participation in Society

I ann a C7 quadriplegic who has completed a course in desktop publishing. I have been

disabled for two years and very eager to get

back into the work force. I have learned I'm still employable regardless of my disability. I recently learned about telecommunications and

the different networks for communicating. With

electronic mail I communicate with various

people from all around the world. My life has

really opened up with my career change and the

electronic information systems.

Reduced Barriers to Business and

Employment

I am a C5 quadriplegic living in the Silicon Valley

and a current intern with the Networking and

Communication Department. I have been

disabled for ten years from a motor vehicle

accident in 1983.

I use computer telecommunications daily in numerous different functions.

Telecommunications has opened up a new

world, allowing me to communicate via e-mail

with colleges, government agencies, and

organizations. The future success of telecommunications is phenomenal, especially

for the disabled community. It not only allows a person unable to go out into the community to access endless amounts of information, but also

permits disabled persons, such as myself, to

eventually return to the workforce (via

telecommuting) and become productive citizens

again.

I have a dream of some day starting a nationwide bulletin board for attendant care for the disabled community. It would be an

attendant registry that would permit disabled

persons to hire attendants anywhere in the

United States and find qualified and compatible

employees.

Reduced Communication Barriers

I am 17 years old. I am an oral, profoundly

hearing-impaired student who is fully mainstreamed in the 12th grade at the Park

School in Baltimore, MD. I did not really have

access to e-mail until early October, when a

friend of mine proposed that we e-mail each

other... e-mail turned out to be easier than I thought, and it has been wonderful because it has enabled me to communicate with my friends

from around the Atlantic Seaboard region.

The "electronic super-highway" is a boon for deaf/hearing impaired people because it enables

them to communicate via the written word, which

is a very effective alternate means of obtaining

vital information in a relatively short period of

time. It is my hope that the White House will make access to the information highway

universal.

Thank you for allowing me to voice my concern

regarding this matter. E-mail is such a wonderful

thing and I am fortunate to be living in an age

where communication opportunities (especially

for the deaf/hearing impaired) are expanding.

Reduced Information Access Barriers

I am using e-mail every day on campus at Gallaudet University, and because of my social

shyness, it is much easier for me to socialize on

the keyboard. I also find it great for research,

and am doing my best to learn about Internet services as quickly as possible. I have been hard

of hearing since birth, 50db equilaterally.

10
Reduced Barriers to the "Basics" in an

information Society

Rodney, a senior at Rogers High School,

Puyallup, Washington, has no use of his arms or

legs and uses a mouth wand to operate a

computer. He began using a computer at age 6, and learned to read and write in this manner.

When asked a question, Rodney balances his wand on a box strategically placed near his terminal. A computer he says "is sort of like running water. You don't know what you'd do

without it."

Removes Age-related Barriers to Participation in Society

According to the U.S. Bureau of the Census, by

the year 2000, the U.S. population of those over 65 years will be greater than 34 million, this figure world wide will be over 419 million. The

Bureau projects that in the next 50 years, the

U.S. population will increase overall by 19.8

percent; however, the population of those 65

years or older will increase by 1 17 percent, more

than doubling from 31.6 million to 68.5 million. By designing the Nil to meet the needs of people

with disabilities, the Nil will also have the

flexibility and competitive advantage of

accommodating the freedom of choice and

independence desired by this unprecedented

number of older people. A well-designed Nil that accommodates a wider range of vision, hearing,

and mobility differences will normalize and not

stigmatize our aging society. Personal and

economic loss associated with past agediscriminatory designs can be minimized.

The Nil will increasingly be a key factor in the

independence, productivity, commerce, and

community participation of a significant

percentage of older people in our society. User

acceptance will be accelerated by designs that make the Nil easier and simpler to use. Those

over the age of 50 control over 50 percent of

America's discretionary spending funds (Ostroff

1989), and those over 65 control 77 percent of

all assets (PirkI and Babic 1988).

Reduces Language and Literacy Related

Barriers to Society

Full implementation of the Television Decoder

Circuitry Act of 1990 will ensure not only full access to broadcasting by deaf Americans, but

will also provide the choice of text captioning that may serve as a powerful application to reduce

illiteracy in this country. According to the most

comprehensive literacy study ever done by the

U.S. government, the literacy levels of 90 million people in the United States is deficient.^ This

situation represents a direct threat to the U.S. economy. Another significant benefit of

television with text captioning will be its usefulness as an effective learning technique for people who are learning English as a second

language.

Reduces Risk of Information Worker

Injuries

With 70 million personal computers in use, strain

injuries have skyrocketed. The U.S. Department of Labor figures show repetitive stress injuries represent 60 percent of all jobrelated illnesses. Estimates of the annual cost to business is $20 billion." Pilot demonstrations of

speech recognition for all workers are underway

in several large companies as a strategy to increase productivity and decrease keystrokes.

Again, pioneer users of this technology have

been people with disabilities who needed a

choice other than a standard keyboard. Nil applications must interoperate with intelligent user interfaces accommodating a wide range of user needs and preferences such as speech

interfaces.

Enhances Global Commerce Opportunities

There are approximately 750 million people with

disabilities in the world. Meeting the needs of

^ U.S. Department of Education, National

Center for Education Statistics, National Adult

Literacy Survey, funded by Federal and State Governments

" Smithsonian, June 1994

11
people with disabilities In the Nil will provide U.S. companies an early competitive advantage in the

global marketplace.

The global advantages of the increasing U.S. market responsiveness to people with disabilities was noted in the 1993 report of the Commission

of the European Communities. The report,

European Technology Initiative for Disabled and

Elderly People - Call for Proposals, states as

follows:

"Technology transfer from the major European

Information Technology industry to the Small and

Medium-sized Enterprises, with the knowledge

of the customer, will be critical to the

competitiveness of the European Rehabilitation

Technology industry. This technology transfer

opens new markets for European technology. It also helps counter the threat posed to European

industry by US legislation in favor of people with

disabilities which is both forcing the Information

Technology industry to take their needs into account and stimulating a strong rehabilitation technology industry in the US."

Deploying technologies such as real-time

captioning, originally developed to accommodate

deaf individuals could also enhance international commerce activities. For example, U.S. economists working on General Agreement on

Tariffs and Trade (GATT) spent many hours

transcribing and comparing notes from working

sessions before strategizing on next steps.

Delegates with limited English proficiency may

experience even greater difficulties processing

meeting content when it is only presented in spoken English. This situation may tend to increase misunderstanding and decrease trust, resulting in costly negotiation delays. Deploying

real-time captioning would provide all delegates

with a written English transcript of the

proceedings at the end of the meeting. The

captioning equipment would also provide to the

entire group a real-time text display of the

speaker's words that would serve to enhance

language comprehension by delegates with

limited English proficiency.

The technical solutions employed today to magnify text displays for low vision users are

identical to solutions being evaluated in Saudi

Arabia to make English software applications

readily translatable to Arabic. This approach can be applied to any foreign language and may

reduce barriers to market entry for U.S. software

developers.

PART II: Where are We Now?

This section addresses the emerging consensus

on universal design and convergence of policy

and design practices in both the public sector

(Federal, State, foreign governments) and the

private sector that are becoming examples and

support mechanisms for Nil applications to break

down barriers by building in customer choice.

National Laws and Policies

Since 1988, statutory requirements for federal

agencies have been in place to ensure that agency investments in information technology

integrate requirements to meet the needs of

people with disabilities are met. This policy is based on two laws. Public Law 100-542 and

Public Law 102-569. Public Law 102-569,

Section 508 addresses the requirement that Federal investments in information technology

be conducted in a manner that ensures access

to computer and telecommunications products

and services by employees with disabilities and

citizens with disabilities accessing public

information services. Public Law 100-542, the

Telecommunications Accessibility Enhancement

Act, mandates a proactive approach within the

government to advancing accessibility to the

Federal telecommunications system by

individuals with hearing or speech limitations.

These laws do not represent a radical new

direction for federal agencies, but serve to reinforce existing mission requirements under

the Rehabilitation Act of 1973. This Act requires

federally conducted or federally sponsored

programs to be accessible to persons with

disabilities and mandates that management

policies must not discriminate in the hiring,

placement, and advancement of persons with

disabilities.

12
The Americans with Disabilities Act of 1990

(ADA) has adapted and extended many of the

existing responsibilities of the Rehabilitation Act

of 1973 for implementation outside the Federal

Government. The law requires barrier-free access to places that serve the public, such as

theaters, restaurants, and museums. State and

local government services, transportation, and

telecommunications services must also be

accessible. Discrimination on the basis of

disability in private sector employment is also

prohibited.

Protecting the rights of access to the evolving

information infrastructure by customers with

disabilities is a national responsibility as a result of the Americans with Disabilities Act. As

implementation of ADA continues, accessibility

to the information infrastructure represents an

important area for Federal, State and private sector sponsored pilot demonstrations to conduct performance benchmarks and

showcase early benefits and successful

implementation strategies.

Efforts of Federal Agencies

General Services Administration, Council on

Accessible Technology

In 1984, GSA created an interagency committee

that is now called the Council on Accessible

Technology. The Council, comprised of senior

executives from 30 agencies, promotes the

planning and investment in information

infrastructure that demonstrates the flexibility of

choice needed to accommodate people with

disabilities.

The Council advances the business practice of

including persons with disabilities in the design,

pilots, and early implementation of all new

government information infrastructure

investments.

Last Fall, the Council co-hosted with the

Department of Commerce a seminar entitled "Universal Design: Accommodating Diversity and

High Performance." The seminar was attended

by approximately 200 people from Federal and

State Governments and industry. The seminar

took place in conjunction with the Department of Commerce' Sixth Annual Accessible Computer

Technology (ACT) Exhibit.

At the Department of Commerce's Seventh

Annual ACT Exhibit, on Oct. 5/6, 1994, the

Council, together with the Committee on

Application and Technology, will be showcasing

Federal, State, and private pilot demonstrations

of applications that exemplify how the needs of

people with disabilities can be met in the Nil. The Clearinghouse on Computer

Accommodation will assist in pre-selection of

applications that meet existing accessibility

guidelines.

The Council will conduct a similar showcase of

Nil applications that are usable by people with

disabilities at Interchange ' 94, October 12/13,

1994.

General Services Administration (GSA)

Clearingliouse on Computer

Accommodation (COCA)

Since 1984, the GSA Clearinghouse on Computer Accommodation (COCA) has served as a model demonstration center for advancing

accessible information environments, services,

and management practices in order to stimulate

the governmentwide capacity-building needed to meet statutory requirements. The center

provides technical consultation, presentations,

training, and assistance to federal agencies.

The center also serves as a pilot demonstration

site and market need/market utilization conduit

between federal agencies and laboratories,

universities and industry.

COCA facilitates a network of Federal

employees with disabilities and their support

personnel that provides early customer feedback

on new service delivery technologies and

practices. Coordinating with COCA and this network, the Computer/Telecommunications

Accessibility Resource Exchange (CARE), is now a part of many agency programs. CARE

members piloted with GSA developers, the first accessible information kiosk. GSA continues to advise and provide accessible kiosk services to customer agencies.

13
Current projects underway include:

working witli Government Printing Office,

National Institute of Standards and

Technology, and Internal Revenue Service

to ensure development of electronic

document services that are accessible

providing guidance on developing accessible

CD-ROMs

developing a tutorial to assist blind users becoming oriented to Windows

preparing a COCA handbook as a model for universal access in electronic document

preparation

evaluating Internet browsers, including

Mosaic and Lynx to enhance the access modes supported

Last summer, COCA piloted a program that exposed future human interface designers to the

government's need for an accessible information

infrastructure. Stanford University participated in the program and inquiries for future participation were received from the Georgia Institute of

Technology and the Kennedy School of

Government at Harvard University.

Due to changing research priorities, Federal

laboratories committed to dual-use technology

and high performance technology are also

beginning to approach COCA to discuss

collaborative efforts. In this manner, market

demand will be stimulated for alternative modes

of computer interaction needed by persons with

disabilities. The synergistic goals of dual-use

technology and accommodation of diversity can

be achieved. It is anticipated that this technology push initiative will be complemented

by a market pull within the labs for user

interfaces offering greater flexibility to accommodate a wider range of abilities, disabilities and preferences.

Microcomputer Training Program for

Persons with Disabilities (MTPPD)

(MTPPD) serves persons with disabilities within

and outside the Department. MTPPD also

supports the Department's Nationwide Office

Automation for the VA (NOAVA) implementation

to ensure employees with disabilities receive

equal access to NOAVA OA systems and

platforms.

The MTPPD program provides training to employees within the VA and from other federal

agencies. The cost-reimbursable training

addresses both adaptive technology and

common application packages. Other program

services include consultations, tours, equipment

demonstrations, and product evaluations.

Document scanning and converting services,

including brailling, are available to agencies on a

cost-reimbursable basis.

Department of Commerce (DoC)

Committee on Resources for Electronic

Accessible Technology to End Users

(CREATE)

CREATE is the vehicle responsible for planning

and coordinating Department-wide activities in increase awareness of accessible technology

issues and explore ways to ensure that the

information environment is usable by people with

disabilities. CREATE hosts the Accessible

Computer Technology Exhibit hosted annually in October to increase awareness and effective use

of commercially available products and services

that accommodate people with disabilities.

Department of Agriculture (USDA)

Technology Accessible Resources Gives

Employment Today (TARGET) Center

The Accessible Technology Program has

established the TARGET Center to support

USDA employees nationwide and other federal

agencies. TARGET provides evaluations,

14
demonstrations, resource information, needs

assessments, and training on accessible

technology. The center uses open systems

concepts to highlight accommodation solutions

available on personal computers. TARGET

demonstrates how accessible technology

optimizes productivity and job retention of career employees by reducing worker compensation

costs and disability retirements from end-user

computer injuries.

Department of Defense

Connputer/Electronic Accommodations

Program (CAP)

The CAP Office assists DoD activities to procure

adaptive equipment which provides access to computer systems and telecommunications as

required by Public Laws 102-569 and 100-542.

The CAP Office provides technical, educational

and financial support to assist employees,

supervisors and managers identify and procure

appropriate accommodations. The CAP Office

conducts special projects to assist DoD activities to ensure an accessible work place. Projects

include working with DoD components to ensure

that training centers, libraries, and programs are

accessible; and coordinating with system

acquisition activities to ensure that accessibility

is considered in the procurement of DoD

systems. CAP also established the Technology

Evaluation Center (CAPTEC), a facility dedicated

to the evaluation and testing of emerging

technology. The CAPTEC assists DoD

supervisors and employees in choosing

appropriate adaptive equipment for creating

work environments that are accessible to persons with disabilities.

Internal Revenue Service

Computer/Telecommunications Accessibility

Program (CAP)

The Computer/Telecommunications Accessibility

Program (CAP) was established to ensure the

IRS makes electronic information accessible to people with disabilities. CAP assists the

managers and employees in selection and

procurement of appropriate adaptive technology.

The CAP office works with acquisitions and

procurement personnel to ensure that

accessibility is included in information technology

procurements. CAP has a demonstration center

with adaptive equipment.

National Security Agency Center for

Computer Assistive Technology (CCAT)

The National Security Agency's CCAT provides

demonstration of assistive technology devices

and professional resources for agency

employees with hearing visual or physical

limitations. The goal of the center is to provide

assistance and identify alternative solutions for persons with disabilities.

Federally Sponsored Activities

Department of Education (DoEd) National

Institute on Disability and Rehabilitation

Research (NIDRR)

Technology-Related Assistance Act Funded

States

In 1994, Congress re-authorized Public Law

100-407, the Technology-Related Assistance

For Individuals with Disabilities Act (P.L.103-

218). Administration of the law continues to be

conducted by the NIDRR. The states have

received grants for "systems change" activities to eliminate barriers that impede information and

acquisition of assistive technology services and

devices through implementation of consumerresponsive systems.

Project Enable, West Virginia Research &

Training Center

Project Enable is a full featured computer bulletin board system providing information on disability,

rehabilitation, employment, and education. It is used primarily by people with disabilities and

their families, educators, students, and

rehabilitation workers who participate in over 150

special interest discussion groups.

Rehabilitation Engineering Research Center

(RERC) on Communications and Information

Technology Access, Trace Center,

University of Wisconsin, Madison

IS
The Trace RERC studies access problems of

people with disabilities to computer and

information systems, and disseminates

information on solution strategies. Trace works

with computer manufacturers and software

producers to outline how existing products can

be made more accessible to people with

disabilities. Through Trace efforts, disability access features are being built into commonly

used operating systems. Current cross-disability

goals include working with a broad coalition to:

identify ways that manufacturers can build access directly into next generation systems

to accommodate the widest possible number

of customers

identify strategies to allow customer choice

of mode of operation.

National Science Foundation (NSF)

DO*IT (Disabilities, Opportunities, Internet- working, and Technology), University of

Washington: DO*IT enables high school

students with disabilities to explore careers in science, engineering, and mathematics through

"mentorships" conducted via Internet with

practicing engineers and scientists from around

the world, many of whom also have disabilities.

Selected Non-profit and Academic Activities

Project EASI (Equal Access to Software

and Information)

Provides assistance to higher education in developing computer support services for people

with disabilities. Project EASI provides

information and guidance on campus

applications of adaptive computer technology for access to information, instruction, research, and

employment. Project EASI's Internet server

hosts an active discussion about

computer/telecommunications access issues.

WGBH-Caption Center, Boston, MA

WGBH has pioneered advances in accessible

programming for more than 20 years since

captioning the first nationally broadcast program.

WGBH is working to make all programming

accessible to the nation's 24 million deaf and

hard-of-hearing viewers. Instrumental in the

Television Decoder Circuitry Act of 1990, they

also launched Descriptive Video Service (DVS)

in the same year. DVS makes television

accessible to millions of people who are blind or

visually impaired through narrated descriptions

of key program elements.

Corporation for Public BroadcastingAA/GBH

National Center for Accessible Media

(NCAM), Boston, MA

NCAM was established in 1993 with funding

from the Corporation for Public Broadcasting.

NCAM is taking steps to accelerate media

access to populations that have been

underserved or denied access. Project

examples include:

Closed Caption University — empowering

individual public television stations to caption

their own programming

Access Primer and Toolkit — primers for stations interested in technology applications

such as captioning, descriptive video, and

foreign language (especially Spanish)

translations and tips on building relationships

with deaf, blind, and minority-language

communities

International Broadcasting — study of how

countries around the world are providing access to their TV systems

Vertical Blanking Interval (VBI) Project is experimenting with using the VBI of the

television signal instead of the third audio

channel in routing descriptive video or Spanish video

Print Access Project — to digitize

newspapers and deliver them into the home

fully accessible to blind, low-vision, and

other print-disabled people.

16
World Institute on Disability (WID)

WID focuses on creation of public policy that will give people with disabilities access to the

information age. WIDnet Is a network that focuses on disability policy.

Stanford University, Center for the Study of

Language and Information (CSLI)

CSLI's Archimedes Project works to improve . access to Information for Individuals with

disabilities by Influencing the early design

stages of emerging technologies. The project:

applies basic research about information and

communications to the design of access for people who are disabled

educates those who will develop the next generation of technology about the

advantages for the whole community of

designing general access. In both instances

maximum leverage is obtained by

emphasizing design rather than retrofit.

Private Sector Activities

Disability Action Committee for Xwindows

(DACX)

DACX is working to solve accessibility issues

presented by the Xwindows graphical user

interface. Membership includes the major

Xwindows vendors Including DEC, IBM, SUN,

and representatives from academla. The

purpose of DACX Is to develop solutions which

will allow users with disabilities to access systems running the Xwindows GUI. The group

has succeeded In developing access utilities for users with motor impairments. It Is also working on developing necessary "hooks" for screen

reading programs. Access-related software

developed by DACX is distributed through the

Xwindows Consortium.

The International Committee on Accessible

Document Design (ICADD)

ICADD promotes standards for producing

documentation for "print disabled" individuals. Membership includes representatives from

industry, academia, and government from many

countries around the world. The purpose of

ICADD is to develop and encourage the

document transformations that print-disabled

persons are working toward. ICADD has

succeeded in implementing accessibility in existing International Standards Organization

(ISO) standards such as the Standard

Generalized Mark-up Language (SGML)

Electronic Industries Association (EIA)

Electronic Industries Association's Consumer

Electronics Group and the Electronics Industries

Foundation (EIF) are currently working to create a Seal of Accessibility for consumer electronics

products.

When completed, the Seal will certify that designated mainstream products can be used by

persons with functional limitations associated

with aging, a temporary Injury, or permanent

disability, and that the products meet the

accessible design guidelines established by a committee comprising manufacturers, disability

experts, consumers, and representatives of organizations serving the needs of people with

disabilities. The seal should help manufacturers

dunng the design process and consumers during

the selection process.

Industrial Design Excellence Awards

(IDEA), Industrial Designers Society of

America and Business Week Magazine

Promotes recognition of industrial design

excellence as a strategic tool for competitiveness in the domestic and global

marketplaces. Industrial designers make

products easy to use, safe, comfortable,

appealing, and ecologically responsible. One of

the 18 gold medal winners for 1994 was James

PirkI, designer of a book on Transgenerational

Design: Products for an Aging Population which

highlights the marketplace advantages of well- designed products that also accommodate older

people and people with disabilities.

17
International Activities

There are three major European program efforts underway to accelerate the productive

application of technology on behalf of people

with disabilities. The largest of the three is Technology Initiative for Disabled and Elderly

(TIDE). TIDE is a community research and

development initiative in the field of rehabilitation technology designed to stimulate the creation of a single market in Europe. TIDE assists elderly

and disabled people to live independently and

participate more fully in the social and economic

activities of the community.

The main goal of the RACE program (Research

and Development on Advanced Communication

in Europe) is to develop technology and

infrastructure in order to prepare for the

introduction of broadband network services and

to promote European industry competitiveness in this field.

This activity includes delivery of services to the

largest possible cross-section of the user

population, including people with disabilities. The project includes development of a standard

reference manual of specifications for designers

that will provide the necessary knowledge about

human factors to ensure network accessibility to

all users.

Member States of the European Union recognize

the importance of education, employment, and

accessibility for people with disabilities. Institutions of the European Union have issued

resolutions to promote equality of opportunity

and integration of people with disabilities.

Canada's information infrastructure planning has

also begun to address integrating the needs of

people with disabilities. Canadian

representatives have requested information

about U.S. plans.

PART III: Where Do We Want To Be?

"Information, which will be education, which will be employment, which will be income, which will be possibility, must flow to all Americans on

terms of equal accessibility without regard to

physical condition. And we are committed to doing that.

• - President Clinton 5/13/94

This section addresses examples of user

expectations of important Nil capabilities. These

capabilities will be needed to address the

national goal of equal accessibility in communications, commerce, and community

among people with and without disabilities. The

examples are grouped under the four functional

capability areas identified in the Vision for a 21st

Century Information Infrastructure report of the

Council on Competitiveness:

1) widely accessible and interoperable

communications networks

2) digital libraries, information databases and

services

3) information appliances and computing

systems

4) trained people to build, maintain, and

operate these resources.

This May 1993 report envisions:

The information infrastructure of the 21st

Century will enable all Americans to access

information and communicate with each other

easily, reliably, securely and cost-effectively in any medium — voice, data, image or video —

anytime, anywhere.

Widely Accessible and Interoperable

Communications Networks

Expectations of business owners with

disabilities will be met for commerce,

information, health, and manufacturing

networks that offer the visual and auditory

redundancy needed to accommodate their choice of modes of communications and

information processing in a manner that is also transparent to and convenient to their customers.

18
Education networks should accommodate

the needs of parents, children, and teachers

to have alternative modes of communication

and information sharing available to accommodate situations when one or more

of the communicating parties has a disability

associated with hearing, seeing, or speaking. For example, text messaging

might substitute for telephone conversations

between a parent and teacher. Multi-media

learning applications would support

redundancy options allowing student choice

of information presented either visually or

auditorially/tactile or both.

Accommodating people with disabilities will be a tangible and widely recognized citizen benchmark for responsive and respectful

service. Citizen expectations will be met for equal access and improved services at all levels of government service delivery. For

example, 911 emergency service calls will accommodate text telephone users who are deaf or speech impaired.

Enhanced service/routing features on 800-

number arrangements need to accommodate people with disabilities by

detecting text telephone users and routing

their calls to a data server when voice

telephone calls to the same number are

routed to a recorded voice response unit. 800 numbers placed to an information

service agent would automatically patch to the nearest State relay operator service if the agent failed to respond with a device

capable of communicating directly to a text telephone.

The 800 number service capability should

also provide in a similar manner an

automatic linkage option to the language

translation services industry when needed

by a caller or information services agent to complete a communication transaction when

a common language is not available to the

two parties.

The large federal investment in Federal

laboratories and the technology transfer and

dual- use programs should meet citizen's

expectations by contributing to advanced

communications and information services

that are designed to accommodate all user choices of modes of operation. This will be

achieved through the Federal Laboratory

Consortium and other organizations.

Expectations by hearing impaired and

speech impaired executives that their requirements for real-time captioning

through text or sign language inserts will be

available in standard video conferencing

environments will be met. This capability will also accommodate participants at international conferences who experience

language barriers. Blind participants will be

able to receive transmitted text by Braille if desired.

Participants in courtroom proceedings

including judges, jurors, and attorneys will be

accommodated as requested using the suite of service choices described above to accommodate hearing loss, vision loss, or language differences.

Wireless voice and data service offerings

and equipment will be able to accommodate

people with disabilities in a manner that represents a significant improvement from

what is commercially available today in terms of interoperability, competitive

offerings, and user choice and

customization options.

The access component between the

customer premises equipment and the user

with a disability will be designed with as much care and attention to flexibility and

interoperability as the access component

between the customer premises equipment

and the transport carrier.

Expectations from current users with

disabilities that uninterrupted choice of access mode to existing network utilities and

services will continue as the technologies

advance. This currently includes electronic

mail (video mail, multimedia mail, etc.), directory service, security service, electronic

commerce, and bulletin board systems.

19
Expectations that students with auditory or

visual limitations will also be able to benefit

from the commercially prepared multi-media

and "real-time video" capabilities employed

for individual and group learning.

Expectations from community members that electronic town meetings and government

provided kiosk services will accommodate

full participation by all.

Expectations from blind people as well as

those learning English that descriptive video

services would become a standard option.

Descriptive video services provide a spoken

description that accompanies visual events.

Digital Libraries, Information Data Bases

and Services

Federally funded activities of the High

Performance Computing and

Communications Program, will address the

needs of people with disabilities to use these

services and include people with disabilities

in their pilot projects. This includes projects

such as NSF funded digital libraries research, NASA developed prototype digital

libraries, ARPA funded hypermedia systems

with intelligent user interfaces and National

Institutes of Health developments in medical

datebase management.

Expectations of people who are printhandicapped due to vision problems or have

problems handling printed materials due to dexterity limitations will be met. These

members of society will be able to access all publicly and commercially available

electronic information services using their choice of access modes.

The Government Printing Office "Access"

Act of 1993 will accelerate services that are

fully usable by people with disabilities including:

1 ) an electronic directory of federal

electronic information

2) on-line access to the Congressional

Record, the Federal Register, and other

appropriate publications and

3) an electronic storage facility for federal

electronic information.

Expectations of retirees for intensive, early,

and satisfied use of Nil education,

commercial, and leisure applications will be

closely tied to the ease with which their agerelated choices for large print, amplification,

and speech-based interfaces are met.

Information Appliances and Computing

Systems that are Easy to Use

Expectation that information appliances or customer premises equipment that used to include only telephones, PCs/workstations,

fax machines, optical character scanners, LANs, modems, video equipment, cellular phones, pagers, personal digital assistants,

and notebook/laptop computers will now also

include braille displays, braille computers,

alternative keyboards, captioning systems,

closed circuit televisions, CD-ROM drives, text telephones, text-to-speech devices,

voice recognition systems, augmentative

communication devices, assistive listening

devices, and wireless personal

communication services.

Expectation that end-to-end

telecommunications service will fully deliver

to people with disabilities and include not

only transport service, but also equipment

and software choices needed for end to end

connectivity. These services will offer user

preference of modality or combination of

modalities in which to present information or communication including:

1 ) voice-oriented

2) data-oriented

3) video-oriented (including video

conferencing)

20
4) multi-media oriented

5) wireless-based

Older Americans will not be resistant to change as sometimes predicted if new

appliances accommodate age-related vision,

hearing, or dexterity limitations through

better designed technologies offering greater

range and mode options than are available

today. /

The capability to accommodate people with

disabilities will be recognized as an essential

performance measure during selection from

among competing appliances. This

benchmark will ensure the flexibility of choices needed to access all communications networks and services and also

accommodate learning preferences, noisy

environments, hands busy environments,

and high performance environments,

including national security.

Expectation that executives with disabilities while on travel will be able to secure an

equivalent level of access to information and

communication services as their nondisabled colleagues through well-designed

information services such as kiosks, e-mail,

and FAX-on-demand that accommodate

choice.

Trained People to Build, Maintain, and

Operate these Resources

Expectation that designers will invite people

with disabilities to be beta users of all new

products and service offerings recognizing

that this class of user is both more

demanding of functionality and more likely to quickly adopt a capability that offers real advantages. This design approach has

unfailingly promoted greater ingenuity and

innovation for many years, however, it has

not been well known or consistently applied

until recently.

Expectation that designers with disabilities are more likely to stimulate increased design

foresight for range of functionality and mode

options in their organizations.

Businesses that offer separate special

customized products and services to meet

needs of people with disabilities in a manner

that accommodates choice as an

afterthought will be at a distinct disadvantage to businesses fully integrating

the choices of people with disabilities early

through universal design and pilot

demonstrations that include people with

disabilities.

Businesses will advertise their products and

services as "access-screened" in a manner

similar to being "green" or environmentally

conscious. Perhaps a AAAS rating for "Application Adequacy for Accessibility

Services" or a Seal of Accessibility as advanced by the Electronics Industry

Association could be utilized.

Businesses will expect federal pilot

demonstrations to demonstrate how the

accessibility of products and services can be

advanced in the Nil. There will a strong

emphasis on access performance and

reliability benchmarks for universal design in

• public and private interoperability testbed

labs.

Businesses will expect opportunities to showcase how they are investing in universal design to competitive advantage.

PART IV: How Are We Going To Get

There?

This section addresses the scaling opportunities

afforded through the Nil to establish the

leadership, policy, and marketplace roles and

alliances necessary to ensure that the design-of

the Nil will meet national expectations for breaking down barriers. These expectations can

only be fulfilled by building choice and full usability for people with disability into the

development of the Nil.

21
strengthen Market Pull — Current Effort

Level Can Not Ensure Uninterrupted

Access

Although the Federal Government in Its role as a major employer and information technology consumer is taking steps to use its "buying

power" to communicate to industry its need for information technology products and services

that are usable by people with disabilities, this process must be scaled up in priority and include

pilot demonstration activities in order to shape

the capabilities needed earlier in the technology

design cycle.

Agencies are demonstrating progress in formulating access policies and meeting current employee accommodation needs; however,

increased attention is needed on leveraging

market demand to ensure long-term

uninterrupted access as future technologies are

introduced and the information infrastructure

proceeds. The current restricted usefulness of

graphical user interfaces by blind users

represents inadequate foresight in the

marketplace to changing needs. Today blind users face graphics-mode-only applications

whose designs neglect to accommodate choice,

thus providing marginal utility of popular

applications that have been fully utilized for more

than a decade. Discussions in recent White

Papers on the information infrastructure will need to be expanded in order to adequately

address requirements of people with disabilities to the Nil.

At a time of rapid technological change, the

needs and requirements of customers with

disabilities must be fully integrated in all technology development, replacement, and

refreshment initiatives. Realizing the full benefits

of the Nil also depends on the development of

open system standards. Without these open

systems, small firms developing application

devices important to individuals with disabilities

will be crowded out of markets by larger, more

established firms.

Fortunately, industry champions for improved access within large computer companies report

that they are actively seeking greater evidence

that equitable access is a high priority customer

requirement of the government's information

infrastructure.

Leadership by Example

Although the Federal Government is commonly

associated with technology push R&D funding,

within the information technology arena, the

Federal Government also has a unique role as

buyer for the largest and most complex

information environment in the world. The ability

of the Federal Government to demonstrate

technology foresight in the marketplace can have a significant impact on the quality of life of

people with disabilities. This consumer foresight can accelerate the readiness of the U.S.

information industry to respond to similar

application challenges beyond the Federal

marketplace and abroad. The Federal

Government should strengthen its investment

commitment to universal design in order to achieve not only equal access to Nil by all Americans, but also to recognize the innovation

incentive it provides to industry to better prepare

for consumer interface demands globally.

The Office of Science and Technology Policy is currently providing an example of LEAD by

Design by assessing how well a new White

House information service can be used by

people with disabilities. This action will signal —

in a manner that echoes tapping on the Liberty

Bell during the first transcontinental call — our

national commitment to an information

infrastructure that will deliver in terms of global

competitiveness and in a manner that liberates

the expressiveness and amplifies the dignity of

all Americans.

New Roles and Alliances

Deploying the National Information Infrastructure

(Nil) in a manner that promotes universal

service, access to government information, and

technological innovation with performance

benchmarks for customer choice, equal

opportunity, and convenience will provide the

needed context for the following actions;

22
Due to the high stakes requirements of

people with disabilities, establish a citizen participation mechanism or use an existing

capability such as Americans

Communicating Electronically (ACE) to ensure that citizens with disabilities have

the means to give input and feedback

directly to Nil planners and developers

throughout the process. This is the Nil category of customer with great need and at great risk for being well-served by the Nil.

Establish pilot demonstration partnerships

among regional associations of people with

disabilities; regional business innovation

and/or industrial design consortiums;

regional federal laboratory consortiums; and

regional rehabilitation engineering centers.

Increase collaboration among committed

individuals involved in next generation

design within universities, industry, and

Federal laboratories to provide the focused

technology push to human interface

technologies that will readily accommodate

capabilities required by people with a wide

range of preferences, abilities, and

disabilities.

Increase collaboration among Federal, State and private sector organizations to operationalize performance benchmarks and

showcase pilot demonstrations of

infrastructure capabilities that also offer improved and uninterrupted access by

people with disabilities.

Human interface technologies that accommodate a wide range of user needs

will become recognized as a critical technology in the missions of the Federal

High Performance Computing and

Communications Program, the National

Telecommunications and Information

Administration, the Federal Laboratory

Consortium, and the Technology

Reinvestment Project of the Advanced

Research Projects Agency.

Increased educational opportunities for human interface designers to learn how to

meet customer requirements for accessibility

through university/industry/disabled

community partnerships that improve

industry foresight to this changing global

need.

Incorporating the Needs of Americans with

Disabilities in New National Legislation

How should the Communications Act of

1994 (S.1822) protect and advance

universal service in a manner that more

explicitly includes people with disabilities?

How should the Antitrust Reform Act of 1 993

(H.R.3626) and the National

Communications Competition and

Information Infrastructure Act of 1993 (H.R.

3636) fully reflect public interest in universal

design, universal access, and customer

choice?

How should intelligent interfaces that accommodate disabilities and abilities be

acknowledged as a competitiveness factor in the National Competitiveness Act of 1993

(S.4)?

Performance Benchmarks for Accessibility

How should the design needs of people with

disabilities become operationalized as an

integral aspect of all Nil development

initiatives?

What performance benchmarking

mechanisms are needed to ensure that innovations such as information kiosks,

electronic town meetings, electronic voting

and other interactive services can be fully utilized by people with disabilities?

How can the design needs of people with

disabilities be an integral principle of ongoing

federal programs advancing the Nil such as

the High-Performance Computing and

Communications Program?

What mechanisms are needed to coordinate

and accelerate the technology transfer

benefits between federal programs serving

23
people with disabilities and HighPerformance Computing and related advanced technology and technology

reinvestment programs?

H How should application guidelines for universal access be integrated into the

National Telecommunications and

Information Administration grants program

designed to support demonstrations of new

telecommunications technology

applications?

What mechanisms exist for regulatory

agencies such as the Federal

Communications Commission to communicate with disabled citizens on

telecommunications issues?

Conclusion

Full participation by citizens with disabilities in the design, pilot demonstrations, and

implementation of Nil applications is a national

priority. Collaborative support mechanisms

within the Federal and State Governments and

private sector need to be strengthened to serve as communication conduits between citizens and

Nil developers. Nil investments need to include

performance benchmarks to ensure that applications can be fully utilized by people with

disabilities.

The Nil must accommodate choice in order to deliver on its promise of universal access. The

unprecedented convergence of information

technologies only amplifies the possibilities - accommodating choice provides a focal point for early and far reaching benefits.

References

Committee on Physical, Mathematical, and

Engineering Sciences, Federal Coordinating Council

for Science, Engineering, and Technology, Office of Science and Technology Policy. (1994) High

Performance Computing and Communications:

Toward a National Information Infrastructure.

World Institute on Disability (1994)

Telecommunications and Persons with Disabilities: Building the Framework, The Second Report of the Blue Ribbon Panel on National Telecommunications

Policy

U.S. General Services Administration, Clearinghouse on Computer Accommodation (1991) Managing

Information Resources for Accessibility

Future Communications Services Working Group of the Interagency Management Council, November

(1993) Networking for a Reinvented Government:

Federal Telecommunications Requirements and

Industry Technology Assessment

Acquisition Working Group of the Interagency

Management Council (1994) Post-FTS2000

Acquisition Alternatives White Paper Overview

Council on Competitiveness (1992) Vision for a 21st

Century Information Infrastructure

Technology for Economic Growth: President's

Progress Report, November 1 993

Making Software More Accessible for People with

Disabilities, Trace Research and Development

Center, 1992.

Commission of the European Communities (1993)

European Technology Initiative for Disabled and

Elderly People - Call for Proposals

Wolkomir, Richard. (1994) "When the work you do

ends up costing you an arm and a leg." Smithsonian,

June 1994

Huston, Jonathan. General Services Administration,

Universal Access Interfaces, unpublished paper, August 1993

Ostroff, Jeff. 1 989. Successful Marketing to the 50+

Consumer Englewood Cliffs, NJ:Prentice-Hall.

PirkI, James J. and Anna L. Babic. 1988. Guidelines

and Strategies for Designing Transgenerational

Products: A Reource Manual for Industrial Design

Professionals. Acton, MA: Copley Publishing.

PirkI, James J. 1994. Transgenerational Design:

Products for an Aging Population.

New York, NY: Van Nostrand Reinhold.

President's Committee on Employment of People with

Disabilities, (1992) ADA SUMMIT

National Council on Disability, Study on the Financing

of Assistive Technology Devices and Services for Individuals with Disabilities: A Report to the President

and the Congress of the United States, March 4, 1993

Scott, Neil. Stanford University, Center for the Study

of Language and Information, Universal

Access Technologies, unpublished paper, March

1994

24
Supply and Demand of Electric Power and the Nil

DRAFT FOR PUBLIC COMMENT

PART i: What is the Application

Arena?

Description of Electric Power Supply and

Demand

Information technology (IT), computing,

networking, and telecommunications are key

technologies in the creation of dynamic markets

for electric power, the efficient and timely

management of electric utility operations, and

electrical energy demand management. The

prospect of major improvements in the

networking, telecommunications, and

computation infrastructure of the United States

under the National Information Infrastructure

(Nil) initiative offers interesting opportunities and

raises important issues for electric power

utilities.

^

Residential Scenarios

Improved computing, networking, and

telecommunications would permit the

widespread adoption of variable electric utility rates (either seasonal time-of-use or real-time

pricing), and intelligent control of residential

electric loads. A homeowner would use either a

personal computer or a sophisticated interactive

cable TV system as the user interface, from

which the customer could view a detailed electric

bill showing charges for individual large

appliances, change thermostat settings, and

schedule timer-driven appliances. Wireless and

speech understanding interfaces will make such

interactions easier. Consumers might be able to

These issues also are applicable to some other energy industry operations, such as gas utilities. They also have implications for US energy policy as developed and

implemented by the Department of Energy (DOE). Issues

for the DOE are addressed more directly in Part III.

choose electric power vendors in much the same

manner as they now choose long distance

telephone companies.

A microprocessor-based electric meter would

record power charges as a function of the

varying price. Smart appliances (water heaters,

dryers, etc.) could be programmed to run during

off-peak periods when electricitv was cheaper.

Smart thermostats would f- ? r r ' o permit higher

temperatures during period ,

.• n the occupants were absent, or when ele c ., ..harges were

exceptionally high. Either .-^ timer or phone call could be used to start air conditioners/heaters or other appliances in anticipation of occupant

arrival or awakening. The same system would

also serve as a home security system, alerting

the resident (or security service) of fire or

intruders.

Some appliances, such as electric car battery

chargers, hot water heaters, etc., might be on

selectively interruptible power. During peak load

periods or emergencies, the utility could interrupt

these appliances to shed excess load. In exchange the residential user would receive a cheaper rate for this portion of electricity usage.

Commercial Scenarios

Commercial electricity users, such as operators

of office buildings or other commercial buildings,

also would benefit from improved computing,

networking and telecommunications with their electric utilities. Existing Energy Management

Control Systems (EMCSs) could be adapted or upgraded to deal with real-time power pricing.

More detailed billing information will permit users

to identify and itemize the cost of each end-use

(air conditioning, large appliances such as

copiers, individual room lighting, etc.). Building

operators would find it advantageous to cool

their buildings at night or during the early

25
morning and to allow them to warm up

somewhat In the afternoon. This would reduce

power usage charges for air conditioning during

peak load periods on hot afternoons. EMCSs

could compute optimal cooling schedules from

power pricing and weather forecasts, and

automatically execute them.

Large commercial customers would be able to purchase electricity from several different vendors, paying separately for power

transmission and local distribution to their site. Vendors might well include independent power

producers, neighboring utilities, etc. Customers

would be able to choose the both the electric power vendor and the quality of service

(frequency of interruptions, allowable transients).

Those who wanted higher quality power would

pay more. Some commercial customers would

find it worthwhile to operate co-generation

facilities, selling excess power to the utility.

Some building operators might find it worthwhile

to install cool storage capability in their buildings,

making ice during off-peak periods, and melting

the ice to cool air during hot afternoons.

Utility Operations Scenarios

The potential application of the Nil to utility operations can be viewed either opportunistically

(What could one do with an Nil?) or from an

applications requirement specification viewpoint

(What is needed from an Nil to support proposed

changes in utility operations?).

The fundamental issues to be addressed are:

What impact could a widely deployed Nil have on utility operations, capital

requirements, etc.? Alternatively, how does

possible use of the Nil for utility operations

impact the communications requirements of

the Nil?

What impact will a widely deployed Nil (and

attendant changes in utility pricing power

policies) have on energy conservation?

Alternatively, what Nil capabilities are needed to support real-time pricing and

other energy conservation strategies?

Are the economic advantages to electric

utilities (especially, reduced capital

equipment for peak power demands)

sufficient to justify the construction of

wideband communications to residential,

commercial, or industrial sites?

How will a widely deployed Nil facilitate market competition in the electric power

industry? Alternatively, how will electric power markets, increased power wheeling,

disaggregated utilities, and distributed power

generation (e.g., from renewable sources)

affect Nil requirements?

The question of whether electric utilities should

supply wideband communications to resi- dences, commercial and industrial sites is of

great interest to the electrical utilities. It has

been suggested that the entry of electric utilities into the telecommunications business may offer significant economic benefits, by increasing

competition and accelerating deployment of the

Nil. Such potential economic advantages are

not discussed further in this document due to lack of information. This subject will be

considered in a study sponsored by the

Department of Energy (DOE), the Electric Power Research Institute (EPRI), and the Edison

Electric Institute (EEI), to be completed later in 1994. In addition, the study will examine

regulatory issues, especially the regulatory

Holding Company Act, and the financial means

used by utilities for developing their wideband

networks.

The primary focus in this paper will be the

implications of improved telecommunications for

utility operations, energy conservation and utility capital requirements. Note that the beneficial

impact of the Nil on electric utility operations and

energy demand management arises from the

conjunction of improvements in the cost and

capabilities of telecommunications,

microprocessors, and power control devices.

Cheaper communications makes it feasible to communicate rapid price changes and control messages. Cheap, fast microprocessors and

improved power semiconductors make it feasible

to implement variable price power metering, and

for electric power customers to quickly respond

26
to price changes and control signals. The ability of utilities to directly control low priority loads

should reduce the frequency of power outages

and brownouts. The energy savings should help

defer the need for and cost of new power plants.

Improved Capacity Utilization

One of the most important applications of the Nil concerns potential improvements in utilization of generation, transmission, and distribution capacity, effectively improving capital

productivity. Such improvements would reduce

the capital costs of electricity and the need to construct new power plants. Capacity utilization improvements could arise from the following

strategies:

Smoothing of peak power loads, via

real-time load management — by real-time

pricing and/or direct load control signals.

Increased charges for peak period power

either via time-of-use pricing, or real-time

(e.g., weather dependent pricing) are expected to encourage power consumers to reduce peak usage, e.g., by rescheduling

appliance usage, by thermostat adjustments,

or by using off-peak thermal storage.

Reducing spinning reserve generation

capacity by the use of rapidly interruptible

loads — in which customers sell options to the utility to interrupt (a portion of) their service in emergencies — turn off water

heaters, etc.

Less conservative operation of transmission

line facilities via more detailed thermal

monitoring, real-time system load flow and

stability analyses, and rapidly interruptible loads.

Energy Conservation

In the United States, peak power loads for many

utilities occur on hot summer afternoons due

to air conditioning loads. Development of the Nil would permit utilities to engage in real-time

power pricing (RTP) to reflect the true costs of

electricity usage, resulting in higher charges for peak period power usage. A number of customer

responses are possible which would reduce

power costs. Thus, increased peak power pricing

would accelerate the replacement of older

inefficient air conditioners with newer more

energy efficient air conditioners. Factors of two

in energy efficiency are attainable compared to typical decade-old equipment. Furthermore,

price-sensitive air conditioner controllers could

relax thermostat settings during peak demand

(price) periods. Clock driven, or dial-up

controllers could be used to turn on air conditioners shortly before occupants return to

their residences. Smart clock-driven thermostats now do this for heat pump based heating and

cooling systems.

Disaggregated Utilities and Dispersed

Generation

Improved telecommunications and computing

will facilitate real-time control of both the power

supply system and loads. This will support a wide range of approaches to create more

competitive and efficient markets for electric power. Electric utilities could be disaggregated

into separate generation, transmission, and

distribution organizations with time, location, and

service priority variability in pricing. It is anticipated that this would lead to cheaper power

by creating more competitive markets for power

generation by independent power producers.

Such scenarios pose complex issues in pricing

and economically efficient power dispatching,

etc.

The most ambitious scenarios envision national

trading markets in electrical power, comprising a

variety of options to permit or cover interruptions

such as spot markets and futures contracts. It

is envisioned that such markets would function

like current financial markets.

Another consideration is that time-varying pricing

may change the attractiveness of various

renewable energy sources. Renewable energy

sources which exhibit availabilities similar to the

power demand, such as solar energy sources in summer peak load utilities (common in the

United States), may prove more obviously

valuable, and hence lead to faster adoption.

27
It has been suggested that the weather

dependence of renewable energy sources may

require increases in utility reserve generation

capacities. Thus more efficient provision of

generating reservesvia the use of real-time

pricing or interruptible service contracts could

facilitate the integration of renewable energy

sources into the utility grid.

Distribution Automation

Other issues of interest to utilities (and DOE) are

the use of improved telecommunications to permit distribution automation, including remote

monitoring and diagnosis of the electrical power

distribution system. At present most utilities only have monitoring down to the substation

level. Distribution automation offers the

possibility of reduced labor costs for maintaining

distribution facilities, and more rapid response to power failures. The impetus to adopt further

distribution automation is also due to the

increasing availability of improved, more

economic electronic sensors and power

semiconductor devices.

Telecommunications Requirements

One central question to be addressed is: What

levels of telecommunications and computation

infrastructure are required to support various

mechanisms of time-of-use, real-time, and/or

priority-of-service pricing contracting, billing, and

load management?

Some of the benefits can be obtained by simple

mechanisms, such as seasonal time-of-day

pricing or direct utility control of hot water

systems. These mechanisms would perhaps

require more complex power meters, or broadcast load control signals, but not necessarily wideband point-to-point

communications. Other scenarios, such as

multiple service priority levels, utility monitoring

(and possibly control) of end use energy

consumption, operation of disaggregated utilities (spot markets in power, control of dispersed

generators, etc.) variously would require

higher-bandwidth, two-way, point-to-point

communications.

There are also a number of traditional (voice)

and multi-media (i.e., video) applications that are

of interest to electric utilities. Examples of

multi-media applications include process control video monitoring, tele-conferencing for routine

and emergency operations, and distance

learning. Communications requirements for emergency response (e.g., to large storms, fires, earthquakes, and hurricanes) are akin to military

command and control systems, requiring mobile access and multi-media (voice, data. Geographic

Information Systems (CIS) data, remote video).

The most appropriate telecommunications

infrastructure may depend on variables such as

population density, geography (availability of

line-of-sight transmission routes), existing

communications infrastructure, etc. Thus,

wireless (radio frequency (RF) or satellite)

communications may be more appropriate for

rural areas, while fiber optic links would be more

appropriate for urban settings. Thus a utility communication architecture should be able to adapt to a variety of communications media.

What is the Public Interest in Promoting the

Application?

Economic Impacts^

Potential economic impacts of an improved Nil for energy conservation, electric utility operations, and energy demand management

include both direct and indirect economic

impacts.

The most obvious direct economic impact will be due to reduced peak power demand. This

will reduce the requirements for peak generating

capacity, transmission and distribution capacity.

Recent experiments (at AEP, PGE, and Gulf

Power) indicate coincident summer peak load

reductions of 1 .5 to 3.0 kilowatts (kW) per

residence. Allowances for transmission losses

and reserves imply that peak generating

capacity could therefore by reduced by 2.0 to 4.0

The following discussion of economic benefits is adapted from a paper by Steven Rivkin for the Edison

Electric Institute (EEI) which is based on the experience of the Entergy Corp. trials.

28
KW per residence. EEI estimates peak

generating capital costs at $436/kW for natural gas fueled combustion turbines (the most

common peak load power plants built today).

Thus one would expect to see a capital saving of

$872 to $1700 per household. Based on the

1990 figure of 92 million occupied housing units

in the United States, a reduction in required

generating capacity of the order of 1 80 to 360

gigawatts (GW) could be expected. The low end

estimates would amount to about $80 billion savings in capital expenditures.

However, this estimate appears to be too large.

The residential sector accounts for one third of

the total U.S. electricity demand. Since total summer generating capacity in 1990 was 690

GW, and reserve capacity was approximately 20

percent, total peak residential consumption was

presumably about 185 GW. Thus extrapolating

EEl's estimate to the entire United States

effectively assumes elimination of the entire

residential electric demand — this is clearly

unrealistic. There are two likely sources of error: the sample for the studies frequently are high

consumption residences not representative of the entire housing market, and the summer peak

load is distributed differently over time and

geographic regions. Potential capital savings of

$80 billion is a more likely upper bound;

achievable reductions probably would be half

this number.

Spinning reserve generating capacity (typically

5-7%) could be reduced by substitution with

rapidly curtailable loads. If spinning reserves

could be reduced by 1% of total summer load

(690 GW in 1990), this generating capacity

requirements could be reduced by 7 GW, saving

about $3 billion in capital expenditures.

EEI estimates meter reading costs

$6/residence/year, thus automatic meter reading

could save another $0.55 billion annually

Distribution automation is expected to also

largely eliminate power theft by permitting more

detailed monitoring of power individual and

aggregate power usage. Losses due to power

theft are variously estimated at between 0.5%

and 1.0% in the power industry. U.S. electricity

consumption in 1990 was $177 billion. Thus one

would expect another $0.8 to $1.7 billion in annual savings.

Energy conservation (reductions in aggregate

electric power demand, not merely peak

demand) is estimated by EEI at 5%o. Estimated

savings would be due to either higher peak

period prices, more attentiveness due to the

availability of more detailed billing, improved

capability to selectively control lighting and other

loads, and improvements in energy efficiency

due to capital equipment replacement. The

average U.S. residential electric bill for 1991 was

$777 or about $39 per residence/year. With total U.S. residential electricity consumption for 1991

at $98 billion, overall annual residential savings

could amount to $5 billion. U.S. electricity

consumption for commercial buildings was $56

billion, thus a similar estimate would be $2.8

billion annual savings in the commercial building

sector.

EEI computes there will be significant savings

($338/residence over 20 years, using a 10%

discount rate) because off-peak power will be

produced from coal, which is cheaper than the

natural gas used to fuel peak generating units. EEI assumes that natural gas prices rise faster than coal. EEI also assumes a savings of $52

per residence over 20 years in operations and

maintenance costs because coal-fired units are cheaper to operate and maintain than gas-fired

peaking units.

Remote service activation/deactivation was

estimated by EEI at saving one trip per

residence every 7 years. EEI estimated the cost

at $50/trip. However, this is only relevant if either

the gas and electric service are provided by

different companies (since otherwise a utility representative would visit the residence anyway

to restart the gas service). Finally, EEI

estimates $59 per residence over 20 years in savings in productivity improvements in demand

side management impact analyses.

Additional savings in distribution operations

costs and losses to customers due to loss of ser- vice will accrue because of faster outage

restoration via distribution automation (i.e., improved telecommunications, GIS, and facilities

29;
management (FM) system. There currently are no estimates of these benefits.

The EEI study of the Entergy Corporation trials suggested that the savings in utility operations

and capital requirements would effectively cover

the cost of deploying the Nil. Alternatively, other

applications of the Nil could partially amortize

the cost of providing the communications

infrastructure for electric utility applications. EEI assumed $850 per residence for fiber/cable,

communications equipment, intelligent

gateway/meter, and appliance wiring and

controllers and a cost of $312 per residence over 20 years (10% discount rate) for operations and

maintenance. Total costs were $1 1 72 over 20

years; total benefits (exclusive of other Nil applications) were $1545 over 20 years.

Note that reduced peak power demands can

arise from selective load shedding, rescheduling

industrial (or consumer) activities (into off-peak

periods), by resetting thermostats during peak

periods, by customer provided electrical power

storage (batteries, fly-wheels, fuel cells) or thermal storage (heat or cold), or by adoption of more efficient appliances, lighting, heating,

ventilating and air conditioning (HVAC)

equipment, or additional building insulation.

Thermal storage can be provided, for example,

by operating ice-makers at night and using the

ice for air conditioning in daytime. Peak period

pricing, either seasonal time-of-day or real-time, can provide the economic incentive for

installation of thermal storage in commercial

buildings. The economic rationale is that thermal

storage may be cheaper than building the

corresponding peak generating, transmission,

and distribution facilities.

In the continental United States many electric

utilities exhibit peak power demands in summer

months in the late afternoon due to air conditioning loads. Two-fold improvements in air conditioner efficiencies have been achieved over

the last decade, but many customers have not replaced their air conditioners, in part because

present residential electricity tariffs do not signal

the full costs of peak period electricity, that is, the price is generally not time dependent. We

expect that electricity tariffs which fully account

for the costs of peak period electricity supply will lead to substantial increases in the price of

power during peak periods — typically hot

summer afternoons when residential consumers

are likely to be using their air conditioners. This

could greatly accelerate replacement of

inefficient air conditioners.

Indirect economic impacts can be generated

through Nil impacts on utility pricing. Peak

power pricing could encourage independent

power producers to develop better load

coincident power sources. Examples of this include solar power in the South and

Southwestern United States and possibly wind

power generators in more northern regions. This

may hasten the adoption of some renewable

energy sources. Peak period power pricing and

direct utility control also will help supply power

for large fleets of electrical vehicles (i.e., recharging at night, interruptible power for daytime recharging).

Improved information infrastructure (tele- communications and computing) appears

essential to operation of large disaggregated

utilities (those with many independent power

generators). Improved information infrastructure

is also needed as the electric power market

grows more complex to support service

reliability differentiation, with accompanying price

variability.

More accurate pricing of power transmission and

distribution services will lead to location

dependent power prices (at least for commercial

and industrial customers). Customers located

far from generating facilities will face higher

prices which in some cases would favor

customer sited co-generation or renewable

(solar, wind) facilities. These facilities do not

incur transmission costs, but may have higher

capital costs. This effect is already seen in extremely remote customers such as remote

cabins, microwave relay towers, and paper mills. Increasingly competitive markets for power are expected to partially reduce inter-regional

variations in the price of power, as users in more

expensive regions import power from regions

with less expensive power. For example,

California currently is importing less expensive

hydropower from the Northwest. The capital

30
costs of transmission facilities and transmission

losses will preserve some regional variations in power prices.

Environmental Impacts

Environmental benefits are more difficult to quantify. Nevertheless, energy conservation

should lead to proportionate reductions in air pollution (particulates, NO,, and sulfur-dioxide

especially) and CO2 emissions due to consequent reductions in fossil-fueled generator

operations. This would reduce greenhouse

induced climate change. Note however that

shifting some peak loads from natural gas fueled

peak generating facilities to coal-fired base load

generating plants will partially offset the pollutant

reductions due to conservation. These

comments do not apply if base load generation is nuclear or renewable sources such as solar,

wind or hydropower.

More sophisticated utility control systems could

also permit the dispatching of power plants

according to their pollutant production (NO, and

sulfur dioxides) on smoggy (high ozone)

days. Note that coal plants are typically more

polluting than natural gas. Some 55% of the U.S.

population reside in metropolitan areas which do

not comply with EPA ozone pollution regulations.

The availability of cheap off-peak and

interruptible daytime power for charging batteries or flywheels of electric vehicles also offers the

prospect of reduced emissions. Electric power

plants produce negligible hydrocarbon and

carbon monoxide emissions, unlike autos. Furthermore, even their NO, emissions are less than comparable emissions from gasoline or

diesel vehicles. Finally particulate emissions at power plants are easier to control than from

diesel vehicles. Of course, if electricity is generated from nuclear, solar, wind, or hydropower there are no emissions of air pollutants or greenhouse gases. Such

considerations are the basis of California's new

regulations requiring automobile manufacturers

to produce a certain proportion of electric vehicles.

Finally, one would expect that increasingly

competitive markets for electric power will force

utilities to exert increased efforts to reduce the costs of generating electricity. Unfortunately, this may lead to increased resistance or evasion by

utilities of costly environmental regulation

concerning emission of air pollutants. Additional

enforcement efforts may be required.

Income Distribution Considerations

The effect of real-time pricing (RTP) or time-of- use (TOU) pricing is to increase the price of

electricity during summer peak load periods and

thus discourage electricity use during these

periods. Poor households are likely to be

significantly impacted. There are indications from

studies by the medical examiner of Philadelphia

that a substantial number of deaths among the

elderly poor during major heat spells are due to lack of adequate ventilation and/or air conditioning.

Because the major energy savings (both peak

demand reductions and conservation)

presumably will accrue from households with

large energy consumption — typically large

affluent single family houses — utilities will favor

wiring affluent suburbs over urban apartment

districts, especially poorer urban areas. This

has been conmfirmed in existing trials. Thus

some urban communities effectively may face

communications red-lining, further aggravating

the isolation and undesirability of these

communities.

Trade Considerations

Efforts to accelerate the introduction of smart

appliances or intelligent utility gateways by means of regulatory mandates, subsidies, or tax

credits for appliances meeting particular

standards may be seen as non-tariff trade

barriers and might therefore become subject to

litigation under NAFTA or GATT.

Demand for more efficient or more intelligent

appliances may favor foreign producers. Recall

that foreign vendors have captured a very large

share of small fuel-efficient U.S. automobile

market. Also, foreign vendors (especially

3.1
European vendors) are the major suppliers in the

United States of more efficient front-loading

washing machines. Foreign vendors also lead in the commercial production of electric cars. PART II: Where Are We Now?

Communications

Electrical generation facilities and fransmission

grids are extensively automated and supported

by extensive data communications networks,

running primarily on utility company owned

telecommunications facilities (fiber optic and

microwave) rather than common carrier facilities. Communications protocols vary by utility and are

often proprietary. Some utilities, such as Pacific

Gas and Electric, employ the Internet TCP/IP

protocol suite. Use of the Internet or public access telecommunication networks is rare. There is some use of communications circuits leased from common carriers. At present utility communications networks generally extend to the substation level, but not beyond. Distribution

automation (beyond the substation) is just

beginning at most U. S. utilities, although some

utilities have made substantial progress.

There are few two-way data communications

facilities between electric utilities and their customers in the United States The exceptions

are large (mostly industrial) customers, who may

receive real-time pricing information via modems

over phone lines. Direct load control of water

heaters is widespread in some communities,

relying primarily on one-way communications via

broadcast or packet radio.

In cases where two-way communications

between utilities and customers exists,

communications for distribution automation (DA)

and automatic meter reading (AMR) is still largely via 9.6 kilobit/sec (or slower) packet

radio, power line carrier systems, or twisted

pairs. While packet radio seems to be the

preferred communications system for new DA

and AMR applications, some utilities are deploying fiber optic communications for distribution automation.

Customer Sites

Many commercial buildings have some sort of

Energy Management Control Systems

(EMCSs), for heating, ventilating, and air conditioning control (HVAC), and for lighting controls. Usually these EMC systems are PC-based controller communicating over twisted

pairs or power lines via proprietary communication protocols. Control capabilities are often

crude (only on/off), with variable speed motor

controls for ventilation blowers just being

deployed recently. In many cases EMC systems

lack the ability for fine-grained control of lighting,

i.e., control of individual fixtures. Most customer

sites have either no data communications with

the utility, or perhaps some facility for automatic

meter reading. Residences typically employ the

X-10 protocol over power lines, mostly for remote or automatic (timer-based) lighting

controls, fire and burglar alarms. Timer

controlled thermostats are found in many

households. Very few households have

PC-based control systems.

Metering and Tariffs

Nearly all residential sites still employ

electro-mechanical meters which must be

manually read. Some commercial sites have

electronic meters (with more flexible pricing)

which can be updated and/or read remotely (via

phone lines or radio packet switching).

Most residential customers in the United States

do not have time-dependent electricity tariffs. However, some (larger) residential customers

have 2-period (peak/off peak) time-of-use

pricing. Commercial and industrial customers

often pay time-of-use (TOU) prices (usually only

2 time periods - peak/off peak). Many

commercial and industrial customers also pay a

surcharge based on peak usage during each

month. A few large customers pay "real-time

prices" (RTP), which typically change on an

hourly basis, usually with 24 hour advance

notice (sometimes shorter notice, e.g., 2 to 4

hours).

32
Security

Communications security presently relies primarily on the fact that utility communications

occur on private communications circuits. Passwords are used to control access to computers, but digital signatures for authentication are not presently employed.

Interoperability

Historically, the bulk of communications for

electric utility operations relied on proprietary

communications protocols, with little provision

for interoperability among utilities or customers.

Recent years have seen deployment of open

systems Energy Management Systems for management of electric utility operations typically

employing Unix, Internet TCP/IP protocols, and

relational databases. There is some use of the

ISO OSI (Open Systems Interconnect)

communications protocols such as X.25. Some

formerly proprietary communications protocols

employed in SCADA (Supervisory Control and

Data Acquisition) systems for monitoring the

transmission network and substations are being

standardized. Database interoperability (to the extent that it exists in production systems)

typically relies on commercial database gateway

software, often using IBM's DRDA (Distributed

Remote Data Access) protocol, rather than the

ISO (International Standards Organization) RDA

(Remote Data Access) protocol. There is widespread use of relational database systems

and the SQL query language. However, the

real-time component of databases for utility operations is still maintained in proprietary

main-memory databases. Practical database or

applications interoperability requires the

adoption of standardized database schemas and

applications program interfaces, which are not

yet in place.

Utility Computations and Control

At present most utilities rely on off-line computations for computationally intensive

aspects of utility control computations such as

network security (i.e., failure contingency)

analyses, and optimal power flow computations.

The ability to perform these computations in real-time would be desirable.

Existing Research Programs

Federal Research & Development

Programs

There are several federal agencies supporting

research, development, and policy analysis in areas relevant to Nil applications for management of electricity demand, supply and

delivery: The Department of Energy (DOE), the

Environmental Protection Agency (EPA), the

Federal Energy Regulatory Commission (FERC),

the National Science Foundation (NSF), and the

National Institute of Standards and Technology

(NIST).

The DOE Office of Utility Technology has

programs in: renewable energy ($179M in FY

94, mostly photovoltaics), transmission and

distribution ($6M in FY 94, of which $3M for real-time systems control), $3M for high

capacity transmission technologies (mostly

HVDC), and $1M for systems analysis), energy

storage ($6M in FY 94, mostly batteries),

integrated resource planning ($7M in FY 94),

superconductivity ($21 M in FY 94).

The DOE Office of Building Technology has a budget in FY 94 of about $1 OOM. Its research

program, covering both commercial and

residential buildings, includes EMCSs, real-time

pricing, building codes and appliance energy

efficiency standards, energy efficient lighting and

windows, and evaluation of demand side

management (i.e., conservation) programs.

The DOE Office of Industrial Technology is concerned with energy efficiency improvements

and waste minimization of industrial processes

and activities (manufacturing). It is also

concerned with EMCS and real-time pricing for industrial customers.

NSF Engineering Directorate includes a Power

Systems Program which has supported

theoretical work on utility control algorithms. The

program supports theoretical research in power

systems operations, including control policies

33
and computational algorithms, and power

systems security analysis. The budget for FY 94

is $3.1M.

FERC has responsibility for regulating access to transmission networks and has supported work

in regulatory policy analysis for transmission

pricing.

EPA Energy Efficiency Program is interested

in improving energy efficiency as a means of reducing air pollution and emission of

greenhouse gases. This program is known as

the Energy Star program. It includes efforts to encourage the adoption of more efficient lighting

(Green Lights), a voluntary energy efficiency

standard for personal computers.

NISI has an extensive program in communications protocols standards

development and conformance testing,

especially concerning the ISO OSI protocols.

Particularly relevant t to this discussion are its efforts in assisting the development and testing

of BACnet (Building Automation and Control

Network) with ASHRAE. Also relevant is NIST's

work in the development of the DSS (Digital

Signature Standard) to facilitate authentication of

digital messages. NIST's Building Controls

program is concerned with a variety of questions

(modeling, control policies, equipment, etc.)

concerned with the control of building

environments (thermal, ventilation).

In addition to the energy related research

programs mentioned above the High

Performance Computing and Communications

Program, specifically the National Research and

Educational Network and the Information

Infrastructure and Applications components,

have supported development of networking

technologies suitable for the management of energy demand, supply and delivery.

Private Research & Development Programs

than compensate for the cost of installing the

fiber optics. They have also estimated that utility applications will require (at most) 5 percent of the bandwidth to the homes.

Electric Power Research Institute (EPRI),

Consolidated Edison, Pacific Gas and Electric,

and Marriott Hotels have undertaken a project to examine the impact of real-time pricing at two

Marriott Hotels, one in New York City and one in San Francisco. The New York City hotel project

is further along, but was constrained by existing

controls to only on-off control for many functions.

The San Francisco hotel has more sophisticated

controls, permitting (for example) variable speed

motor controls for ventilation fans, etc. The San

Francisco hotel will use pre-cooling of ballrooms

and meeting rooms. The San Francisco hotel also has ice thermal cool storage facilities.

EPRI has initiated a new research and

development program in "Integrated Information

Systems Integration," to be formally inaugurated

in 1995. This will support collaborative R & D in: broadband utility telecommunications,

information systems integration, and upgrading

legacy systems.

EPRI also has sponsored work on development

of a utility/customer communications protocol

based on the OSI protocol suite. Numerous

programs with a strong communications

component using OSI standards UCA/MMS and

DAIS/RDA are now undergoing field trials and

preproduction demonstrations. Many will complete in the 1994 -95 time frame. Notable

among these are the following:

PG&E North Bay Division: Applications in five key business areas of system utilization,

demand side management, curtailment

verification, information to customers and

system information for business planning.

These are being introduced in parallel with

legacy systems.

Entergy Corporation has conducted a trial of Kansas City Power & Light: Generalized

50 homes, with fiber optics, and has asked for access to heterogeneous databases using

approval for a 30,000 residence trial. They DAIS servers as front ends to legacy

believe that the savings in capital investment (for databases. The system will include a GUI

generation, transmission, distribution) will more application development tool, RDA/SQL

34
protocols and both UNIX and MS Windows

workstations.

Public Service Electric & Gas Co.: A

Generation Energy Cost System accessing

distributed databases. It will provide users a

uniform view of the data via OSI/RDA

communications protocols.

Ogelthorpe Power Corp.: An integrated

Distribution Automation, demand side

management project for Electric Member

Cooperatives. This system will integrate

systems of different EMCSs with their Generation and Transmission utility. The

project will implement Inter-Control Center

Communications using ISO 9506 MMS

protocols.

United Power Association: A project for substation and feeder automation. It includes

the monitoring of substation equipment and

meters, control of sectionalizing switches

and capacitors.

Florida Power Corporation: A project

performing remote distribution capacitor

bank control, validation of load management

receiver operation and remote meter

reading.

Georgia Power Company: The integration of a new Distribution SCADA system with

GIS facilities mapping. This will entail two

communications systems. In an urban

environment a point to multipoint wireless

system will be used. A packet-switched

wireless network will be used in a rural setting.

San Antonio City Public Service Board:

Data communications over both local and

wide area networks providing database access and integration services.

Union Electric Company: A project using

radio controlled feeder switches. It will also

determine feasibility of collecting and using

data from automated switch locations for operations, engineering planning and

design.

Northern States Power: A wireless project

to demonstrate the use of ISO9506 (MMS) in several facets of an existing Distribution

Automation project.

Allegheny Power Service Corp: An

advanced power line Communications

project using spread spectrum modulation

and sophisticated signal processing to reduce the effects of power line noise and

interference at bit rates of over 1200 b/s.

EPRI Contractors: A project to demonstrate

the use of a single real-time messaging

protocol for intercontrol center communications.

Houston Lighting & Power: The Electricity

Reliability Council of Texas (ERCOT) with

HL&P has a project which supplies data from

ten Control Area Supervisory Control and

Data Acquisition (SCADA)/ Energy

Management Systems to two Security center computers for reporting and analysis.

EPRI and Contractors: An integrated

Protection, Control and Data Acquisition

project to define an open system for communications between all substation

intelligent devices. Such a system will act as

a backbone for a modern substation

protection, data gathering control and

diagnostics.

EPRI Customer Communications

Gateway: This is an evolution of an EPRI

developed gateway product for 2-way utility -customer communications. It will implement

MMS using the reduced OSI stack. It will be

designed for communications over both

physical and wireless media.

Roxboro Automation Project: This project

is intended to provide efficient and useful

plant-wide automation technologies. The

project will investigate various European and

Domestic advanced control strategies,

plan-wide data communications and data access along with standardized

man-machine interfaces plant dynamic

simulation and load dispatch. Adherence to

35
international systenn standards will be

closely followed.

IS Philadelphia Electric: Prototype

development and implementation of a

predictive maintenance or Operations and

Maintenance workstation. This system will provide interoperability among disparate

computer platforms for various power utility applications and will be portable to other

power plants.

EPRI Knowledge Delivery and

Collaboration Network: EPRI is engaged in a continuous improvement program of

developing electric utility industry information

services network EPRINET. This is an

Internet -like environment which supports

client server applications for technical

research information retrieval, bulletin board

systems, electronic mail, directory services,

authentication and transaction processing.

EPRI has used a combination of OSI and

TCP/IP technology, WAIS and Mosaic. EPRI

has begun a program of Electronic

Document Delivery so as to provide

electronic options of full electronic browsing

of compound documents and printed

-on-demand. EPRI expects to implement new tools for browsing and collaborative

work automation this year. PART III: Where Do We Want to Be?

Issues for the Department of Energy

The issues confronting DOE fall into three major

categories: economics, control, and informatics

infrastructure. Studies are needed in the

following areas: economic studies of various

institutional and regulatory regimes for the

electric utility industry, economic and regulatory

policy studies of electric utility provision of

communications services, and technical studies

of computational algorithms, computational and

communications infrastructure for utility operations and real-time demand side

management. Economic issues have been

discussed in Part I. Discussion of electric utility entry into telecommunications market is beyond

the scope of this document.

Beyond the broad issues, DOE needs to identify

the technical obstacles to deployment of

these technologies and the research, prototype, or demonstration efforts needed to hasten

adoption. DOE also needs to identify the most

appropriate setting(s) and mechanisms for each

aspect of the R&D effort.

Utility Control Computations

In the event that communications, control and

computations components could be implemented

widely into the power grid and customer sites,

how then should one price utility services (power

and transmission) and control the operation of

the utility and customer loads? Large-scale

computations are required to respond to such

questions:

Load flow analysis — Given specified

loads and power sources, how will power

flow through the transmission/distribution

network? This information is used to determine transmission losses.

Transmission line losses must be known to determine transmission service pricing and

to assure that transmission lines are not permitted to overheat. Load flow analyses

are conducted by solving a large system of

simultaneous nonlinear (quadratic)

equations.

Scheduling involves the scheduling of

generator plants outages for maintenances,

refueling nuclear power plants, long term

power purchases and operation of

hydro-electric power plants.

Unit commitment scheduling involves

deciding when to commit the operation of

large steam-based power plants. Such

plants often require several hours to be

brought up to full operation or to be

shutdown. Typically unit commitment

scheduling is done a day (or even a week) in advance.

Economic dispatch concerns the real-time

operation of the electric utility given the

scheduling and unit commitment decisions.

The utility must determine efficient policies

36
for purchasing, dispatching of generators,

and load curtailment. This involves the

solution of large optimization problems. Each

iteration of the economic dispatch

computation may involve solving the load

flow analysis problem.

Pricing — Prices for sales of power and

transmission services must be computed.

Transmission prices are affected by

transmission losses which are a function of

the load flow, and ambient air temperature.

Note that the FERC sets policy for access and pricing of electricity transmission under

the Energy Policy Act of 1992. One

approach to computing transmission prices

is to use the dual variables from the

transmission capacity constraints in the

economic dispatch computation.

Stability (or security) analysis concerns

the analysis of the vulnerability of the power

systemdue to failures in generating or transmission equipment, failures of utility inter-ties, or unanticipated loads. At present

such security analyses are performed offline, using pessimistic estimates of loads,

transmission line capacities, etc. Operating

policies and planned responses to potential

failures are designed accordingly. Real-time

computation of security analyses wouid

permit higher levels of utilization of trans- mission facilities.

Fault diagnoses involve the determination

of the cause and location of problems with

the generation, transmission, and distribution network from telemetry data.

All of these problems appear to become more

difficult with disaggregated electric utilities and

the arrival of large numbers of independent

generators.

A number of these problems (e.g., load flow

analysis) are very large expensive computations,

typically performed off-line. They may be

amenable to supercomputer, parallel or clustered computing, or distributed control systems. The ability to perform these

computations in real-time may permit less

conservative operation of the power system and more resilience in the face of failures.

Note also, that combining to the solution to several of these problems may produce more

efficient solutions; e.g., combining load flow

analysis, pricing, and economic dispatch. This is presently done for some off-line computations.

Applications of Nil to Utility Operations

Applications of improved telecommunications to

utility operations may be grouped into three

categories: demand side management,

transmission and distribution automation, and

remote generation unit control. These

applications primarily involve communications

within a utility or between a utility and its customers.

Demand Side Management

Direct load management (DLM) entails direct utility control of customer appliances

to reduce peak power demands. Examples

of loads which are common candidates for DLM include: electrical heating,

air-conditioning , hot water heating

(residential, hospitals, hotels, laundries),

electric clothes dryers (mostly residential),

dishwashers (mostly residential), electric ranges or ovens (mostly residential, for short

periods).

Real-time power pricing (RIP) is the use

of frequently changing power prices (every

15 min or more rapidly during emergency

operations) to encourage customer power

conservation during periods of peak

demand. The primary advantage of RTP

over direct load management (by the utility)

is that it permits more discretionary control by utility customer. This is sometimes

important for residential customers in situations where there are constraints on

appliance operation due to personal

schedules. The issue is much more

important for commercial and industrial customers, whose amenability to power

interruption may vary widely according to

37
time-of-day or immediate workload, among

other factors.

RTP also has some advantages over seasonal time-of-use (TOU) pricing. RTFs

are adjustable for weather dependent load

demand (based on temperature) and power

generation availability (based on insolation,

wind speed). Finally, RTFs can be adjusted

to account for generator outages,

transmission line failures, and availability

and price of purchased power.

There is some question as to how

responsive utility customers are likely to be

to rapidly fluctuating power prices. While

certain industrial or commercial activities can

be rescheduled on a day's notice, often such

activities are not effectively interruptible on

shorter notice. Similarly, opportunities for modifying heating/cooling building operations

are more substantial given 24 hour notice,

than on shorter time scales.

Rapidly curtailable loads (RCL) — Direct

control of customer loads could be used to reduce requirements for spinning reserve

generating capacity. Spinning reserves are maintained to cope with failures of

generators and transmission lines. Alternatively, the utility could reduce

spinning reserves (typically 3 to 7 percent of

generating capacity) and rely on selective

rapid shedding of loads. Response time

requirements here are more stringent —

typically about 20 seconds, sometimes

much less. Users would contract with the

utility to permit interruption of some loads

(typically hot water heaters, irrigation pumps,

refrigerators) in exchange for lower

electricity rates for the interruptible portion of

their power use. Presently only large

industrial customers have interruptible power

tariffs. Florida Power and Light relies on

rapid load shedding for some of its "spinning

reserve".

End-use energy usage information

gathering — Building energy management

and control systems could collect and

transmit to the utility detailed information on end-use energy consumption along with

temperature measurements and thermostat

settings. Such information could be used for improving utility load forecasting, improving

building energy models, analysis of building

energy efficiency, diagnosis of building

HVAC problems, and utility provision of

energy services.

Experience with French building energy

management control system (EMCS)

installations in public buildings (offices,

schools) indicates that energy efficiency

improvements of at least 1 0 percent are

obtainable from detailed (5 min interval)

monitoring and analysis of building energy

usage. For smaller commercial and

residential customers (without EMCSs)

some of these monitoring functions might be

performed by a microprocessor based

electricity meter.

End use energy consumption estimation

via regression analysis — One application

of high bandwidth communications would be

to frequently record total energy use and

appliance/equipment usage (on/off status).

Regression studies could then be used to determine energy consumption of individual

appliances and equipment.

Utility provision of energy services —

The electrical utility could contract to supply

space conditioning (HVAC) and (possibly)

lighting services within specified tolerances.

The utility would then employ remote

building monitoring, thermal storage, and

direct control over HVAC equipment to meet

target temperature ranges at minimum cost. Conceivably, such energy service operations

might be supplied by third party vendors

(buying power on the spot market).

Transmission & Distribution Automation

As noted earlier, transmission automation is fairly well developed among electric utilities, whereas distribution automation efforts are more

recent. Many of the issues concerning

transmission automation are discussed above,

under utility control computations. Many of the

applications and issues are similar for

38
transmission and distribution automation. Here

the distribution automation applications are emphasized:

Intelligent Substation Communications —

Currently emerging technologies include the

development of intelligent electrical protection devices at substations. Such

systems may require expanded protocols for communication between substation devices

and utility energy management systems

(SCADA systems) over wide area networks.

Outage reporting — Distribution automation

would permit more timely, spatially localized

reporting of power outages. Outages would

be directly detected and reported without

relying on customer complaints.

Transmission or distribution fault diagnosis — Real-time analysis of power

system state measurements could be used

to diagnose fault locations in the

transmission and distribution network. This

problem is amenable to the use of model-based diagnosis by expert systems.

Power Quality Monitoring — Voltage

deviations and other power quality problems

could be detected and corrected. See

discussion above of fault diagnosis.

Automatic meter reading (AMR) — Aside

from the savings in labor costs due to AMR,

there are also advantages in reduced

exposure of utility personnel in dangerous

neighborhoods.

Remote service connection/

disconnection — Electrical service could

be turned on or off remotely, reducing labor costs and improving response time for

installing service. This would be particularly

useful in settings with high turnover of customers such as rental units near

colleges.

Theft detection — Closer monitoring of the

disthbution system, facilitated by distribution automation should permit increased

detection of power theft, presently estimated

at about 1 percent of power sales or about

$2 billion/year.

Emergency response planning and

operations — This is facilitated by improved

communications, distribution monitoring, GIS

(geographic information systems), and

expert systems. Emergency response to both equipment failures and natural

disasters (fires, hurricanes, and

earthquakes) is important.

Remote Process Monitoring — Video

monitoring and recording of events at either

power plants or substations is useful for control and post-mortem diagnostics.

Automatic processing of acoustic signals

and optical spectra are useful for assessing

the state of generating equipment and switch

gear.

Facility Security — Surveillance of

generation, transmission, distribution, and

communications facilities is an increasingly

important application. Such surveillance

applications may require audio and video

(i.e., multi-media) communications channels.

These applications also require reliable, secure communications channels.

Geographic Information System (GIS)

Applications — GIS systems (also known

as automated mapping/ facilities management (AM/FM) systems) are used

many purposes by electric utilities: emergency response planning and

operations, planning the siting of new

facilities (generation, transmission, solar,

wind, hydroelectric), assessing snow packs

for planning hydro-electric operations, local area demand growth forecasting,

environmental and operational management

of rights-of-way, vegetation management.

They are used to link customer information

systems, engineering systems, SCADA

systems and planning.

Existing AM/FM systems are typically

derived from computer aided design (CAD)

systems. Utilities have found such systems

not fully adequate for the uses to which they are now being put. Better systems, better

39
adapted to distributed, peer-to-peer,

object-oriented computing, witti better

facilities for linking to other DBMSs are needed.

Remote Generation Unit Control

Remote operation and control of generating units

is desirable to reduce operations personnel

costs. Common applications would include

control of smaller co-generation facilities. Such

applications would employ wideband

communications, for remote video monitoring

and real-time data transmission protocols.

Nil Applications to Utility Industry

Transactions

In this section we consider Nil applications to

utility industry transaction, which primarily

involve communications among utilities, utilities and independent power producers, utilities and

vendors, utilities and regulatory agencies. Some

applications also involve communications with

customers.

In contrast to intra-utility, or utility-customer

communications based applications described

above, which could conceivably rely on different communications protocols for different utilities (albeit with the loss of economies of scale), the

applications considered here intrinsically require

common communications protocols and perhaps even standardized database schemas to be

practical.

Power Marketing

Support for real-time spot markets in electrical power — Such spot markets for power would either be between utilities or between utilities and independent power

producers (e.g., solar, wind, or co-generation power plants). Customers

who had sold options for interruptible service

might cover the options with spot market

power purchases. Automated operations of

such power markets would reduce

transaction costs and permit smaller more

frequent transactions.

Support for real-time futures markets in power — The logic here is similar to the

logic for spot markets. Futures markets for power delivery, and options (interruptible

service) would complement spot markets for power.

Support for variable quality levels of

electric power — Customers could

purchase different quality electric power as

needed. Quality measures include voltage

control, harmonics, transients, and

interruptions. Often critical industrial (or

medical) activities require uninterruptible

power - but only when the plant is actually

operating. Improved communications would

permit customers to tell utilities when they

needed higher (or lower) quality power.

Support for national power trading — In addition to local or regional trading in electrical power, one can envision

inter-regional (United States, Canada,

Mexico) real-time power markets. It is anticipated that this will require increased

control and communications capabilities to maintain efficient, safe, stable operations of

the transmission lines and inter-connected

utility grid. More extensive, real-time markets

for electric power are expected to create more volatile arrangements for power

delivery and thus increase real-time control system requirements. The control

computational issues have been (briefly)

described above.

Inter- and Intra-Communications and

Transactions

Improvements to inter-utility power trading,

power wheeling transactions, inter-connections

of transmission grids and power pools will require increased communication between utility control centers. This would be facilitated by

standard communications protocols and

standardized database schemas.

The Nil could be used for environmental

reporting to the Environmental Protection

Agency and various Air Quality Control Districts,

40
for emergency response reporting to the Federal

Emergency Management Agency (FEMA) and

the Nuclear Regulatory Commission (NRC).

Utility filings with Public Utilities Commissions

(PUCs) could be done over the Nil and access

to the public provided.

A Nil would facilitate remote facilities engineering, service, support by utility equipment

vendors. This would entail the use of Electronic

Data Interchange (EDI) for commercial

transactions and the use of standardized

Computer Assisted Logistics Systems for documentation. Security issues would also have

to be addressed, lest diagnostic access to utility control systems or equipment become trapdoors

for intruder access. PART IV: How Are We Going to Get

There?

Institutional Mechanisms

Requirements for an information infrastructure

will be a function of the institutional framework of

electric power. Discussions of utility reform

have typically envisioned the creation of spot

markets for electric power, long term contracts

(either fixed price or indexed), options contracts

for interruptible service, and futures markets.

Various schemes have been proposed to permit

independent power producers access to transmission and distribution networks and to charge for transmission services. This is known

as retail wheeling.

There has been much discussion of the notion of dismembering existing integrated utilities in favor

of separate transmission, distribution, and power

generation companies. In England such

institutional changes have already been put in place. The United States has also seen the hse

of numerous independent power producers

(wind powered and co-generation facilities primarily). Many expect that future utility scenarios will see much larger numbers of independent producers dispersed throughout the

utility service regions. Similarly, improvements in batteries, flywheels and other energy storage

technologies suggest that there will be larger

numbers of energy storage facilities available.

Disaggregated utilities, real-time power markets,

retail power wheeling, and dispersed generation

and power storage regimes will have more

demanding computational and communication

requirements. Furthermore the plethora or organizations will generating increasing

demands for standardization of communication

and database access protocols.

The information infrastructure requirements for

electric utility operation are likely to grow as many of these institutional changes are adopted

by new legislation, regulatory policies,

technology changes, and competitive pressures.

Information infrastructure requirements will also

be sensitive to the details of transmission pricing

policies. Some policies require significantly more communication, sensors, and computation

than others. Given that many commercial,

industrial activities are not amenable to interruption on short (15 min) time scales, some

have suggested that coarser price adjustments

(hourly) set further in advance (24 hours) may

achieve most of advantageous attainable with

real-time pricing. Further research (both

theoretical and empirical) in this matter appears

warranted.

Information Infrastructure Issues

Increasingly competitive power markets will place more stringent demands on the supporting

information infrastructure, especially in terms of

interoperability and security. This section

discusses how the information infrastructure

should be constructed to support the

management of electric power generation,

demand, and delivery in light of those demands.

Network Protocols

One issue which will have to be resolved is what

protocols are to be used for the data

communications networks which will support

utility monitoring, control, and utility customer

communications. Note that different protocols

might be employed for different applications.

While present utility practice often includes the use of proprietary protocols over dedicated

communications lines, there is increased interest and shift toward standard communications

41
protocols. This will be essential for large scale

utility-customer communications. EPRI has

supported the development of such

utility-customer communication protocols. The

question of which communication protocols the

electric utility industry will use is the subject of

considerable contention. The debate focusses

mainly on the choice between Open Systems

Interconnect (OS!) and Transmission Control

Protocol/Internet Protocol (TCP/IP) based

protocol suites, and on whether to use

industry-specific or generic protocols. The

development of a utility network architecture that includes high performance technologies,

advanced distributed capabilities, low-latency

and real-time data flows, security, authentication,

and accounting capabilities is needed to support

requirements for management of energy

demand, supply, delivery.

Commercial support is a key criterion for the

selection of a communications protocol. To what

extent are the protocol suites currently and

prospectively supported by commercial vendors?

The current (or near term) availability of commercial products would reduce the risk and

cost to utilities and customers of adopting a

particular protocol suite.

The capabilities provided by the protocol are

also important, specifically: addressing,

bandwidth guarantees, and latency guarantees.

Is the address space of the protocol adequate to support the proposed applications — ultimately

perhaps serving in excess of 100 million nodes?

Is the system for allocating addresses practical

in an electrical utility setting? Can the protocol

guarantee the bandwidth needed for urgent utility communications? Finally, can the protocol

provide suitable latency guarantees for transit times for urgent (especially emergency) utility communications?

The last important criterion for protocol selection

is the ability to use heterogeneous

telecommunications infrastructures. How

adaptable to different telecommunications

equipment are the communications protocols?

Can they be used over general purpose

telecommunications networks? Do they require

unique (dedicated) telecommunications

networks? How much experience is there with

real implementations?

There are several major alternatives discussed

below: the TCP/IP protocol suite, the OSI protocol suite, real-time protocols, and hybrid

protocol suites.

The TCP/IP and related protocols were

developed by the Internet (formerly ARPANET)

community under U.S. Department of Defense

(DOD) and National Science Foundation (NSF)

sponsorship. These protocols have a large and

rapidly growing base of users and vendor

support by both computer system vendors and

telecommunications vendors. There is a large

body of implementation experience, both in local networks and over diverse telecommunications

hardware. The Internet protocols are widely used

throughout the U.S. government, university, and

commercial sectors.

The Open Systems Interconnect (OSI)

protocol suite was developed by International

Standards Organization (ISO) dominated by

European computer systems vendors. There is comparatively (relative to TCP/IP) little commercial use of the transport network level OSI protocols; e.g., CLNP, TPO, TP4.

However, OSI application level protocols have

proven more popular. Usage of the OSI X.400

mail protocol is extensive and growing. Usage of

the OSI X.500 Directory Service protocol is growing. The Remote Database Access (RDA)

and SQL standards offer a solution to the

problem of accessing heterogeneous remote

relational databases. The RDA standards are

specified over OCI protocols; however, using the

RFC1006 Internet specification, RDA runs over TCP/IP protocols. NIST is sponsoring an RDA/SQL testbed for demonstration projects in the areas of electronic commerce, health care,

digital libraries, and scientific research. In addition, NIST has a Memorandum of Understanding with the Canadian Government,

Government Telecommunications and

Informatics Services, to further RDA testing and

technology validation. The NIST testbed hosts

two commercial pre-release products, as well as government-developed prototypes. NIST is

42
developing testing tools to evaluate conformance

and interaoperability of RDA implementations.

Major relational DBMS vendors sell communications software for distributed access

to their own SQL databases, as well as gateways to certain other SQL databases.

However, none of these products meets the

broad public need for nonproprietary access

methods.

EPRI has used the OS! protocol suite as the

basis of their Utility Communications

Architecture. This has been adopted by a number of American and Canadian utilities.

Real-time protocol suites (which would provide

guaranteed latency and bandwidth for high

priority communications) for deployment in general, heterogeneous telecommunications

environments are currently the topic of research.

Deployment of Asynchronous Transfer Mode

(ATM) infrastructure by the telecommunications

and computer companies will speed the

development of real-time protocols.

Finally, hybrid protocol suites composed of combinations of the above protocol suites are a

possibility.

Note that for large homogeneous classes of customers (urban residential customers) it may

be sufficient to multicast a single price

(schedule) or global load control command. For

example, all hot water heaters with an identifier ending with 9, turn off. Such multicast

communications may require different protocols

(or protocol features) than peer-to-peer

protocols, although they are supported in Internet Protocol (IP) and ATM protocols.

Similarly, for many purposes it may be sufficient

to aggregate responses (e.g., anticipated power

demands, or supplies) to a new price schedule

message over large portions of the networks,

rather than reporting individual responses

(anticipated power demands, or supplies). Such

aggregation could conceivably be done within

the communications network, reducing the

number of messages flowing back to the control

center. Similar aggregation strategies are employed in network management systems for

large data communications and tele- communications networks.

Multicast messages could conceivably rely on

broadcast radio communications (e.g., frequency

modulation (FM) subcarrier, cellular radio, radio

paging systems) rather than wired communications to individual sites. One problem with

broadcasting prices is the possibility of discontinuous demand curves, because

customers are likely to use discrete price points

(even number of cents per kilowatt-hour (kWh)).

Packet radio has been used in some

direct-control and automatic meter reading

systems, such as Metricom in Southern

California Edison. Recently, it seems to have

become the favored communications medium for a number of utilities.

New communications architectures may be

hybrids of the above alternatives.

Customer Site Network Protocols

Communication protocols for use within a customer site (residence or commercial building)

have recently been the subject of contention.

Most automated residences today employ the

X-10 protocol, which relies on a frequency

modulated power line carrier communications

with a simple command protocol. More recently

there have been two major new contenders: the

CEBus protocol proposed by the Electrical Industry Association, and the LONWORKS

protocol developed by Echelon Corporation,

Motorola and Toshiba. These new protocols are much more powerful and versatile than X-10.

CEBus has lacked an integrated implementation

in integrated circuits - relying on vendor software

implementation on microcontrollers. There have

been some problems with interoperability.

Motorola and Toshiba provide integrated circuits which implement the LONWORKS protocol. This

offers cheap, interoperable implementations.

Both CEBus and LONWORKS will operate over

a variety of communications media including

twisted pair wires, power lines, radio, infrared,

optical fiber, coax, etc.

43
A third protocol, BACnet (Building Automation

and Control Network), is being developed by the

American Society of Heating, Refrigeration, and

Air Conditioning Engineers (ASHRAE) with

assistance from NIST (the National Institute of

Standards and Technology). The BACnet

protocol also runs across a variety of media. It is targeted primarily at HVAC (heating, ventilating

and air conditioning) and lighting controls for commercial buildings. BACnet protocol

specification, standardization and adoption has

(thus far) trailed CEBus and LONWORKS.

Connmunications Media

Utilities (electric, gas, water) have made

increasing use of radio frequency wireless

communications systems for automatic meter

reading, and have sought RF spectrum

allocations for this purpose. The economic logic

here is that wireless systems require less

investment in infrastructure. However, RF

spectrum is a finite and increasingly important

resource. Arguably, one might wish to consider

reserving (or at least favor) use of the RF

spectrum for applications, e.g., mobile phones,

which require wireless communications. The

deployment of the Nil to households would

obviate the need for the use of RF spectrum for

this purpose.

At present utilities employ (or are testing) a wide

variety of media for utility customer

communications: fiber optics, standard phone

lines, UHFA/HF radio, long haul power line carrier, short haul power line carrier, coaxial

cable, and even satellite communications for remote areas. At present phone lines, and

power line carrier are the most heavily used

media.

Distributed Systems Architecture

Distributed systems architectures (DSA) are concerned with establishing a framework and the

rules for coordinating the harmonious operation

of all the components of a distributed system. In particular, a DSA must provide for building and

operating distributed applications. For energy

supply and demand management, DSAs must

provide for distributed intra-utility, inter-utility,

and utility-customer applications. The Open

Software Foundation's (OSF) Distributed

Computing Environment (DCE) and the Object

Management Group's (OMG) Common Object

Request Broker are DSAs which provide the

features typical of modern DSAs. These

features are: A model of distributed parallel

computation — Most systems today

employ explicit message passing models of

computation. DCE's model is based on the

remote procedure call (RPC) and uses

threads to achieve parallelism; CORBA's

model is one of cooperating (potentially

remote) objects. Both DCE and CORBA are biased toward synchronous operation, but

contain features which allow for asynchronous operation.

A security model — A security model

provides for controlled access to resources

(data) and specifies how data is protected

during transmission. This Is included in DCE.

An authentication model — Such a model

specifies how one authenticates users, and

messages, i.e., establishes the identity of users and the origin of messages. The

Kerberos authentication model is included in DCE.

Naming model — This is concerned with

unambiguously identifying resources in a

distributed system, e.g., how names are mapped to addresses, name-address

resolution, etc. This is included in DCE.

File services — This is concerned with how

remote files are accessed over the network

and may include features such as operations on logical volumes, synchronization,

replication and protection of resources. The

Distributed File System (DFS), based on the

Andrew File System, is scheduled for inclusion in DCE this year.

Symmetry of computations — Ideally,

both the asymmetric client-server model and

the symmetric peer-to-peer model should be

supported. DCE is based on an asymmetric

44
(RPC) model (but with tools for symmetric

operation) whereas CORBA is based on a symmetric model (with tools for asymmetric

operation).

Clock synchronization — Global

synchronization of clocks should be

maintained among the distributed nodes.

This is part of DCE.

Resource discovery — Processes must be

able to find out what resources are available on the network and where they are located. Such a mechanism, the Dynamic Invocation

Interface, is part of CORBA.

There is considerable effort in both the research

and commercial sectors being addressed to the

specification, development, deployment, testing of such distributed system architectures. In addition to the vendor-based OSF and OMG

standards efforts there are competing proprietary

proposals (e.g., OLE by Microsoft). It would be

advantageous if the electric utility industry could

avail themselves of a distributed system

architecture already under development.

There is also a perceived need to define a

utility-customer gateway protocol, so as to decouple the communications and control architecture within a residence/commercial

building from the distributed systems

architecture employed by the utility.

Database Management

There are already a myriad of databases used in the operation of an electric utility, especially a disaggregated utility. Utilities need to know

about their own operations (generation,

transmission and distribution), the status of

nearby utilities or independent power producers

with whom it trades power, and its current and

anticipated power demand. Some of these are described below.

These may be classified into databases which

describe the physical structure of the utility (engineering drawings), those which describe

the electrical structure (schematics), and

electrical status of all of the utility equipment,

those which describe the thermal status of

equipment (e.g., boilers, power lines), those

which describe the status of reservoirs, and

hydro-power facilities, and those which describe

fuel inventories, scheduled maintenance and

refueling.

Utilities need to maintain real-time databases of

prices for both power generation and

transmission services. With increased access to the transmission grid by independent power

producers such price (and capacity) databases

will grow increasingly voluminous. Utilities also

need to maintain databases of the current,

anticipated, and historical (for billing) electrical loads. Billing/service status databases are used

both for accounting and to dispatch staff to connect/disconnect service.

Real-time weather and hydrological databases

are used to forecast loads, plan emergency

responses to outages, and constrain generation

activities which depend on hydro-power or

cooling water. Pollutant databases,

encompassing pollutant emission limits (current,

forecast, purchasable), and plant pollutant

emissions (NO^, SO2, particulate, radioactivity,

cooling discharge) are used in conjunction with

weather databases to plan generation operations

which are constrained by air or water pollution

regulations.

Maintenance operations require databases

which record spare equipment stocks, repair

vehicle and crew availabilities and locations.

Physical security of the utility plant requires

real-time databases of intrusion, fire, and flood detectors.

Typically, even within a single utility, the

aforementioned data are maintained in separate

databases for real-time electrical status (SCADA

systems), equipment and network topology

(facilities management database), and the billing,

tariff and customer information (business

database). Often there will be many more

databases, partitioned either functionally,

geographically, or institutionally (e.g., independent power producers).

The multiplicity of databases, many of which

may be maintained by individual power

4&
generation facilities, industrial users, interconnected utilities, independent power

generators or transmission facility operators

suggested that utilities confront major problems

in the integration of heterogeneous databases.

This is currently an active area of development

among utilities.

In addition to generic database management

systems (DBMS) standards efforts (e.g., SQL

and RDA) by vendor groups, national and

international bodies there are efforts directed

specifically at the standardization of spatial data

query. There is an effort (the National Spatial

Data Infrastructure program) in the federal

government to improve the availability, accuracy,

and access to spatial information concerning the

United States. Such spatial data is of particular

interest to public policy debates, taxation, public

administration, and disaster response activities.

Utilities are also major users of spatial data, for

facilities planning, facilities management,

maintenance, and emergency response.

DBMS issues to be addressed include:

m Choice of data models — What data

model(s) will be used for these databases?

relational, network, object-oriented?

Query languages — Will all of the

databases support a structural query

language?

n Schema integration (and standardization?) — How will the various schemas

of the individual databases be integrated?

Will some or all of the schemas be

standardized?

H Transaction management — How will transactions affecting multiple databases be

coordinated? Will the database systems all support 2-phase commit protocols?

Replication — How will databases be

replicated to assure high reliability?

Data exchange formats — In what

format(s) will data be exchanged?

Real-time data management —

Commercial real-time databases are virtually

nonexistent. How will these be designed?

Who will implement and support them? (At

present two telecommunications equipment

vendors, have these under development.

Existing power control systems rely on ad

hoc software.)

Active database management — Network,

price, and load monitoring applications all seem prime candidates for active database

management systems, in which state

transitions trigger rule invocations to respond

to changes in the environment. The

specification, design, implementation, and

programming of such active DBMSs is currently an active research area, with

limited commercial products appearing. Is this a suitable technology for power control

systems? Can one reliatjiy program such

rule systems for this class of application?

Applications Integration

Standardized applications program interfaces are needed for utility industry inter-operability.

Such API's require not only agreement on

distributed system architectures and/or database access protocols, but more extensive standardized specifications of database schemas, and

operation semantics, e.g., the definition,

implementation, and testing of standardized

objects and methods similar to efforts currently

underway in the healthcare informatics industry.

Methods for specifying the interactions between

applications are needed. Typically, real-time

performance constraints must be met.

j Network Administration |

f

Electric utilities operating large tele- communication networks have two network

administration problems — the

telecommunications network and the power

network. The problems are similar

and raise the question of whether

communications network administration

protocols and software systems could be

profitably adapted for use in administering the

power network.

46
In either case, the networks envisioned are

'

potentially huge encompassing a number of

nodes at least equal to the number of separate

residences or perhaps even the number of major appliances (plus electric autos), if each

had a separate controller. Since many

appliances already include microprocessor

controls this quite likely.

Total network sizes for the United States may

easily reach into the realm of 100 million to a

billion nodes. Even a single utility, such as

Pacific Gas & Electric, might have ten million nodes. As the price of microprocessors and

power electronics declines, disposable electronic

ballasts in compact fluorescent light bulbs are

already available. One could even conceive of

individually addressable light fixtures (e.g.,

fluorescent ballasts in office buildings).

Communications Security

The primary concern with respect to communication security for electric utility operation is phmarily authentication, rather than

privacy (but see below). Authentication issues

arise both for enforcement of contractual

obligations, prevention of meter tampering

(power theft) and, perhaps most importantly, to prevent unauthorized interventions in the

operation of the power network; i.e., by terrorists,

warring states, criminals, or unscrupulous

competitors. Electric utility facilities have been

favorite targets for terrorists, rebels, and (most

recently) for the United States Air Force in Iraq

during the Gulf War.

Thus far, this does not seem to have been a

salient concern of utilities, presumably, because

many utilities presently rely on private dedicated

communications networks. If utilities were to rely on public communications networks, e.g., the

Internet, they would be much more exposed to security threats to their communications. Hence,

such communications security issues will have to be effectively addressed, if utility usage of public

communications networks is to become widely

adopted.

Thus, it would be prudent to provide some type

of digital signature for at least some of the

communications. Digital signatures provide for authentication of communications and

nonrepudiation of messages (e.g., contracts).

Digital signatures are commercially available,

e.g., from RSA Data Security, Inc., but the

National Institute of Standards and Technology

(NIST) has recently adopted a different digital

signature algorithm (the Digital Signature

Standard (DSS)). While these issues do not seem unique to electric power utilities, they are

essential to the success of the applications

discussed here.

Concerns over physical security of utility installations (transmission, generation,

distribution) at which utility communications will be co-located has caused some in the electric

utility industry to question the practicality of

third-party communication vendors.

A related problem concerns the possibility of tampering with the meter to falsify the power

usage reports, i.e., theft of electrical power.

Improved power distribution automation should

facilitate detection of some power diversions.

Some means of assuring the integrity of the

meter and its software are needed.

Communications privacy for electric power

communications traffic would be desirable to prevent exposure of residence occupancy (to burglars) or industrial power usage (to competitors). At present this does not seem a major concern. However, such concerns are

likely to grow over time, so that eventually

encryption of utility-customer communications

may be necessary.

Comnnunications Reliability

Electric utility operations place stringent

demands on the reliability of the communications

systems. Concern over the reliability of public

communications networks has led some electric

utilities to build private communications

networks. However, public communications

networks have been increasing their connectivity

(and thus reliability in the face of line and switch

failures). Hence, their have been suggestions

that commercial communications vendors may

be able to offer better (or more inexpensive)
reliability than private utility communications

networks. In any case, the ability to use public

networks in the event of utility communications

network failures would offer improved reliability. Such considerations argue in favor of the use of

open standard communications protocols which can operate over public communications

networks when expedient.

The most demanding utility communications

applications are those relating to active

transmission systems controls, e.g., flexible AC

transmission systems (FACTS), where remote

solid-state switches must be operated within a

fraction of a cycle (less than 16 ms). This

requires low-latency, high bandwidth, highly

reliable and highly secure communications

network facilities. Utilities have built their own

communications networks because of skepticism

that public networks would provide requisite

response time, bandwidth, reliability and

security.

Weather Telemetry, Forecasts

A major driver for electric power loads is the

weather, especially air temperature and

humidity. Nearly all utilities in the continental

United States have summer peak loads caused

by air conditioning loads in response to hot,

possibly humid weather. Some electric utilities have winter peaks that may be induced by

exceptionally cold weather.

Furthermore, as utilities come to rely more on

solar and wind power, detailed forecasting of

insolation and wind velocities become

increasingly important. Customers who use solar

heating (space, or hot water) with electric utility grid backup may present weather dependent

loads.

Thermal pollution regulations limit the allowable

temperatures in water bodies into which cooling

water is discharged. Since this may constrain

generator operations, such water temperatures

must therefore be monitored. Anticipated air pollutant levels may dictate power dispatching

rules favoring the use of cleaner (natural gas vs.

coal-fired) power plants.

Finally, utilities need to know ambient air temperatures to correctly model temperature

behavior of transmission lines and limit power

flows so as to prevent overheating.

Thus, utilities are increasingly concerned with

obtaining local weather forecasts. They may also care about weather forecasts for neighboring,

inter-connected utilities if they participate in power pools. Hence, weather information and

forecasts must be acquired and integrated into the power dispatch planning.

If one is using thermal storage (of either heat or

cold) in buildings to reduce peak power

demands, then the building energy management

and control systems will want to know weather

forecasts. Thus, if an exceptionally hot day is anticipated, the building EMCS might cool the

building further than normal the night before, to lessen the peak cooling power requirement.

Obviously, such strategies constrain the tenant comfort tolerances on building air temperature.

Finally, lighting detection and reporting networks

are important to utilities for outage detection and

power restoration. The EPRI-sponsored lightning

detection network could be ported to the Nil.

Research and Development Agenda

Research, development, and demonstration

projects will (in many cases) be conducted by

collaborations of academic institutions, DOE

national laboratories, vendors of power and

building energy control systems, utilities, and

electrical equipment and appliance

manufacturers. This section addresses which of

those projects might be appropriate for Federal

Government funding, who are the appropriate

players, and what each of their roles should be.

Types of Research

The following types of research will be needed to support the evolution of Nil applications for electric power supply and demand:

Theoretical research on economic and

regulatory policies and their impact

(including wholesale power markets,

48
transmission access and pricing, real-time

pricing, distributed renewable power

generation, energy storage), computational

methods for economic dispatch of power,

load analysis, unit commitment, power

system security analysis, fault diagnosis,

real-time control, etc. Much of this work

could be conducted in academia.

Institutions such as University of California

Berkeley, Cornell, University of Illinois, University of Wisconsin, Harvard, and others

have established some expertise in this area. Some research also could be

conducted in DOE national laboratories.

Simulations, prototype software —

construction of prototype software and

simulations to evaluate various policies, control strategies, etc. Simulations could

help establish the feasibility of spinning reserve reductions via rapidly interruptible loads. This work could be conducted in academia, DOE national labs, or possibly by

power control system vendors.

Testbed construction and large scale

infrastructure design — potential role for Bonneville Power Administration, Western

Area Power Administration and the

Tennessee Valley Authority

Prototype development of improved

electrical sensors, power control devices

and ICs

Standardization and prototype

development of variable pricing

electricity meters

Standardization and prototype

development of intelligent appliance

controllers

Demonstration projects: both technology

demonstrations and market research

demonstrations. Technology

demonstration would demonstrate to utilities and their customers that the technology

exists and works reliably. Market research _ demonstrations would be used to establish

price responses of peak power demands, to establish customer demand for

priority-of-service, i.e., service reliability.

Demonstration projects would likely be

conducted by consortia of national labs,

power control system and equipment

vendors, utilities, and utility customers.

Commercial Office Building Demonstrations

Large commercial customers with existing

EMCSs appear to be attractive sites for demonstration projects. These customers have

sufficient economic incentives to be interested,

and they already have experience with

installation and operation of energy management

and control systems. The proposed trials may

only involve some additional communications

equipment and software. It is quite possible that computer systems upgrades may be needed -

still a relatively small expense. Many of these

EMCSs have energy demand management

features which could be combined with real time

pricing tariffs and communications protocols.

Attempts to demonstrate the economic viability

of augmented thermal storage must confront the

substantial equipment expense involved in adding thermal storage facilities to buildings.

Hence, it is advantageous to identify commercial

buildings which already have the augmented

thermal storage facilities for inclusion in demonstration projects.

The U.S. General Services Administration owns

and operates large numbers of commercial office buildings in large cities throughout the United

States. It is possible that they may be amenable

to some of the demonstration projects. It is also

possible that DOE national laboratories, with

large buildings, may be candidate demonstration

sites. Many federally owned buildings have

EMCSs which could be adapted to energy

demand management and real-time pricing

response. - . >•

Measurement of Long Run Price Response

A key issue in assessing the potential impact

and establishing appropriate design parameters

for real-time load management is the estimation

of price responses for time-of-use and

priority-of-service (interruptible) services.

49
Typical, short term demonstration projects will generally only establish short run price

responses, i.e., those for which changes in electrical demand which can be accomplished by

rescheduling (or curtailing) activities which

generate power demands, or through other steps

which require minimal capital investments.

However, many of the benefits to be obtained

from time-of-use or priority-of-service pricing

may require significant capital investments, e.g., thermal storage facilities, very efficient appliances and HVAC equipment, smart

controllers for buildings or appliances which

shift loads to off-peak periods or permit selective

interruptibility, better building insulation or thermal design, etc. Furthermore, in many cases

the improved capital equipment such as smart or very efficient appliances may not yet be

available at reasonable costs. Thus short term

demonstration experiments may seriously

underestimate long run price responses.

Consider that the widespread adoption of

two-tier TOU pricing of electricity in Europe has

led to the widespread adoption of appliances

(washers, dryers, etc.) with setback timers,

which are not available in the United States. Europeans also have purchased large numbers

of front-loading washers (much more energy and

water efficient) which have only recently become

widely available for household use in the United

States.

Thus, for the purpose of long run price response

estimation, it is important to offer power

customers the opportunity to install improved

capital equipment at the prices which are expected to exist upon mass production. This

would presumably require some sort of subsidies

for the design, development, and pilot production

of this equipment where it does not yet exist. (DOE'S Energy Efficiency program supports both

R&D and standards development in this area.)

Furthermore, most consumers only replace

capital equipment (appliances) upon failure, or moving residences. Thus, evidence of long run

price response of power demand due to acquisition of improved appliances and air conditioning equipment is likely to accumulate

slowly as appliances and HVAC equipment fails and is replaced.

To accurately understand the long run price

responses due to changes in building designs,

the proposed pricing policies (and improved

capital equipment) would have to be available at the time of building design, and equipment

specification.

All of this suggests that experiments to accurately estimate long run price responses will probably be larger, more difficult and more

expensive than simply installing better telecommunications and metering devices in a

small number of households or buildings.

Experimental Design

The naive approach to estimating the impact of

NII/RTP on electricity demand is to select a

residential neighborhood, install the improved

communications and real-time pricing tariffs and

compute the difference between before and after peak and aggregate electric consumption.

National estimates are then obtained by linear extrapolation to the entire population of

residences.

Such an approach is prone to errors as we have

seen earlier (in the Section on Direct Economic

Impacts). First, before and after measurements

of demand can be affected by confounding

variables such as the weather, economic

conditions, the adoption of more efficient appliances, etc. Two approaches exist to control

for such confounding effects. One way is to estimate regression equations which incorporate

the effects of the confounding variables.

Separate equations can be estimated for both

conventional and the experimental regimes. Note

that this requires that the investigator specify the

parametric form of the dependence of demand

on the confounding variables.

Another alternative, which does not require

parametric models, is to use matched pair

sampling of similar pairs of residences, and then

randomly assign one residence of each pair to the experimental regime. The effects of the

experimental program can be estimated from the

differences between the matched pairs of residences. Such matched pairs sampling

readily permit us to remove the effects of

50
weather, or universal adoption of more efficient appliance technology.

Extrapolation to the entire United States requires a regression model for confounding variables,

and knowledge of their distribution over the

entire United States (e.g., by national samples).

Alternatively, stratified samples of residences

(e.g., on residence type, size, age, household

size and income, geographic region) could be

used and then linearly scaled to the entire United

States population. As we have seen,

extrapolating from a small homogeneous

residential neighborhood to the entire United

States will not produce accurate results. Finally,

in estimating the impact on aggregate peak

loads, one must account for the covariance (or lack thereof) of peak electric demands (e.g., due

to weather) over a utility service region.

Similar considerations apply to estimation of the

impact of NII/RTP on commercial sector demand. A corollary of these concerns over

experimental design is that more detailed

surveys of national residential and commercial

energy use will be required to establish the basis

for extrapolation.

Estimation of Long-run Price Responses

As noted earlier, estimation of long term pnce

responses for peak power demand is particularly

difficult, in part because it may require the

availability novel capital equipment at mass

production prices, and in part because capital

equipment decisions are usually made slowly, often only made when existing equipment fails, consumers move or remodel. Thus effective

demonstration projects may require the provision

of subsidized smart, efficient appliances. This

may be problematic both in terms of cost, and

the ability to provide a sufficient selection of appliance models.

Experiments in assessing long run price

responses might be conducted via conditional

sampling - enlisting the assistance of appliance

vendors, building and remodeling contractors in a city to present consumers who were replacing

appliances, remodeling or building with the

option to participate in the experimental program

by possibly purchasing experimental appliances,

etc., and obtaining time-of-use, real-time, or service priority-based electricity tariffs. Given

estimates of rates of appliance replacement,

remodeling, and construction, the decisions of

those subjects in the experiment could be

extrapolated to estimate aggregate long run

price responses. The advantage of such an approach is that installation of communications

and advanced metering devices would only be

required of those households which were

replacing some of their appliances.

An alternative approach to estimating long run

price responses in the commercial and industrial sectors are engineering economic analyses. The

idea would be taken to collect data on a sample

of the commercial (and perhaps industrial)

building inventory — building size, shape,

orientation, HVAC equipment, sensors, control systems, thermostat settings, lighting equipment

and operations, weather patterns. Given putative

price schedules (either TOU or RTP), interest

rates, and (possibly) rental market demand

forecasts, one might then employ engineering

models of equipment and building performance

to calculate alternative heating/cooling

schedules, or capital equipment upgrades which

would minimize the expected combined energy

and capital costs of operating the buildings. With

a properly designed sample, such calculations

could be extrapolated to the entire U.S. economy. Such computations assume that the

building operators are fully informed (about the costs of alternative technologies) and rational. Such assumptions are more appropriate to the

operators of large buildings than individuals. Even so, one must consider the impact of rental/lease contracts in which responsibilities for electric power costs and HVAC and lighting

equipment diverge.

Similar sorts of engineering economic analyses

could be used to attempt to forecast changes in the design and equipment of new commercial

construction. The combined electric power

demands of existing commercial building

inventories and projected new construction could

thus be used to construct aggregate power

demand estimates, and thus determine projected

savings.

51
Regulatory and Standards Issues to be

Addressed

What regulatory policies and standards

would be most effective in promoting the

adoption of these technologies should they

be undertaken? in power system regulatory

policies? in communications, meter

standards? in electrical and HVAC

equipment and appliance standards? in building codes and mortgage regulations? in software and communications standards?

and in standardized power contracts?

What organizations (public and private) are most appropriate and effective for the

development of standards and regulatory

policies? What role should various federal

agencies (DOE, EPA, FERC, NSF, NIST)

play in this process: funding regulatory

studies, writing draft legislation and

standards, funding demonstration projects of

proposed standards.

How can electric utilities contribute to achieving universal telecommunications

access? Do electric utilities have adequate

legal authority to build public

telecommunications facilities? Should they?

Conclusions

Improved information infrastructure together with

regulatory and pricing reforms will permit more

competitive and efficient markets for electric power, improved capital utilization of electrical capital equipment, energy conservation, and

reduced operating costs for electric utilities. The

savings which will accrue from energy sector

applications of the Nil could make substantial

contributions to the cost of deploying the Nil. Electric utilities are potentially major

telecommunication vendors.

Institutional regimes can be improved by funding

research in pricing, regulatory policy, and control

policies to support regulatory reform, and by

regulatory reform of pricing and access for electric power generation, transmission, and

distribution, and (possibly) permitting electric

utility marketing of telecommunication services.

Information infrastructure issues arise from the

increased demands for interoperability, security,

etc., generated by more competitive power

markets and more efficient pricing policies (e.g.,

variable service level and real-time pricing). The

Federal Government can support research into the technical issues. It can also help to promote

adoption of suitable communications, database,

and equipment standards. Such standards

promotion could take the form technical and

financial support (e.g., via NIST), by use of federal procurements, national appliance

standards and building codes, or various

subsidies to encourage early adoption.

In addition to theoretical research and prototype

development and testing, federal assistance in the funding, design, conduct and evaluation of

substantial demonstration projects would be

useful to convince utilities, appliance vendors,

public utility commissions, and consumers of the

availability, reliability, and economic utility of

these technologies. Carefully designed studies

of the economic, energy, and environmental

impacts of demonstration projects are needed to support national impact projections which will shape national policymaking.

Finally, one must anticipate that more

competitive power markets, real-time pricing,

and role of electric energy applications in underwriting the Nil may have some adverse

impacts on income distribution, differential accessibility of the Nil in poorer neighborhoods,

and increased resistance and evasion by electric

utilities to environmental regulations.

Compensatory government actions may be

necessary.

References

Flood, J., Carmichael, L. Void, P., "Automated

Building Control and Real-Time Pricing: From : Inception to Results," Proceedings of the EPRI

Innovative Pricing Conference, Feb. 1994

Hogan, W., "Contract Networks for Electric Power

Transmission," Journal of Regulatory Economics, vol. 4, 1992, pp. 211-242.

52
Oren, Shmuel S., Smith, Stephan A., Service

Opportunities for Electric Utilities: Creating

Differentiated Products, Kluwer Academic

Publishers 1993.

Raji, Reza S., "Smart Networks for Control," IEEE

Spectmrn, vol. 31, no. 6, June 1994, pp. 49-53.

Rivkin, Steven R., The Power View System:

Two-Way Communications for Electric Utility Applications, Edison Electric Institute, 1994

Tabors, R.D., 'Transmission System Management

and Pricing: New Paradigms and International Comparisons," IEEE Transactions on Power

Systems, vol. 9, no. 4, Feb. 1994, pp. 206-214,

Wacker, David A., The Complete Guide to Home

Automation, Bettenway Books, 1993

Improving Transportation:

The National Information Infrastructure and

Intelligent Transportation Systems

DRAFT FOR PUBLIC COMMENT

"It is the policy of the United States to develop a National Intermodal Transportation

System that is economically efficient and environmentally sound, provides the

foundation for the Nation to compete in the global economy, and will move people

and goods in an energy efficient manner

The National Intermodal Transportation System shall consist of all forms of

transportation in a unified, interconnected manner, including the transportation

systems of the future, to reduce energy consumption and air pollution while

promoting economic development and supporting the Nation's preeminent position

in international commerce.

Intermodal Surface Transportation Efficiency Act of 1991

PART I: What Is the Application

Arena?

The U.S. transportation systenn is among the

most extensive in the world. It is a massive

enterprise that accounts for over 15 percent of the Gross Domestic Product. The physical

transportation system infrastructure is valued at $2.4 trillion and includes nearly 6,437,200

kilometers (km) of highways and roads; more

than 402,325 km of rail and rapid transit lines; 305,767 km of petroleum pipelines; 41 ,842 km of navigable watenA/ays; and over 2,000

commercial airports, seaports, and intermodal

terminals. This infrastructure is used by some

200 million cars, trucks, and buses; over a

million trolleys, locomotives, and passenger and

freight railcars; some 35,000 commercial

vessels, ferries, and barges; and 300,000 civil aircraft (DoT, 1994).

Impressive as it is, the U.S. transportation

system faces significant challenges in serving

the future mobility needs of the nation that are

closely linked to America's economic vitality and

competitiveness. The competitive forces

unleashed by transportation deregulation over

the past two decades, coupled with tight fiscal constraints and growing environmental impact awareness and sensitivity, have created strong

incentives for lean and efficient transportation

rather than system expansion. Enhancing the

performance of the existing transportation

system infrastructure increasingly is viewed as

the preferred option, and, at times, the only one when physical expansion is impractical.

Overlaying the existing transportation

infrastructure with a complementary information

infrastructure could dramatically improve

transportation service, cost, safety, and

efficiency, while lessening adverse

environmental impacts. Emerging electronic

information systems and communication

technologies are providing new ways for operators to improve transportation system

performance, and enabling travelers and

shippers to make informed transportation

choices. Secretary of Transportation Federico

55
Pena envisions a society infused with

information systems that will connect all modes

of transportation into a cohesive system and also

link transportation as a vital part of the National

Information Infrastructure (Nil). (Pena, 1994)

Potential transportation applications of the Nil have several intrinsic distinctions. Often

dispersed, "real-time" information elements and

potentially vast mobile user populations are

involved. Static information resources that characterize various location, status, condition,

capacity, safety, and performance attributes of

the nation's vast transportation enterprise

constitute extremely large data sets. And last but not least, safety critical command-andcontrol applications, such as in air traffic control must be ultra reliable and secure to be

trustworthy.

National and Public Benefits

The majority of national and public benefits of

transportation applications of the Nil will be

manifested in terms of safety and efficiency. Future transportation visions foresee a host of

potential applications for the emerging Nil that could provide vastly enhanced access to vital information when and where it is needed to support informed choices.

U.S. transportation systems lead the world in terms of safety. Yet transportation remains a

significant health hazard, especially for young

adults and children. Each year, more than

40,000 persons are fatally injured and another 5

million suffer lesser injuries in traffic accidents, at an additional annual cost of $70 billion to the

nation's economy. Nearly $15 billion is spent

annually on health care related to transportation

accidents. (DoT, 1994)

Congestion plagues the transportation system,

particularly in urban areas and along major

intercity traffic corridors. Seventy percent of

urban freeways are severely congested during

rush hours; 23 major airports experience over 20,000 hours of flight delay each year; and both

passenger and freight trains are coping with

excessive demand. The annual cost of

congestion to the nation in lost productivity alone

is over $1 00 billion, exclusive of the costs of

wasted fuel and environmental damage. Beyond

its direct impact on regional economic activities,

congestion also limits opportunities for U.S.

Industries to access and serve national and

International markets. (DoT, 1994)

Nil applications are envisioned that could

significantly enhance transportation efficiency;

particularly for public transit, intercity rail, and

commercial motor carriers and airline services.

Collectively, these reflect a trend toward an

"intelligent" transportation system.

An "intelligent" transportation system is one that provides the information needed to enable

informed decisions by transportation planners,

managers, users, and operators alike. It is one

in which system operators and users share

information and cooperate to enhance system

performance, efficiency, capability, and user

satisfaction. It is one in which mobility is enhanced by information systems that help

make affordable transportation accessible to all Americans, especially the elderly and the

mobility impaired. It is one that provides efficient transportation of people and goods, with the

attendant environmental and energy

conservation benefits. , , ;

Envisioned "intelligent" transportation system

innovations include:

Traffic management systems that monitor

traffic situations, detect incidents, meter

traffic flows, and issue "travel-cast" information based on actual conditions

rather than on forecasts based on static schedules and/or historical patterns.

Traveler information systems linked to multiple information sources (TV, radio,

personal computers, information kiosks,

telephones, hand-held devices, and others)

that provide information needed to make

informed choices about whether to travel,

when to go, and traffic and weather status

information, as well as transportation

alternatives, terminals and access points,

schedules, costs, and timetables.

56
Fleet management information systems that enable motor freight, emergency vehicle,

public transit, airlines, maritime operators,

and hazardous material transporters to continuously track, monitor status, and

communicate with mobile fleets as needed

to provide responsive customer services.

On-board electronic navigation and guidance

devices that can receive radionavigation

signals and supplemental information

needed to determine efficient routes,

safeguard against vehicle collisions, and

assist in guiding vehicles along intended

pathways or trajectories.

In addition to real-time data for operational

decisions, "intelligent" transportation systems will provide information needed to facilitate and

enhance strategic policy decisions. A new

generation of "smart" infrastructure that can

monitor traffic volumes, loads, accidents, and

physical conditions is assumed. Examples of

systems include those that provide information

to:

Enable safety officials to sort through

massive databases and spot safety risks or

incipient hazards.

Enable transportation decision makers to effectively plan long-range transportation

system infrastructure improvements and to formulate sound transportation policies.

Implement various management systems to track and improve public sector pavement,

bridge, safety, congestion, public transit, and

intermodal system performance.

Public and Private Roles

Transportation in the United States involves both

public sector and private industry participants.

With some exceptions, the public sector provides

transportation infrastructure, whereas private

parties control the production and operation of

vehicles and transportation services. Exceptions

include public transit operations, which have

shifted predominantly to the public domain, and

railroads and pipelines, which have a tradition of private ownership and operation.

Developing and deploying Nil transportation

applications will entail unprecedented levels of

cooperation among public sector agencies and

private organizations. The Federal Government

has an important, but not the only, role to play. It

will be necessary to achieve the cooperation of transportation system users: Federal, State, and

local Government agencies; research and

academic institutions; and private sector

transportation providers.

The U.S. Department of Transportation (DoT) is committed to providing national leadership in developing transportation applications of the Nil.

It plans to work with other federal agencies and

other public and private stakeholders to achieve consensus on a national system framework for

"intelligent" transportation systems. It will foster

unifying system standards to ensure

compatibility and appropriate interfaces among

transportation applications and with other Nil applications. The DoT also intends to fund

research, development, demonstrations, field operational tests, and deployments of IVHS and

other information and communications

applications of the Nil. (DoT, 1992)

As discussed elsewhere in this document,

telecommuting is a growing trend that holds

significant implications for transportation.

Although addressed in another application paper, the potential for telecommuting to impact

fijture travel patterns and traffic conditions is acknowledged. As is the ability of intelligent

transportation systems to enable workers to choose whether to venture to the office or to telecommute from home on particular days.

The federal effort is to be complemented by

state and local government efforts to assess needs and plan implementation strategies, and

by private sector initiatives to identify and pursue

commercial opportunities. The market

opportunities associated with various emerging

intelligent transportation systems will be upwards

of $200 billion through 2011, based solely on

private (85%) and public sector (15%)

expenditures for highway and transit applications. (IVHS America, 1992)

57
PART II: Where Are We Now?

Currently, the transportation information

infrastructure varies widely. Aviation information

systems are at the forefront of modern

technology, yet in comparison other forms of

transportation lag behind.

United States aviation information and

communication technology is unsurpassed. Air

traffic is continuously monitored and traffic situation and weather condition information is provided to aviators before they take-off, during

flight, and as they land. Flight plans and status are filed and amended electronically. Composite

air traffic situation information is generated by

the FAA and shared with airlines on a minute-tominute basis. Flight arrival and departure

information is readily available via various

communications channels. U.S. airline computer

reservation and scheduling systems are legendary in terms of size, complexity, and

effectiveness as marketing weapons.

The advantages of advanced information

technologies recently have begun to be actively

sought in other transportation domains, most

notably by overnight delivery services which are

able to inform shippers and receivers as to where shipments are and when deliveries have

been made. As in overnight package delivery,

traditional motor, rail, and marine freight

companies are applying information and

communication technologies to enhance

transportation operations and to provide

customers with information about the status of

shipments in transit. Intermodal shipping

companies also are developing information

technology to afford customers with unified marine, rail, and truck shipment tracking services

to complement the "just-in-time" logistics

requirements associated with "lean

manufacturing" in which information on materiel

in transit is used to minimize on-site inventories.

However, surface transportation information

infrastructure within the public domain is sparse

and often dated. Federal cutbacks in transportation research and development in the

1980's, coupled with priority needs to maintain

and rehabilitate existing facilities, resulted in few

noticeable advances during that period. European and Japanese advanced vehicle and

highway systems initiatives begun during the late 1980's served to rekindle public and private U.S.

interest in advanced surface transportation

systems.

With few exceptions highway travelers and

public transit users have limited access to current information about travel options, costs,

schedule / travel time, and traffic conditions.

Knowledge is gained through static signs and

schedules, radio broadcasts. Citizens Band radio

chatter, and through encounters with travel delays and missed connections due to various

conditions, often known to authorities yet not

publicly communicated. Notably, the growth of

mobile cellular telephony has given rise to rapid

detection and reporting of traffic incidents by

motorists or others at the scene, yet outlets for dispensing this information are relatively

unchanged.

Federal Goals

Under the leadership of Secretary Federico

Pefia the DoT has established a number of s- strategic goals to accelerate innovative

transportation applications of advanced

information and communication technologies.

The overall vision is for greater situational awareness among transportation system users

regarding travel conditions and options, both

before and while traveling. The vision also

includes the ability to communicate with vehicles,

people and goods anywhere within the

transportation system, leading to enhanced

productivity and user satisfaction.

Strategic DoT goals and objectives include:

Accelerating applications research and

development. In addition to sustaining world

leadership in aviation-related information

technologies, applications of information

systems and communications technology in surface transportation are being accelerated

through the Intelligent Vehicle-Highway

Systems (IVHS) program.

58
Fostering compatibility and interoperability. A

systems architecture framework is being

developed for IVHS, including applicable

linkages to aviation, marine, and pipeline

applications, as well as the overall Nil.

Establishing transportation-specific Nil components. The DoT is working with other

agencies and user groups to address the

particular information and communications

needs of transportation applications. Efforts are underway to determine suitable means

for augmenting the accuracy and integrity of

GPS (global positioning system) radionavigation services. A radio spectrum

allocation has been obtained for IVHS

purposes.

Establishing navigation and positioning

services. The DoT is working with other

federal agencies and user groups to encourage widespread use of the Global

Positioning Service (GPS). For applications

requiring additional accuracy or integrity (i.e., validation signals), GPS augmentation

systems are being advanced by the U.S. Coast Guard and the Federal Aviation

Administration (FAA). Augmented GPS

services are planned for the mid-1 990's.

Conducting field trials, and technology

demonstrations. As a part of its renewed

research and technology emphasis, the DoT

is actively sponsoring field trials and

technology demonstrations in operational

settings. From aviation weather information

systems to harbor traffic management

systems to highway safety and warning

systems to public transit information kiosks,

DoT agencies are seeking out new and

improved ways to provide safe and efficient transportation services.

Stimulating private initiatives. In partnership

with the Advanced Research Projects

Agency, NASA, the National Science

Foundation, the Department of Commerce,

and the Department of Energy, the DoT is participating in the Technology

Reinvestment Project (TRP). Likewise, DoT

is collaborating with the Department of

Commerce in its Advanced Technology

Program.

Four transportation related projects have

been awarded within the TRP Information

Infrastructure focus area. These focus on: automated train control, computer vision for

toll enforcement, wireless sensors, and

communications systems for mobile

applications.

The ATP program has funded projects to advance foundational technologies needed

for transportation applications. These

include projects in: fiber-optic computer

communications, flat panel displays, digital

video and image processing technologies,

wireless communications, "talk-touch-type" user interfaces, and autonomous vehicle

navigation.

National Science and Tecfinology Council

Through the Information Infrastructure for Transportation Subcommittee of the National

Science and Technology Council Interagency

Coordinating Committee on Transportation R&D,

the DoT is promoting the coordination of

transportation-related research throughout the

Federal Government. In its initial April 1994

report the Interagency Coordinating Committee

determined that there is a pressing need for R&D leading to an information infrastructure that overlays the transportation infrastructure. The

committee, and the DoT, believe that overlaying

the transportation infrastructure with a

information infrastructure may hold greater

promise for improving safety, capacity, and

efficiency than reconstruction or renewal of physical facilities and infrastructure. Top

priorities identified in the Committee report are:

Transportation applications of advanced

information, communication, and navigation

technologies.

Intelligent Vehicle Highway System (IVHS)

technologies and services.

59
Next-generation air traffic control.

Improved weather forecasting and reporting.

The DoT is providing technical leadership and

guidance to ensure national compatibility among

transportation applications of the Nil. It also is working with other federal agencies, such as the

National Telecommunications and Information

Administration (NTIA) and the Federal

Communications Commission (FCC), to ensure

suitable spectrum allocations and frequencies

are available for transportation applications,

nationwide.

Status of Nil Applications

Transportation applications of the Nil abound.

Opportunities for intelligent transportation

systems are especially attractive. These involve

the use of information technologies to sense

current traffic conditions, spot incidents, and

provide transportation system operators and

users with information needed to act responsibly

given prevailing circumstances. A number of

such applications are outlined below.

Intelligent Vehicle Highway Systems (IVHS)

IVHS apply information and communication

technologies to surface transportation needs.

The IVHS program focuses on developing and

deploying user services that are defined based

on the benefits that users will receive. Various

user services are intended to improve safety,

enhance mobility, and reduce environmental

impacts. IVHS concepts for creating safer, better informed travelers include the following:

Pre-trip travel information systems that will allow travelers to access and choose from

available transportation options. Advanced

traveler information systems will provide

information on public transit routes and

schedules, traffic conditions, and weather

information to people at home, work, and

other sites where trips originate. With such

information, travelers can select the best

departure time, transportation mode, and

route.

En-route information services that provide

driver advisories about traffic conditions,

accidents, and weather conditions. These

include in-vehicle signing systems that will provide drivers with information similar to that provided by roadside signs today.

Route guidance, navigation and information

systems that provide simple instructions on how to reach desired destinations and/or

traveler services along the way.

Traveler services information systems that provide information on travel services and

facilities such as the location, operating

hours, and availability of lodging, food, fuel, parking, motor vehicle repair, towing,

medical, and emergency services.

Ride-matching and reservation information

services that provide real-time ride-matching

information to users in their homes, offices, or other locations.

Incident management information systems

that enables officials to quickly identify and

respond to traffic incidents to minimize any

associated congestion and delay.

Fleet management systems that provide two- way mobile communication between vehicles

and dispatch centers, enabling the status of a

vehicle, its cargo, and its operator to be

monitored remotely.

Electronic credentials that permit motor

carriers to purchase annual or temporary

operating credentials via computer link, eliminating burdensome paperwork and

reducing processing time for states and

trucking firms alike.

About 60 cooperative field tests of IVHS services are being planned or conducted in various parts

of the country. Field test proposals are solicited by the Federal Highway Administration (FHWA)

on behalf of participating DoT agencies. Several

illustrative examples are outlined below, along

with a complementary effort that has arisen

outside of the federal IVHS program. A list of

60
field tests is published annually. (DoT, March

1994).

TraveTek was an initial project sponsored by

the FHWA. Through the cooperation of the

City of Orlando, the Florida Department of

Transportation, General Motors, the

American Automobile Association, FHWA,

and the National Highway Traffic Safety

Administration, people living in or visiting the

Orlando area had the opportunity to rent cars equipped to provide information on routing,

traffic conditions, and hotels, restaurants and

other travel destinations in the area.

In Boston, a Smart Traveler field test was

undertaken to assess public acceptance and

the potential impacts of providing current

information on highway and transit travel conditions via telephone. Through the

cooperative efforts of the FHWA, the

Massachusetts Highway Department and

local radio and television stations which

helped promote public awareness of the trial service, SmartRoute Systems was able to demonstrate an ability to influence traveler decisions through its innovative audiotext

system that provides up-to-the-minute

information on specific travel routes. The

1993 test generated a 97% user satisfaction

rating and was extended for further evaluation. Smart Traveler can be accessed

by calling (617) 374-1234.

The "Advantage 1-75" field test provides a

testbed for commercial vehicle operations

technologies that can increase efficiency and

improve safety. Trucks equipped with

transponders can use electronic credentials

to travel on any segment along the 3,540 km

length of the Interstate 75 Ontario to Florida

corridor at mainline speeds, with no more

than one stop at any truck weight or

regulatory enforcement station along the way.

Separate from the federal IVHS program,

Maxwell Laboratories and the California

Department of Transportation (Caltrans) have

teamed to provide the public an opportunity to access real-time traffic information via the

Internet World Wide Web. Up-to-the-minute

freeway speeds, accident reports and

construction closures are provided both as a

graphical display superimposed on a San

Diego freeway map and as a text listing. The

display depicts decreasing congestion

severity in red, yellow, and green.

Instructions are available via Internetmail

request at: traffic_info@scubed.com. (SCubed, 1994)

Advanced Public Transportation Systems

Public transit networks have the potential to benefit greatly from the use of information

technologies. As part of the DoT IVHS initiative, the Federal Transit Administration seeks to improve public transportation through the use of

advanced information systems and

communications technology. Application

concepts include:

Smart vehicle technology that integrates

vehicle-based systems to improve fleet planning, scheduling, and operations. By

using real-time information collected from

automatic vehicle location (AVL), toll collection, passenger counting, load sensing,

and on-board vehicle diagnostic sensors

linked to a control center via communications

systems, smart vehicles will be able to provide accurate, real-time vehicle

information to both operations personnel and

customers. Field tests are currently under

way at Baltimore, Portland, Denver, and

Dallas using vehicle location technologies.

Smart traveler technology for providing travel information to customers before they make

their travel decisions. Smart traveler technology will provide real-time travel information through the use of technologies

such as smart cards, digital maps,

information kiosks, microcomputers, cable

television, and audiotext systems. With access to information on traffic congestion,

route scheduling, and mode availability,

customers will be better able to choose travel situations best suited to their needs. Field tests are under way in Texas, Washington,

California, Minnesota, North Carolina, and

Virginia to evaluate the use of traveler information systems.

61
Smart intermodal systems for creating a

virtual Intermodal transportation system by

linking different transportation modes into an

integrated information network. By sharing

traffic, scheduling, fare, and payment data,

independent agencies can coordinate and

integrate their systems to create an overall transportation information management

system. Customers can then use this system

to conveniently access travel information

from one central source. Field operational

tests are being conducted in Michigan,

Illinois, and California to assess the use of

integrated information systems such as

central travel information and computerassisted fleet dispatch and control.

National Airspace Applications

Air traffic management has evolved over more

than half a century and represents the enabling

infrastructure for today's air commerce. As the next century nears, there are significant

advancements being implemented based on the

viability of advanced technologies for information

processing, communications, and navigation—to a large extent enabled by satellites. Applications

of information technologies that are foreseen for aviation include:

A significant increase in "direct" flight paths,

enabled by wide area surveillance with

automated conflict resolution.

New approaches to the collection and fusion

of weather data from many sources, including

widely dispersed surface-based and mobile sensors on-board aircraft.

Timely transmission of enhanced weather

information to traffic control centers and to

pilots in the cockpit.

Improved processing and distribution of flight arrival and departure data when flights are delayed due to weather or other factors. The

availability of this data will aid travelers in coping with delays.

Access to regulatory information, including

graphical data, could be facilitated through

the Nil. A safe, fast, and efficient aviation

system is due in part to the existence of and

adherence to a vast set of operating

regulations. Increasingly, these are being

made available in electronic form to foster user awareness and compliance.

A national capability for transmitting data on

aircraft conditions, maintenance needs, and

problems to awaiting ground crews is anticipated

Waterways Management

Waterways management, including marine

navigation and vessel traffic services, is a

potential Nil application area. These services

will require an information system architecture

that supports highly reliable, real-time, wireless

communications. Many opportunities exist:

A wealth of user information resides in shoreside databases that can be made available to the public. Notices to mariners, electronic

charts and their updates, weather, currents,

hazards, and situational displays all would

benefit from an on-demand capability.

For vessel traffic services, the maritime

counterpart to air traffic control, the Nil can

provide standardized interfaces and

transmission protocols for common use by

international and domestic marine carriers. Users must view such Nil interfaces as an

unobtrusive service for managing maritime

traffic in all weather conditions.

Vessel traffic services can effectively reduce

ship collisions, rammings, and groundings in high-density harbors through automated,

continuous position reports, with return data

communications to the vessel bridge.

Current voice capabilities are inadequate.

Verification of required vessel operating

equipment for port entry can be performed

automatically and forwarded to all other

possible ports of entry, thereby significantly

enhancing port safety.

62
Sea lanes can be monitored by automated

surveillance from satellite-based position

reports. Currently, vessels have no knowledge of the position of other vessels on

the high seas until radar contact is made.

Other marine potential applications of the Nil include:

An improved capability for coordinating the

emergency response to a marine disaster by

having current information on the nature of

the spill and available response resources.

Oil spill response can greatly benefit from an

improved, real-time data system capability.

United States Coast Guard command-andcontrol across all its mission areas would be

facilitated by a highly reliable information

architecture that provides interoperability

among Coast Guard and other Government

assets. Security and integrity of the

information must be preserved to eliminate

unfriendly threats aimed at disrupting or

infiltrating the information process.

Enhanced search and rescue missions based

on automated, continuous, identified position

reports from ships on the high seas. This

would ensure the consistency and reliability of voluntary location reports that now are

transmitted sporadically via voice

communications.

Advanced Train Control Systems

Recent train collisions have put a spotlight on

technologies that provide positive train separation. The National Transportation Safety

Board believes automated train control systems

could avert some of the 200 deadly train collisions each year. (Washington Post, 1994)

Today, train control is provided to varying

degrees by the individual railroads; there is no

national-level train control similar to aviation's air

traffic control. Throughout much of the U.S.

trains operate "in the dark." Train status information is usually only available through

radio communications between train operators

and central control.

Over the past several years, the rail industry has

pursued Advanced Train Control Systems

(ATCS) that apply digital radio techniques,

automated location systems, vehicle sensor

systems, and automated control processors to the integrated, centralized control of rail operations. Using satellites or ground navigation

and communications to locate trains with

extreme precision, dispatchers can control train movement and speed to ensure adequate train separation.

ATCS could benefit railroad transportation in a number of ways, illustrative benefits are:

Increased safety, by providing warnings of oncoming trains on the track.

Enhanced productivity, by increasing rail system throughput without the need for massive infrastructure investment.

Improved train performance and reduced

cycle-time and maintenance costs.

Elimination of thousands of miles of

expensive tower signaling, wiring, and

telephones by replacement with radio data

links to rail traffic control centers.

Despite these benefits, high costs have hindered

the application of ATCS technologies. Before

making the decision to invest, railcarriers are now testing ATCS feasibility and evaluating

costs.

Under TRP program, the San Francisco Bay

Area Rapid Transit District (BART) and a

regional technology alliance, made up of Hughes

Aircraft and Morrison-Knudsen, will demonstrate

an advanced radio-based control system for mass transit trains. The DoT Federal Transit

Administration (FTA), along with the Research

and Special Programs Administration's (RSPA)

Voipe Center will oversee the $39 million program to apply military tracking and

communications technology for reducing rail transit headways, increasing capacity and

safety, and lowering costs.
Intermodal Transportation

An important application of information

technologies is to facilitate seamless intermodal

movement of passengers and goods throughout

the total transportation system encompassing

highway, rail, air, and waterway networks. Key

information technologies for intermodal

transportation include:

Smart Card Electronic Payment. Smart cards

provide a common electronic payment

medium that can be used for all modes and

functions such as parking fees, tolls, fares, or congestion pricing.

Electronic Data Interchange (EDI). EDI

standards enable information and data

transfers between computer systems used by

transportation providers. Intermodal

applications of EDI include invoicing and bills of lading, shipping and order taking,

electronic load tendering, and personnel

assignment.

Automated Equipment Identification (AEI).

AEI involves the use of transponders and

tags to identify transportation equipment

(railcars, trailers, containers), which can be

conveyed electronically to rail carriers,

truckers, intermodal marketing agents,

shippers, and other parties involved in intermodal activities such as automated

customs clearance.

Automated cargo tracking. Leading firms in the package freight industry are fully automated, such that customers can order

pick-ups, produce bar-coded labels, and track

progress from their own facilities. For

instance, Federal Express PowershipTM

cargo tracking system software, enables

customers to obtain status updates on their shipments via computer link.

Fuel Management Systems. These monitor

fuel consumption and inventories and

conduct daily reconciliations that can signal

leaks in fuel storage systems or excessive

vehicle fuel consumption.

Presently, the seven largest ocean carriers are working toward a common system that can be

used to expedite interline and intermodal

transfers. Similarly, railroads are pursuing EDI

and related technologies that can enable

electronic exchange of shipment and billing

Information among some 500 railroads in the

United States and corresponding groups of

railroads in Canada and Mexico.

Transportation Security

Cargo theft is estimated by the National Cargo

Security Council to cost $10 billion per year. Today, information developed on cargo theft around the country is collected and retained

locally. Despite huge losses, there is no

nationwide system for reporting cargo theft and

sharing information among law enforcement

agencies and industry.

New tracking and surveillance technologies can

also be used for the security of the traveling

public. A tiny alerting device can be given a

person entering a large parking lot with which he

or she can instantly alert a mobile security

vehicle of a problem. Technology is being

developed by industry that will enable the

alerting device to be "pinpointed," a video camera targeted to photograph the scene, and

near-by security forces to be alerted to the

situation. Advanced security technologies can

be applied to ensure the safety and security of

public transportation patrons as well.

Defense Transportation and Logistics

Closely linked to civilian transportation uses of

the Nil are many current and planned defense

transportation and logistics applications. A

recent study postulated the structure of a 21stcentury transportation and logistics information

infrastructure for the military, as part of an

overall Defense Information Infrastructure (DM).

A compelling desire of the military is to make

efficient use of scarce transportation assets. To

be effective, the military must operate efficiently

in peacetime, yet be able to expand its peacetime transportation and logistics

capabilities to meet a variety of possible crisis

64
levels. Thus, the military relies extensively on

commercial transportation systems in times of

peace and crisis. To do so, it must be able to command-and-control both its military and

commercial transportation assets in a unified manner. This requires information on the status and capacity of military and commercial

transportation assets.

The defense transportation community and the

DoT are working together with the commercial

transportation industry to address military

transportation applications of the Nil. The DoT

Voipe National Transportation Systems Center Is the Executive Agent for the National Defense

Transportation Association's Technology

Committee that is to facilitate unified in-transit

visibility capabilities, information systems

interfaces and advanced transportation systems

technology concepts.

As envisioned, the DM will improve current

military transportation and logistics. It also will make possible new functions that currently are so difficult, expensive, or time-consuming, they

remain virtually nonexistent. Examples include:

Faster deployment planning, using up-to-date

movement requirements and transport

availability data. The presence of weather

and geographical data servers within the Dll

will enable the generation of realistic plans.

The ability to track transportation assets,

troops and cargo worldwide. Satellite navigation and communication technology is making global "in-transit-visibility" a reality for an increasing portion of the military and

civilian transport fleets.

On-line access to information, such as

weather, geographical charts, political status,

and worldwide location of U.S. and allied transportation and logistics assets.

Transportation Infornnation Resources

Transportation information used for policy

analysis, planning, and business management . constitutes a significant and important body of

data. The mission of the recently established

DoT Bureau of Transportation Statistics (BTS) is to ensure that information for making informed

transportation decisions is gathered, processed,

and made publicly available.

These information resources are essential for making decisions on a variety of topics ranging

from infrastructure investments to safety

regulations. Moreover, these resources are vital to the private industries that manufacture

vehicles, build infrastructure, and market

transportation services. Both the private and

public sectors are moving rapidly to collect, store, and communicate "static" transportation

information in digital form—not only to reduce

costs, but to improve the quality of data needed

for decisions.

A significant amount of the information used by

Metropolitan Planning Organizations, port

authorities, transit agencies, and state transportation planners is derived locally and not widely disseminated. However, the DoT works

closely with the private sector and with state and

local governments, and is a provider, as well as

a user, of transportation information.

The BTS has a program to evaluate the state of

transportation statistics and to identify

improvements needed to the underlying data and

methods. The BTS maintains the Directory of

Data Sources and annually publishes

Transportation Statistics. These include

descriptions of data acquired by DoT agencies

and priority areas needing BTS attention. Many

BTS information resources are available on CDROM disks.

Some of the major purposes, types of data, most

frequent users, and examples of current information-handling methods are described

below.

Infrastructure Investment Planning ,

Highway and transit programs require

extensive planning and coordination. The

Federal Highway Administration maintains over 30 databases on highway inventory,

conditions, and performance. Basic

performance data from a number of these is
essential for developing highway and transit improvement programs, and, for most

metropolitan areas, air quality and congestion

constraints are adding considerably to the

information needed. Programs and data to support decisions at the local level are not

likely to emerge from commercial software

firms; thus, progress may depend on federal

support.

The national aviation system is operated by

the FAA, by airports, and by the airlines and

aviation sen/ice companies. Both public and

private property-owners are highly dependent

on about 40 aviation activity databases

maintained by the FAA with inputs from its own data systems as well as from airports

and airlines. Air travel route and growth

patterns have had a significant impact on runway additions, hub terminals and

maintenance facility investments, and

airways services.

Rail system modernization is slightly less

dependent on public statistics because the

infrastructure is largely owned by the

railroads. However, the need for better and more up-to-date statistics on the national rail system and commodity flows has increased as the railroads adapt to provide intermodal

services. The Federal Railroad

Administration (FRA) plans to create a geographic information systems that documents characteristics of the national

railroad infrastructure.

Port and intermodal transfer facility

developments are funded both by port

authorities and tenant ocean carrier and

intermodal companies, as well as a wide

variety of freight consolidators and other

private firms that serve international trade. The Maritime Administration (MARAD)

maintains databases on merchant ships,

commerce, port capabilities, intermodal

equipment, and government shipments. This

information consists of data collected by the

U.S. Army Corps of Engineers, the Census

Bureau, and MARAD itself.

Safety and Security

Facility and equipment safety certifications

and regulations are prepared by most U.S.

DoT agencies. Data collected or furnished

to the Department is used internally for

analysis of potential regulations. Data that

is not proprietary or would not compromise

security interests is made available for

further analysis to aircraft and automobile

manufacturers, safety inspectors, law

enforcement agencies, carriers, and the

general public.

Various DoT agencies maintain over 50 safetyrelated and security-related databases, covering

aviation, rail, transit, highway, pipeline, and

marine transportation, and the transportation of

hazardous materials. For example:

The Federal Aviation Administration (FAA)

distributes safety and security information to

airports, flight service stations, medical

examiners, pilots, and aircraft owners using

electronic bulletin boards, local- and wide- area networks, dial-up and dedicated lines,

electronic mail, and printed materials.

Although much of this information is already

in electronic form, the Nil offers the potential

to provide more people with ready access to safety critical information.

The Federal Railroad Administration (FRA) is researching ways to automate track structure surveys used for safety and maintenance

planning purposes. These automated

methods would improve safety by detecting

imminent hazards, while facilitating more

efficient planning of railroad maintenance

activities.

The National Highway Traffic Safety

Administration (NHTSA) maintains 1 1 databases containing over 6 million new records

each year. Text, data, and video information on crash test results and motor vehicle safety

could be provided to researchers, the motor

vehicle industry, educational institutions, and

66
the public. In the long term, the NHTSA

plans to form working relationships with

researchers and industry and to establish

data links with law enforcement and other

public safety agencies.

Enterprise Management Information

Market analysis and planning is the key to survival in transportation industries. A large

share of information processing is devoted to data collection and modeling. Census data

and DoT statistics are important sources for estimating market opportunities and providing consumers information. The DoT Research

and Special Programs Administration's Office

of Aviation Information, for instance,

publishes data on air travel between major

cities, as well as "on-time" performance

results often referenced in commercial airline advertisements.

Fleet and freight management systems rely on current inventories of rolling stock,

containers, and handling equipment,

including location, age, condition, and

maintenance data. Railroads and motor

carriers are developing systems to increase

transportation asset utilization rates. Airlines maintain and report detailed information on

aircraft condition and use it in maintenance

management practices and to support

airworthiness certification. And, in virtually

every industry segment, inventory

management is becoming highly automated

and dependent on nationwide and global

communications.

Human resources management systems vary

in sophistication between small trucking firms

and large international airlines. One common

characteristic of the transportation industry,

however, is that its employees are highly

mobile. As with their airplanes, railcars, and

tractors, it is important for carriers to know

the location and status of their people. Safety

rules on operator rest periods impose data

and communications requirements on these

human resources management systems,

which could be served through the Nil.

PART III: Where Do We Want to Be?

The United States has one of the most efficient and effective transportation systems in the world.

But improvements are possible in a number of areas. For example, there are some sectors of society—the elderly, the poor, the disabled,

those living in remote rural areas and in inner

cities—that do not have access to the same

range and selection of transportation options as do others. Fortunately, there is reason for optimism that this and other issues can be

addressed through new applications of

information technologies.

Long-Term Goals

For the long-term future, DoT envisions a

smarter, faster, safer, and more accessible

transportation system functioning as a truly

integrated, intermodal service covering air, water, road, rail, and transit. Such a system

would benefit the productivity and efficiency of

the nation's economy and help to mitigate

transportation's energy and environmental

impacts. Among the specific goals for the

transportation system of the future are:

Improved Safety

Fewer accidents and collisions by

transportation vehicles.

Far fewer deaths and injuries as a result of

transportation activities.

Faster response time by law enforcement,

medical, fire, and rescue services to accidents and other emergency situations.

Enhanced security for passengers and

goods.

Increased Efficiency

Reduced incidence and economic cost of

traffic congestion.

67
Expanded capacity of the existing

transportation infrastructure through costeffective improvements.

Fev\/er delays caused by congestion or the

lack of effective intermodal transfer services.

More cost-effective technological advances

and investments in transportation

infrastructure, vehicles and support services.

Energy and Environmental Mitigation

Reduced energy consumption per unit of

travel through greater efficiency and by

avoiding waste.

Reduced emissions into the atmosphere,

water, and land per unit of travel.

Limited disruption of existing communities

and land-use patterns.

Safer movements of hazardous materials and

other commodities that pose a threat to public

health or the environment.

Enhanced Productivity

An improved intermodal transportation

system that ties America together.

Lower cost transportation and logistics

services.

H Development and growth of American

companies, particularly defense-related

companies, engaged in transportation

research, manufacturing, and services.

More competitive American exports through

lower transportation costs and improved

delivery.

Expanded Mobility

Improved mobility for Americans with

disabilities.

Better information, both in terms of quality

and quantity, for travelers and shippers.

More transportation options for passenger

travel and freight shipments.

Greater availability of transportation services

to under-served areas.

Short-Term Goals

Accomplishing these long-term goals depends

on reaching first a number of short-term

milestones;

Establishing a consensus on the roles and

responsibilities of participants in the

transportation system—local, state, and

Federal Government organizations; private sector transportation providers; and

transportation users.

Creating an environment in which all groups

and individuals can participate, including new

cooperative ventures to manage portions of

the transportation system.

Reaching acceptable compromises in balancing efficiency, mobility, safety, health,

and environmental consequences.

Agreeing upon a unified overall system

architecture with uniform standards,

procedures, and protocols for system

development, implementation, operation, and

maintenance.

PART IV: How Are We Going to Get

There?

The future of intelligent transportation systems

has yet to come into full view. It is a future that

will be influenced by government efforts to establish an institutional and regulatory

environment that is conducive to innovation. But

the future will be most substantially determined

by transportation system operators and users and their acceptance and willingness to pay for enhanced information services.

Several key questions and issues are subject to debate before ultimate policy decisions can be

reached. Your comments and suggestions are a welcome and important part of the process.

68
Please provide any opinions you have to offer on

the Nil and its potential application in the

intelligent transportation systems.

Questions and Issues to be Addressed

Successful adoption of Nil technologies in the

transportation arena will depend on whether

timely, reliable information and meaningful

services can be provided to transportation users. Moreover, developing Nil applications will challenge government agencies and private

firms to adapt or to create new models for partnership. Institutional, regulatory, and

economic reforms are likely to be needed as

well. DoT already has identified a number of non- technical issues that could either promote

or hinder the development, implementation, or use of transportation applications of the Nil. Several are outlined below, along with issues

and questions for consideration and comment by

interested parties.

Critical Technologies

Early assessments indicate that technological

advances could make intelligent transportation

systems more attractive in terms of cost and

performance, yet note that existing information

and communication technologies are frequently

underutilized due to non technical factors. Do most of the required technologies for

intelligent transportation systems exist? If these

are used elsewhere, what is needed to gain

widespread acceptance in transportation? Are

applications research and technology

demonstrations the most effective means to increase awareness of possibilities and benefits

within the transportation sector? Are key

technologies evident? Should the government

attempt to identify critical technologies or rely

upon the private sector to do so? Are joint

technology initiatives needed in such ares as:

Data fusion technology for combining Global

Positioning System satellite navigation data

with location data from Loran, a terrestrial radio navigation aid, with digital map data,

and with data from a dead reckoning system

to produce accurate information on the

location of buses, trucks, trains, and cars.

Monitoring and control system technology

using digital motion detectors which could

assist human operators monitor numerous

vehicles over a wide metropolitan area.

Spread spectrum communications that make

efficient use of the radio-frequency spectrum

can conserve an already crowded

electromagnetic spectrum. For instance, lowpowered, frequency-hopping devices can

transmit critical transportation information

virtually unnoticed by other users within the

spectrum.

Mobile data communication networks that can send emergency, maintenance, toll collection, vehicle identification, weather

advisory, congestion, and automated vehicle

location data to and from vehicles.

Information security technology for ensuring

that information systems and data

communications are trustworthy, including

encryption techniques to safeguard critical data.

Wireless packet switching technology to enable error-free transmission of data to moving vehicles.

Electronic maps and location equipment,

and associated displays with high contrast and adequate resolution at low cost, in various forms: flat panel, interactive HDTV,

and head-up windshield displays for example.

Smart cards and tags optimally combined for transportation applications such as collecting

tolls on-the-fly, controlling high-occupancyvehicle lanes, providing fare media for bus,

plane, or train tickets, and automatically

activating specialized devices and

transportation services for Americans with

disabilities.

As part of the IVHS program, public outreach

events are being held throughout the country to

solicit public input regarding user service

requirements and applicable technologies. Public

comment on the broader aspects of intelligent

69
transportation systems and data resources is anticipated in response to this paper.

Public/Private Partnership and Roles

The policy intent is that the private sector will build, own, and operate the Nil. The private sector thus is developing, marketing, and

commercializing Nil technologies, products and

services.

Private sector participation in the development of

transportation system applications also is encouraged yet may be impaired by traditional long-standing beliefs that the government is responsible for transportation operations. A

question exists as to what extent government

responsibilities to ensure that Nil meets a broad

range of societal goals, including environmental

quality, equity, and access goals, lay outside the

interests of private companies. The respective

roles of public and private interests are evolving

and will continue to do so for some time. Public

perception as to the limits of public and private

roles will be an important factor.

New forms of public / private partnership are

foreseen. Are there practical models which can

be adapted from other field to support the

cooperative development and deployment of the

Nil and intelligent transportation systems? How

can public and private interests each be

protected in such alliances?

Moreover, the private sector has concerns that

particular activities, especially joint ventures,

could be found to violate antitrust laws. To what

extent should relevant antitrust principles and

laws be modified to avoid inappropriate

hinderance of Nil transportation applications? A

preliminary DoT study concerning IVHS

concluded that modified legislation is not necessary to affect the balance of public

interests and competition safeguards. Do you

agree?

Human Resource Training and Education

Another issue relates to the ability of state and

local transportation departments and transit authorities to hire and retain workers with the

technical and professional skills to manage and

use Nil services, either because of low pay or

hiring restrictions. A study conducted on skills and training requirements for IVHS services

indicated that in the long-term an adequate

supply of trained workers to deploy, operate, and

maintain IVHS user services should be available.

In the interim, DoT is preparing training,

education, and rotation programs for public

agencies. Nonetheless, the capabilities that will be required of future transportation professionals

has yet to be determined precisely. The extent

to which such jobs will be viewed as attractive within the American workforce remains an open

question as well.

Public Outreach and Awareness

Consumers will need to be aware of the Nil and

transportation applications if they are to use,

buy, or fund its development. This paper is an

initial attempt to increase public awareness of

the possibilities. In addition to the public at

large, local public agencies and small private

companies also will require information about

acquiring, accessing, and employing Nil products and services. How can this best be

accomplished? Are current DoT outreach efforts sufficient?

Regulatory and Legal Issues

Although many intelligent transportation system

concepts are intended to enhance safety, these

novel transportation systems raise tort and

liability questions. Highway, air, marine, and rail transportation systems are responsible for moving millions of people and goods. Because

the Nil is in its infancy, it may be too soon to consider legislation or other actions to protect

developers, users, and operators of Nil products

and services from liability risks. The NHTSA is undertaking research to prepare standards that may limit IVHS liability exposure by ensuring the

application of sound engineering principles.

Should extensive field testing of products be

used as a means to ensure safe IVHS design

and operation?

70
Intellectual Property Rights

The issue of intellectual property rights is especially important in cooperative efforts such

as those envisioned in public/private

partnerships for the development of advanced

transportation applications of the Nil. The

private sector is concerned that public sector agencies will want to retain broad rights over Nil technologies and services, thus reducing the

ability to recover pre-development and research

costs, and limiting profits from future sales. At

the same time, public agencies are concerned

that developers will limit access to computer

software codes or other intellectual property

needed to manage, distribute, and operate these

technologies. To what extent are such concerns

premature? Does current Federal patent policy

afford sufficient protection for private sector developers? Are public agency concerns too demanding or unreasonable?

Funding Issues

Installing, operating, and maintaining advanced

technologies will require substantial financial resources that may well exceed the budgets of

public agencies. As a result, Federal, State, and

local agencies may need to identify and develop new funding mechanisms. Are there innovative

options available? To what extent should public

agencies develop investment criteria and

conduct cost-benefit analyses to determine the

most effective investment of limited resources?

Accessibility and Social Equity

Current Administration policy is that the Nil be

accessible to everyone. However, access to some transportation applications of the Nil will be accessible yet determined by a willingness to pay and ability to pay for services, raising concerns of an imbalance in the distribution of

benefits among income groups. Social equity

and access to transportation information is an

important public policy issue yet to be fully resolved. How, and to what extent, should

public agencies determine mechanisms for ensuring equitable access and affordability of technologies and services that are to be

provided with public funds.

Beyond access considerations attributable to economic status, consideration must be given to making transportation applications of the Nil accessible to Americans with disabilities. Thus

special attention to user interface design will be

needed. Such considerations are discussed

elsewhere in this publication, and generally apply

to intelligent transportation systems as well. However, are there special needs and

considerations to be addressed?

Privacy and Security Issues

A wide array of surveillance and monitoring

technologies, including fixed or mobile electronic sensors and video cameras, will be used to provide some intelligent transportation system

services. This raises questions about individual

privacy. Most people want their privacy

protected, yet also expect benefits that are not possible without compromising privacy. To what

extent should the benefits of the Nil transportation applications be clearly shown to outweigh any privacy considerations.

To the extent to which proprietary and/or

sensitive transportation information is to be

transported over the Nil, what mechanisms

should be developed to ensure that information

is protected and that personal anonymity is safeguarded? Is legislation limiting the public

availability of personal identifying data related to transportation information needed? In what

instances should advanced notification, as well as consent, to disclose information to third parties be required?
Environmental and Energy Issues

The Federal Government has numerous policies

to safeguard environmental quality and engender

energy conservation. Environmental

externalities created by Nil technologies and

services are difficult to access with existing

methods and analytical tools. To what extent should the government strive to develop better

analytical tools and to perform field tests to assess the impacts on air, natural resources, and energy use of transportation applications of

the Nil?

Future DoT Involvement

Consistent with its leadership role, the DoT will examine issues critical to Nil and its transportation applications. Development of the

Nil and related transportation applications will entail the following:

Conducting research studies, including data

collection and analysis, computer modeling,

and developing national research and testbed

facilities.

Creating a suitable environment for Nil transportation applications, including studies

and analyses of non technical issues: social,

economic, and legal obstacles and ways to resolve them; cost-benefit studies and impact

analyses; and the definition of the

responsibilities of various participants in the

development, operation, and use of such

systems.

Defining Nil transportation applications and

determining the feasibility of concepts.

Developing Nil transportation applications

with high public benefit but limited commercial potential, as well as systems for which the Government, rather than the

private sector, is a substantial user.

Promoting compatible Nil technologies and

services within multiple jurisdictions of the

public and private sectors.

In summary, DoT agencies will devote

significant resources to Nil related R&D

activities. This alone will not result in the future described herein. That future will require the

unprecedented cooperation, both within DoT and

with other federal agencies, academic

institutions, and private industry. But more

importantly, it will need public support from a

broad cross section of Americans.

References

The National Information Infrastructure: Agenda for Action.

U.S. Department of Transportation. January 1994.

Department of Transportation Strategic Plan.

U.S. Secretary of Transportation Federico Pena. May

23, 1994. "The IVHS future Looks Bright and It's Almost Here." The Washington Times Supplement:

Technology and the New Transportation.

U.S. Department of Transportation. December 18, 1992. Department of Transportation IVHS Strategic

Plan: Report to Congress.

IVHS America. May 20, 1992. Strategic Plan for

Intelligent Vehicle-Highway Systems in the United

States.

U.S. Department of Transportation. March 1994. Department of Transportation's Intelligent Vehicle

Highway Systems Projects.

S-Cubed Division of Maxwell Laboratories. June 21, 1994. Business V\/ire.

Washington Post Article. June 9, 1994. 'Three Trains

Collide in Nebraska; Two dead." As published in the Boston Globe.

72
Promoting Telecommuting: An Application of

the National Information Infrastructure

DRAFT FOR PUBLIC COMMENT

"... Investments in telecommunications infrastructure that facilitate telecommuting

should not only lead to ... transportation benefits, but may also have a synergistic

... effect on other transportation strategies ... required to cope with growing traffic congestion, urban air pollution, and national petroleum dependence (Energy,

Emissions, and Social Consequences of Telecommuting, p. xiii).

PART I: What is the Application

Arena?

Telecommuting has been identified by both the

National Performance Review (NPR) and

President Clinton's Climate Change Action Plan as one solution to accommodate the demand for increased mobility and to enhance worker

satisfaction. Indeed, President Clinton's recent memorandum on expanding family-friendly work

arrangements directs federal agencies to support telecommuting and satellite work

locations throughout the Executive Branch.

Recent government studies also underscore

telecommuting's favorable impact on

transportation, energy, and environmental goals

and the role played by the Nil in furthering these

outcomes.

The question to address, then, is: How can the

Nil help promote and support telecommuting

and, thereby, assist in realizing its ends? The

term telecommuting, as employed in this paper,

refers to a means of performing work away from

the principal office — typically at home or at a nearby telecenter. Home-based telecommuting,

which has been occurring worldwide for more

than 20 years, often requires no more than a

telephone and notepad. Yet, those who work at home often times lack the sophisticated office technology that allows full access to information

and speedy communication.

Driving Forces Behind Telecommuting

Three principal forces drive the public interest in promoting telecommuting; the environment,

economics, and quality of life. In terms of the

environment, many of the nation's metropolitan centers have significant problems meeting

requirements of the Clean Air Act. Other

locations face more moderate air quality hurdles,

but current growth trends pose potential troubles. Beyond its degrading effect on the

environment, over-reliance on the automobile for daily commuting also takes its toll on the earth's

fossil fuel reserves. One way to improve air quality, reduce future environmental risks, and

conserve energy resources is for employers to adopt telecommuting as part of an area-wide

transportation demand management strategy.

Economic forces are no less compelling. In many urban areas, peak-hour traffic is bumperto-bumper for hours every weekday morning and

evening. This snail's pace slows the daily

commute for millions of office workers and for others who make their living, go to school, shop,

or simply visit sites around the city. It also adds

hours to delivery times for commercial vehicles,

all the while introducing large amounts of pollutants into the air we breathe. When traffic is snarled, all economic activity is forced to downshift. Increasingly, employers are

relocating to less congested areas to avoid the

high cost of doing business in downtown

settings. Given the innovations in telecommunications technologies, it is now also

73'
possible to distribute some work to suburban

and rural locations and reduce facilities costs

with minimal loss of productivity.

Telecommuting is one approach to a distributed

workforce and provides the additional benefit of

increased worker productivity. Perhaps more

than any other driving force, changing social

values and more diverse and flexible life style

preferences are having an impact on the

American workplace. Two- and three-hour daily

commutes added to an eight- or nine-hour

workday keep family members apart far too long

for quality relationships to flourish. There is little time to talk about the day's upcoming events at breakfast, help children with homework or discuss problems after school, or explore ideas

for the family's summer trip around the dinner

table. Moreover, there is less and less time or personal energy available to devote to community projects, volunteerism, and other

civic activities. Here again, telecommuting holds

the potential for tipping the scales back in the

direction of more quality time with family and the

community.

Potential Benefits to Society

Telecommuting, which brings work closer to the

employee's residence, can take the form of

working at home or at a nearby telecenter. These flexible workplace arrangements have

demonstrated they can help organizations recruit and retain key personnel, increase accessibility

for all employees, improve office productivity,

increase use of new technology, and reduce

facilities costs. Based on research from other

private sector and public organization

telecommuting experience, benefits to the

employee are likely to include increased job

satisfaction, reduced commuting time and

transportation costs, diminished stress, improved

quality of life, and improved family functioning.

Societal contributions include environmental and

energy conservation, less traffic congestion on

area highways, reduced individual and family

stress, increased civic involvement in local communities, and improved economic

development at local and regional levels.

Telecommuting can also improve customer

satisfaction. The National Performance Review

provides insight into the link between employee

empowerment and customer service. The report

notes that "The Federal Government must ... create a workplace culture in which employees

are trusted to do their best." It also quotes the

Director of Marketing for General Motors as

saying, "... there's a strong correlation between

employee satisfaction and customer satisfaction.

If your employees are unhappy ... about ... the

quality of worklife, they won't worry about

customers {Creating a Government tliat Works

Better and Costs Less, p.85)."

Tile Ctianging Role of Central Cities

There is concern among some in the central

cities that telecommuting and other forms of

distributed work will take jobs and economic

activity away from downtown areas. Some

maintain that this sort of movement simply

exacerbates urban decay and further separates

large segments of our society. Experience

shows that telecommuting programs usually

benefit those who commute in from suburban

and rural areas, rather than workers who reside

in town.

However, many urban dwellers could benefit

equally from reduced transportation costs,

increased flexibility and quality of life considerations. Imagine a "smart Metro stop" in an inner-city community that had high-speed

network access. Such a community asset could serve as a telecommuting center, a residentially

based service node for consumers of public

services, and as a local educational resource for neighborhood youth and families. Even though

inner-city locations may not pose traffic-related

air quality threats, quality of life and community

economic development considerations alone

may warrant such infrastructure investment.

Similarly, remote rural areas that have

traditionally been underserved can also benefit

from connection to an improved National

Information Infrastructure.

\

74
Through interagency, intergovernmental, and

public-private partnerships, multi-purpose

telecenters in "smart" inner-city neighborhoods

and rural communities could also offer a wide

range of telework and teleservice opportunities.

By sharing facility and overhead costs, and

perhaps expertise and other resources, center

participants would gain many of the advantages

of cooperatives and similar joint undertakings.

Moreover, in-town telecenters can accommodate

the increasing numbers of reverse-commuters

who choose to live in pedestrian-friendly urban

neighborhoods but whose work takes them

outside the center city.

Related Policy Initiatives

The National Performance Review (NPR)

recommended that the U.S. General Services

Administration (GSA) and the U.S. Office of Personnel Management (0PM) develop a

legislative proposal to enable flexiplace and

telecommuting arrangements for more federal

employees. It further recommended that the

U.S. Department of Transportation (DoT) create and evaluate telecommuting programs. The

Accompanying Report of the NPR (on

reinventing human resources management)

underscores the role of the Federal Government

as a model employer.

"The Federal Government should be

viewed as a model employer in the

availability and flexibility of quality

worklife programs that emphasize the

tools employees at all levels need to manage their work responsibilities and

personal lives more effectively.

Successful programs will foster interagency and intergovernmental

partnerships, encourage cooperation

between management and employees,

spark collaborative ventures between

public and private organizations, and

bring harmony to the workplace and

community in which they reside."

The federal government can also be an

exemplar of how the modern organization relates

to its customers and to the community in which it

is located. Government agencies can add value

to what state and local officials and others in the

private sector have already initiated. The

federal government can seek to use its presence

in America's communities to facilitate speedy

access to the Nil.

Labor Relations Considerations

Labor unions have raised several concerns

regarding flexiplace arrangements. While unions

have generally been supportive of

telecommuting programs, they caution

employees, stewards, and program advocates to keep an eye on:

the union's continued ability to effectively

represent telecommuters who are not in the • principal workpiace;

equity issues with respect to selection (e.g.,

rank, performance ratings, residence, etc.)

and level of support (e.g., sophistication of equipment, clerical assistance, etc.); return of micro-management procedures and

piecework assignment techniques;

maintenance of Fair Labor Standards Act

provisions (e.g., overtime and premium pay

matters) in remote, unsupervised locations;

home inspections, electronic monitoring, and

other means of invading the worker's

privacy; and

unwarranted efforts to convert career employees to contract personnel.

In keeping with the Administration's labor- management partnership initiatives, the Federal

Government can be a model employer in this regard as well. Union leadership should be

involved early in the process of planning

telecommuting programs and assuring that concerns are addressed effectively throughout

the programs' implementation.

PART II: Where Are We Now?

The First Wave: International Benchmarking

Telecommuting has been underway both here

and abroad for several decades. Millions of

workers worldwide telecommute from home. An

estimated five million Americans telecommute

from home, and indications are that this number

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continues to grow. According to a recent study

by the University of California-Davis, the first formal telecenter was established in 1981 along

the Marne Valley. Planned as a decentralized

job relocation effort, this early attempt at a joint,

public-private undertaking was designed to accommodate 100 employees. The study,

funded by DoT and the California Department of

Transportation (Caltrans), identified variations of

this model, including approximately 60 separate

ventures in a dozen nations. Some were aimed

at slowing the pace of rural to urban migration,

others to promote economic development,

several to take advantage of lower wages and

operating costs, and a growing number targeting

individuals whose assignments could benefit

from a less stressful environment.

The Bank of Montreal initiated its first "floating

office" in 1991. In this arrangement, employees

work out of branch offices, at a client site, or at home using a lap-top computer and remain

available by phone or pager throughout the work

day. The effort has proven successful and has

pioneered in transitioning to a results-oriented

form of supervision. Every effort is made to reduce worker isolation by holding pehodic

briefings and meetings that all employees must

attend. The UC-Davis report indicates the

Canadian banking firm is realizing significant cost savings, improved customer service, and

higher employee cooperation and morale.

In Japan, the private sector has jumped out front

in experimenting with telecommuting

arrangements. These ventures are usually hightech experiments funded by telecommunications

firms, office equipment suppliers, and

construction companies. One center (in Shiki,

just outside Tokyo) evolved to become a job center for women in clerical and secretarial

fields. Some of these opportunities can include

part-time and home-based assignments.

Another Japanese innovation, the "creative

office," combines telecommuting with a resort

setting to help employees recover from fatigue

and to rediscover a creative muse. One such

office is located in Kumamoto, 600 miles from

Tokyo in southwest Japan. During the average

2 week stay, employees perform their normal

tasks of research, planning and market analysis. At the Hokkaido Niseko resort office, workers

reported "...improved creative output, fresh

perspectives, and self-discovery."

Yet another application of telecommuting

technology has been in Sweden through

employment of the "office train." This

experiment began in 1986 and involves as many

as 20 managers working for half-pay during an 80 minute train ride in and out of Stockholm.

Also in 1986, Credit Suisse established fully outfitted telecenters to meet computer specialist

shortages in Basle, Lausanne, Lugano,

Winterthur, and Zug. They also believe their employees will respond favorably to such

benefits as: flexible work schedules, shorter

commuting time, and improved quality of life. In Devon, England, Oakmoor Telecentres Ltd. is marketing modular telecenter units, designed in collaboration with Digital Equipment Co., that range in size from 46 to 76 square meters. Other sites in England offer "telecottages"

designed for computer-based information

services, training, "telebusinesses," or for start- up of new, small businesses.

A more recent phenomenon overseas is the

"community tele-service center." This type

facility differs from most telecottages in that it provides a wider range of support and amenities

and typically includes a full-time manager and

part-time clerical employee. The UC-Davis

study indicates these centers usually offer: "... remote database access, ... fax and electronic

mail, data processing services, consultation on use of services, town meeting facilities, distance

learning facilities video production/editing

equipment and facilities, and facilities to assist

small business formation for information-based

services." The report cites 65 such teleservice centers in operation as of 1990, most located

throughout Scandinavia and some in other

regions as far away as Benin, Sri Lanka, and

Brazil. Much of this development is aimed at stemming the seemingly inexorable movement

from the countryside into congested urban

areas.

The American Experience

In the United States, the first center was

established by Pacific-Bell in 1985. Today, an

76
estimated five million American workers • :>? nationwide use an alternate workplace one or more days a week. Most are found in the private

sector, commonly working at home. Within the

last 5 years, there have been several innovative

telecommuting center experiments in Hawaii,

California, and Washington state. Outside

Honolulu, Hawaii, the State Department of

Transportation has been sponsoring an inter- governmental facility for more than 5 years.

Sixty to seventy-five miles east of Los Angeles,

California, local officials, and some private concerns established a cluster of "telebusiness"

centers. Designed to improve air quality, these

projects were made available to both public and

private organizations. In 1992, the Washington

State Energy Office concluded its 2-year

experiment with a telecommuting center for state employees in the Puget Sound area.

The UC-Davis study includes information on

other telecenter and related projects in California, Washington, Illinois, New York,

Colorado, Kansas, Kentucky, Minnesota, and

North Dakota. They run the gamut of urban,

rural, residential non fixed settings and reflect highly divergent use patterns as well. This first generation of state and local governmentsupported telecommuting centers has pioneered

in basic design issues and has clarified technology, administration, and human relations

considerations. Among other lessons learned

during the first wave, most now agree that it is

critical to:

provide training to all participants

(including supervisors and co-workers);

obtain a long-term commitment from

sponsors;

implement an aggressive marketing

strategy early in the process;

be flexible in understanding and

responding to customer requirements

(technical or otherwise);

diversify the customer base to maximize

financial viability; and

plan for operation of the center with little or no continued subsidy.

While these early telecommuting center projects

have helped clarify some technology and

management issues and have been well

recei ved by participants, none has achieved

financial success. Once an initial subsidy has

run its course, participation drops off. Centers

have either then closed or local government has

stepped in to operate the center and buy more

time. Until recently, almost no effort has been

made to market center services to federal

agencies or their customers, and utilization rates remain too low to keep the pilot sites operating in the black or even at the break-even point.

Again, while successful in many ways, these

pioneering ventures have been characterized by:

limited use of the nation's ever- improving information infrastructure; single-purpose applications (i.e., telework arrangements with little or no

connection to home-based programs); no more than a few facilities in a

metropolitan area;

limited marketing efforts; and

minimal leadership and support from top

management, employee unions, and

elected officials.

Technology Issues

For the most part, existing technology and the

development pace of new technology is adequate for most current telecommuting

requirements. However, technological advances

such as the development of high bandwidth

communications (beyond ISDN) would benefit

existing telecommuting efforts and are

increasingly important as more users and more

diverse applications make demands on the

system. Current levels of telecommuting involve

only a small, narrow portion of our population,

and program focus has been primarily on

workstation relocation. As telecommuting

expands to the more general public and includes more applications (customer services,

telelearning, telemedicine, telelibraries, etc.), technological readiness will be crucial to gaining

widespread acceptance and confidence. Some

nagging issues that have already become

apparent include:

cost of technology for users; geographical and cultural availability of

technology;
user-friendliness of Nil elements; ease of messaging and call-forwarding; ease and speed of converting hard copy to automated form; ease of use and of fax/modems and related software; ease of establishing data linkages from

remote locations; a phone company incompatibilities and cost of

line charges;

full, effective use of videoconferencing

and interactive video technology;

credible data security; and

software compatibility problems.

Private Sector Trends

During the past several years, some large

private firms have begun shifting sizeable

segments of their office workforce - particularly

in sales and financial management - to telecommuting arrangements. In Denver,

Colorado and Charlottesville, Virginia, IBM has

furnished employees with furniture and

equipment to work at home when they are not in the field with customers. On the occasion this telecommuting workforce requires space or support at the principal workplace, IBM makes

available "shared space" in a setting redesigned

for intermittent use. There is a dual business

rationale behind this arrangement: it places the

workforce (e.g., salespersons and customer

representatives) closer to their clients, and it allows the firm to significantly reduce facility costs. A variation on the approach to sharing

office space, is the "virtual office" that AT&T has

been using to downsize its sales office operations. By replacing such offices with

intermittent workstations, AT&T has made this cost-saving transition in New York, Connecticut,

and Massachusetts.

Another phenomenon, "hoteling," was initiated by Ernst & Young in their Chicago accounting

and consulting operation in 1992. This

arrangement is designed to accommodate

employees who spend the majority of their workdays out in the field with clients. To meet

worker needs on in-office days, the firm makes

available a private workstation typically

integrated with space occupied by peers and

related functions. A "hotel coordinator" orchestrates the process of taking reservations,

assigning space, providing office support, and

programming phone numbers. According to the

UC-Davis study, in the first year Ernst & Young

reduced space requirements by 7 percent, and

the company expects to eventually shrink its office space requirements nationwide by 60,960

square meters for a savings of $40 million a

year.

In response to the growing trend of satellite and

other remote work site placement, a new

industry of "executive office suites" has begun to emerge both in the United States and abroad.

Not unlike telecommuting centers, executive

suites typically offer multi-user services such as

shared space, modern equipment and support

staff on an intermittent basis. However, as the

UC-Davis report indicates, the latter are usually

located on prime commercial real estate and

have an upscale image "with rates and amenities

oriented toward the upper management level rather than the rank-and-file worker." A hybrid of

the executive suite, the "Comm Center," a

registered trademark of the Office Technology

Group in Long Beach, California, specializes in providing a wide range of accommodations (at different rates) to the one- or two-person office. Notwithstanding these innovations, American

business has not moved aggressively to make

telecommuting a management option to improve

the bottom line.

Recent Public Sector Activity

In 1992, California Department of Transportation

(Caltrans) launched a new effort in cooperation

with UC-Davis to establish 12 or more small,

neighborhood-based telecommuting centers throughout the state. Augmenting this project is another Caltrans undertaking likely to generate

six or more sites with the California Community

College system. Supported by funding from

DoT's Federal Highway Administration (through

the Intermodal Surface Transportation Efficiency

Act, or ISTEA), the Caltrans sites are expected

to determine the value of new telecommunication

technology as a means of increased mobility,

relieve traffic congestion, conserve energy, and

improve air quality. To this end, Caltrans is

78
partnering with a wide range of local instrumentalities to gain insight into how best to

initiate and administer such efforts. Partners to date include: regional transportation

management authorities, local economic

development offices and redevelopment

agencies, state and county fairs, public school

systems, community college districts, and other

public-private collaborations.

Other states and localities are also continuing to experiment with telecommuting and related information technologies applications. A state and private coalition in Kentucky is attempting to employ high-tech telecommunications to improve access and promote community economic

development in the more remote rural areas of the state. Activities just now getting underway

include: regional telework and teleservice

centers; local kiosk availability; small business

incubator support; distance learning through

interactive video technology; and other

information services to the citizen. Iowa is working with a consortium of federal agencies to explore similar applications for use in a statewide

fiber-optic environment. Planned efforts are

targeting such uses as remote medical

diagnostics for veterans through nodal

communication with regional medical centers,

tax filing and consultation with the Internal Revenue Sen/ice (IRS), benefits counseling and

application with the Social Security

Administration (SSA), and other applications.

In Davis, California, a non profit coalition,

assisted by a Caltrans grant, is working to establish an interactive community computer

network. Called the Davis Community Network,

this local education and information system uses modern telecommunication technology to make

available at modest cost to local residents:

electronic mail, conferencing, forums for public

discussions, bulletin boards (describing city

services and community resources), information

from volunteers, on-line library reference desk,

and many other possibilities. It will also

represent a multi-channel link between the public

and local schools, the public library, city hall, hospitals, and community service organizations.

Beyond these local applications, the community

network provides access to the Internet and to a wide range of distance learning opportunities.

Tied to a telecommuting center, this resource would make it possible for students and other

residents with their own computer and modem to enjoy these benefits.

Federal Initiatives

The Federal Government has been

experimenting with flexible workplace

arrangements and telecommuting for the last 5

years. Between June 1990 and June 1992,

0PM and GSA operated and evaluated a homebased, flexiplace pilot program that included 15

separate agencies and 1,000 participating

employees nationwide. The overwhelming

majority of employees and supervisors judged

flexiplace arrangements to be a desirable

workplace option.

As a result of this pilot effort, 0PM has since

written all federal agencies assuring them of their authority to establish telecommuting programs

and encouraging their use. Both GSA and DoT

have publicly promoted federal agency use of telecommuting as a means of reducing traffic and improving air quality. Agencies that participated in the 2-year pilot project and some

others have also developed and implemented

formal, home-based telecommuting programs.

Moreover, the Departments of Defense (DOD)

and Veterans Affairs (VA) have telecommuting

programs dedicated to persons with disabilities and to reducing the number and duration of

worker compensation cases through prevention

and better management of the re-entry process.

Also, several agencies are considering

telecommuting in conjunction with office space

reduction and workplace reconfiguration efforts.

While nationwide an estimated five million Americans telecommute, there are fewer than

2000 federal employees (0.1 percent of the

workforce) currently participating in telecommuting programs. Most federal

telecommuters work at home one or two days a week and spend the remainder of the work week

at a principal workplace. Presently,

approximately 10 percent of those

telecommuting participate in center-based

programs. Little information has been collected on home-based arrangements since the 2 year

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flexiplace pilot project administered jointly by

0PM and GSA was completed in June 1992.

Also, there is no information system currently in place to gather data on telecommuters by

agency and by air quality nonattainment area.

During the past 2 years, the Congress

appropriated $6 million for GSA to establish pilot

telecommuting centers in outlying areas of the

nation's capital. For use by federal employees

who currently travel long distances between

home and the workplace, each pilot center that has already opened involves an

intergovernmental partnership. In southern

Maryland, GSA's partner is a community college.

In Hagerstown, Maryland, the venture has GSA

partnering with a local consortium that includes a

U.S. Army garrison, the city and county

governments, and the local junior college. A

partnership in Winchester, Virginia relies on the

U.S. Army Corps of Engineers (USACE) in cooperation with the local economic

development commission. The Fredericksburg,

Virginia initiative is led by the area development

corporation, a local government organization

representing the city and four surrounding

counties.

Early in 1994, GSA established three emergency

telecommuting centers in the greater Los

Angeles metropolitan area. In response to the

Northridge earthquake, GSA set up centers to the north and west of the city and is currently

exploring additional sites in the greater

metropolitan area. The emergency centers opened only weeks after the January 17

earthquake. The GSA quickly located available

space, leased and equipped it, and arranged for the provision of necessary administrative and

programmatic support with the local Cooperative

Administrative Support Unit (CASU). One of 49

interagency cooperatives sponsored nationally

by GSA, the Los Angeles CASU is hosted locally

by the IRS and provides a wide range of

administrative support services to area agencies.

Interestingly, it has not only been federal

employees who have benefitted from the

markedly reduced commuting time. Agency

customers are also spared the long trip into downtown Los Angeles to obtain required

services. Thus, at the peak of this year's tax season, taxpayers in the Santa Clarita Valley

could get help from IRS employees at the

Valencia Telecommuting Center only 5 or 10

minutes away. Similarly, veterans could

substitute a tedious drive into west Los Angeles

with a short, pleasant one to the same facility to receive guidance from a Department of VA

benefits counselor.

To build on this well-received start, GSA and the

local CASU are exploring telecenter partnerships

with state and local officials. Some of these

partnerships reinforce efforts initiated by

Caltrans and other local ventures. For example,

the Institute for Local Self-Government has

initiated a "facilities exchange" program that attempts to broker telecommuting space across

jurisdictional boundaries. All these prospective

partnerships make more enterprising use of

existing public assets (e.g., underutilized space,

equipment, human resources), thus reducing the

cost for center participants and their employers.

Some undertakings are also designed to preserve and re-use historic buildings.

PART III: Where Do We Want to Be?

Short-Term Goals

In its first 20 years, "flexitime" has taken on many faces in both the public and private

sectors, including flexible work hours,

compressed work schedules, and other

temporary arrangements to accommodate the

exigencies of contemporary life. Today, for example, it is estimated that 35-40 percent of the

federal civilian workforce "flexes" with some

regularity. Must the parallel "flexiplace"

revolution take an entire generation to gain

currency? In fact, the term telecommuting was

coined here in the United States over 20 years

ago. Will it now take another 20 years for flexiplace arrangements to achieve the utilization rates that flexitime presently enjoys?

The Climate Change Action Plan published just

last year directs the U.S. Environmental

Protection Agency (EPA) and DoT to take a

series of actions designed to promote homebased and center-based telecommuting. These

actions direct that:

80
EPA, in consultation with DoT, issue

guidance to states to take pro- telecommuting measures (e.g.,

reforming local zoning ordinances;

providing employer trip reduction and tax

incentives; and implementing

telecommuting programs for state and

local employees);

DoT encourage states to use ISTEA

funds to initiate or expand

telecommuting programs;

DoT implement a federal telecommuting

pilot project with the goal of getting 1 to 2 percent of federal employees to work

at home at least one day a week; and

DoT, in conjunction with other agencies,

promote part-time, home-based

telecommuting to reduce traffic congestion and promote energy

conservation.

Clearly, the federal government can begin

immediately to demonstrate its leadership and

commitment in this area by serving as a model

employer. The President's memorandum

implementing this recommendation is an

important first step. It directs 0PM and GSA to work with agencies to expand flexible work

arrangements and directs the President's

Management Council (PMC) and the 0MB to provide implementation guidance on these

actions. Accordingly, the Federal Government

could aim to increase federal telecommuting

levels to more than 60,000 employees (3 percent

of the federal workforce) by the end of fiscal year

1997. Serving as a catalyst — particularly if linked with intergovernmental and public-private

partnership arrangements — this short-term

effort would demonstrate the workability and

efficacy of both home-based and center-based

telecommuting and should trigger increased

state and local government and private sector

involvement.

With the endorsement of the PMC, DoT and

GSA should lead an interagency team to plan,

implement and evaluate a 3-year initiative targeting as many as 30 metropolitan areas. Each local undertaking should encourage and

support flexible work arrangements (such as home-based telecommuting) and attempt to establish a network of community-based

telecenters throughout the metropolitan region.

Many centers could provide multiple services

(including support to home-based

telecommuters) with the number of centers

ranging from 12 to 24 per region. Workstations

may also vary from a low of 1 0 or 1 5 for neighborhood settings to as many as 50 or more

at regional centers.

Given the multi-fold purposes of the initiative, other team members should include active

representatives from: 0PM, EPA, DOD, VA, the

Departments of Labor (DOL), Health and Human

Services (HHS), Treasury (TD), Agriculture

(USDA), Interior (DOI), Energy (DOE),

Commerce (DOC), Housing and Urban

Development (HUD), and Education (EDUC); the

U.S. Small Business Administration (SBA), the

Small Agency Council, and national federal labor

unions.

To illustrate the synergistic mission-related

applications made possible in such an

undertaking, consider the desirability of:

the Corporation for National Service

(CNS) funding projects for college

graduates recruited from inner-city or

rural communities to serve as telecenter

administrators or outreach workers in these locations;

VA benefits counselors providing faceto-face services to veterans in a local telecenter; IRS field staff interacting directly with

American taxpayers in their own

communities;

co-located federal, state and\or local program personnel providing one-stop

advice and consultation to recipients of

public assistance programs (e.g., Aid to Families With Dependent Children, Food

Stamps, and Medicaid);

Immigration and Naturalization Service

(INS) or Passport Office staff providing

cultural-friendly assistance to immigrants

in their own neighborhood (perhaps in conjunction with young volunteers or a CNS project);

linkages with local HUD and USDA

"empowerment zone and enterprise

community" efforts, such as: Drug Free

81
Schools and Communities, the Urban

Community Service Program,

Community Initiative Programs, Early

Childhood Development Programs,

Community Development Block Grants,

EDA Public Works Program, and many

others; and

collaboration with Federal Transit

Administration (FTA) "livable communities" projects - particularly

those designed to enhance facilities such as: transit stations, park and ride

lots, and transfer stations; and

coordination with related programs to: improve educational opportunities,

increase access to affordable housing,

enhance job training and employment

efforts, and increase crime prevention at the local level.

Target area selection should be based on four

considerations:

ozone and carbon monoxide nonattainment problems;

potential for improved customer service;

size of the local federal community; and

geographic dispersion.

Thirty metropolitan areas that meet these criteria include:

Atlanta, Georgia

Baltimore, Maryland

H Boston, Massachusetts

Chicago, Illinois Cincinnati, Ohio

Cleveland, Ohio

Dallas-Fort Worth, Texas

Denver, Colorado

Detroit, Michigan

Fresno, California

Houston, Texas

Kansas City, Missouri

Los Angeles, California H Miami, Florida

Minneapolis-St. Paul, Minnesota

Milwaukee, Wisconsin , New Orleans, Louisianna

B Norfolk, Virginia H New York, New York

Philadelphia, Pennsylvania

Phoenix, Arizona

Pittsburgh, Pennsylvania

Portland, Oregon

Raleigh-Durham, North Carolina

Sacramento, California

San Diego, California

San Francisco, California

St. Louis, Missouri

Seattle, Washington

Washington, District of Columbia

Funding support should be sought through

various agency appropriation authorities. It is estimated that at least $50 million will be needed

during FY 1995-97 to spur significant federal

participation in telecenter activities in the short

term. Because agencies have not budgeted for these needs and will require time to re-engineer

their principal office operations, such additional

funding support will determine the extent of

increased telecommuting activity (in both the

public and private sectors) during the next

several years.

Telecommuting as a Reinvention

Laboratory

To reinforce the enterprising nature of this undertaking, the PMC should designate the

project an interagency reinvention laboratory.

During the course of the experiment,

government managers and the PMC should

examine such impediments as:

federal restrictions on intergovernmental

and public-private partnerships;

restrictive interpretation of federal

appropriations law limiting use of funds

for innovative solutions to transportation,

air quality and related problems; and

state and local restrictions on and

disincentives for telecommuting in both

the public and private sectors.

Measures of Success

Outcomes measured in surveys and focus

groups should include:

changes in both home-based and

center-based telecommuting levels in federal, state, and local government

82
organizations and within the private

sector; changes in worker and office productivity;

changes in environmental, energy and

transportation factors (e.g., reduced air pollution, reduced consumption of fossil fuels, reduced congestion on major

roadways, etc.); changes in application of new office technologies;

changes in agency customer service

practices;

changes in citizen access to the national

information infrastructure; and

changes in family and community life having

implications for improved social functioning.

This project also should examine the impact on

inner-city and remote rural community access to

flexible workplace opportunities and to information technology, telecommuter spending

patterns and community involvement, utilization and impact of office technology, office furnishings and ecology, and other related matters. Moreover, the evaluation should be

conducted in collaboration with similar action

research funded by DoT and Caltrans at UCDavis. Lastly, the development of telecommuting centers provides an opportunity

to utilize and evaluate advances in office equipment, furnishings, environments (both

physical and social), and designs. There have

been several recent studies showing productivity

improvements resulting from factors such as

increased ventilation and access to natural light. The project should examine a wide range of

office factors and their relationship to job

performance and quality of work life.

A Vision for the Future

Looking to the future, government officials should consider the following activities and

policies to promote home-based telecommuting

and telecenter growth:

extensive experimentation with distributed

work approaches in the public and private sectors; demonstration projects and research on colocation of federal, state, and local

counterpart staff at multi-purpose resource

centers; experimentation with shared facility

arrangements among federal, state and local agencies to render financially feasible

organization presence in remote rural areas;

tax incentives for employers and individuals

to transition to home-based and/or center- based telecommuting arrangements; more flexible use of existing appropriation

authorities allowing states and localities discretion tailoring the new information

infrastructure; more flexible use of workers compensation

law and regulation to provide alternative

work opportunities to disabled workers (thus

reducing total compensation costs and

bringing workers back into productive

employment);

experimentation with telecenters in supporting neighborhood-based, assistedliving environments for persons with

disabilities or frail elderly Americans; more flexible use of flexitime rules and

procedures to allow employees to benefit

from their own personal peak productivity

periods; and

examination of federal wage laws restricting

work options available for workers and

employers in liability issues.

Some key features and services offered at local centers might include:

computerized access to federal, state and

local job listings, applications and

counseling; social security, health, and

retirement benefits information; and other

public services that can be automated;

One-Stop Capital Shops (OSCS) designed

to target lending and community

development tools to small and minority

businesses in distressed communities and

underserved markets (discussed in Building

Communities: Together, p. 10);

OSCSs located in Empowerment Zones or

Enterprise Communities serving as national

and regional capital distribution points for underserved markets; use as an access point for participatory

democracy initiatives allowing and

encouraging Nil access to participate.

83
attend, monitor governnnent or other civic

activities in distant locations;

customer service/business office facilities for private sector companies (and Incubator

support for small businesses;

computers using pen and voice recognition;

library access (searches, abstracts, consumer info etc.) and access to business

services such as the Commerce Business

Daily or to advice and guidance from DOL's

contracting regulations and requirements;

on-site training for use of all these services;

and

shuttle and messenger services among

centers and between the center and

downtown offices.

Further, local communities might experiment with a mobile version of the multi-purpose center

(e.g., a trailer or "infomobile") for inner-city

neighborhoods. The District of Columbia's Office

of Maternal and Child Health has been using

mobile "Mom" trailers to help improve prenatal

health through outreach and information. The

District is also using roving municipal centers. Local officials could use trailers to provide a

limited version of the full range of teleservices

offered at fixed centers. Some of the

international experiments in this area may have

transferable aspects.

PART IV: How Are We Going to Get

There?

National Telecommuting Project

The principal strategy for promoting this increase

in telecommuting in the short term should rely

heavily on intergovernmental and public-private

partnerships at both the national and local levels. The lead agencies (DoT and GSA) should

establish a national project team (NPT) and

designate sponsors in each metropolitan area to lead local project teams (LPTs). The NPT

should provide field managers with program

guidance, technical support, organizational and

marketing assistance, and oversee and evaluate

project outcomes on behalf of the PMC. The

NPT should coordinate national efforts to foster increased federal employee participation in

agency flexiplace programs and should consult

with national representatives of state and local interest groups (e.g., National Association of

Counties, League of Cities, etc.) and related

private sector organizations (e.g.. Conference

Board, U.S. Chamber of Commerce, etc.) to gain

additional support.

In each target community, local teams should

offer symposia on telecommuting issues and

related programs. Symposia should be directed

to area partnership members and

representatives of other interested organizations.

Moreover, the LPT should develop area-specific

plans in consultation with appropriate federal,

state, and local officials and with private sector groups. At the federal level, this should include:

affected agencies; field managers; Federal

Executive Boards and Associations, and CASUs

(many of which have already begun crossservicing with state and local counterpart

organizations). At the state and local level, contacts should be made with: state agency

officials; municipal leaders; councils of

government; metropolitan planning

ofganizations; state associations of counties;

statewide city management organizations;

empowerment zone and enterprise community

officials; and others with interest and/or

resources. In addition, private sector involvement should be pursued through local chambers of commerce, boards of trade and

other individual firms or groups that wish to make a contribution.

Building on telecommuting projects already

underway in Washington, DC and California and

on other ventures begun even earlier, the team

should seek to expand existing partnerships in these locations and initiate new ventures in other

metropolitan areas. Partnerships could include

shared-use or service arrangements with

community colleges, local government offices,

underutilized state or federal government

facilities (including DoD installations, community

malls, shopping centers and professional

complexes, local utility operations, private

professional, hoteling or business service

centers, state and/or county fairs, regional

economic and technology development councils,

local schools and libraries, and other public and

private community economic development

84
undertakings. It is anticipated that such

partnerships will target underutilized facilities and

make it possible to offer other family and

community-friendly amenities, including service

kiosks, public access to the information highway,

child care, local fitness programs, training, and

distance-learning educational opportunities.

Program emphasis should be on increasing both

work-at-home arrangements and telecenter

utilization, with centers also serving as an office support mechanism for home-based

telecommuters. Support for those working at home could include: coaching, technical

assistance, counseling, and drop-in

administrative support (e.g., laser printer, copier

or fax use; videoconferencing; mailhandling;

etc.). Agency heads should urge senior

managers to encourage home-based

telecommuting and should provide full technical

and administrative support for these

arrangements. Project teams should assure that agencies have access to the latest information

and techniques in this regard and should make

available cross-agency shared support where

needed.

Furthermore, every effort should be made to design centers so that agencies can bring

services closer to their customers (e.g.,

taxpayers, veterans, social security recipients,

farmers, small businesspersons, etc.). As local projects are planned, officials from participating

agencies (at all levels of government) should

have an opportunity to use the telecenter as a

platform for other applications. Given the

Investment in modern telecommunications

technology (e.g., TCP/IP routers, narrowband

and broadband ISDN, ATM/SONET, etc.), multi- purpose use will bring down unit costs for all participants. Such economies of scale can also

make it possible for federal agencies to maintain

service capabilities in suburban and rural areas if only on an intermittent basis (e.g., once or twice a week).

Project planners should consult with local transit authorities to extend bus routes and other

transportation services to new locations. Every

effort should be made to maximize transportation

demand management benefits. Air quality and

energy conservation are, after all, two of the

principal driving forces behind the initiative. Local projects could experiment with making

available clean fuel shuttles and dial-a-ride programs and small, short-range, low cost

electric vehicles for those who cannot walk or

bike between home and the nearby center.

Streamlining Considerations

Employing telecommuting centers as hubs to support increased work-at-home arrangements

will also lower unit costs for the employer. This

will require technical and administrative support

for telecommuters and their supervisors and

related training, marketing and evaluation

activities. As more employees from the same

organization telecommute, an agency or firm can

begin to redesign its principal office for more

intermittent use and generate savings to offset telecommuting participation costs. To this end,

GSA Regional Offices should provide office space planning and reconfiguration assistance to

local federal managers as requested. Local

projects should be encouraged to make such

assistance available to other public and private

employers (possibly through area phone

companies and others in the private sector with

such expertise) as further inducement to make

telecommuting happen in their organizations.

Conclusion

Let us return to our initial question: How can the

Nil help promote and realize the ends of

telecommuting? In the long run, planners and

implementors of Nil applications can continue

the work to which many from across the globe

have already contributed. They can tackle the

remaining technology and management barriers,

experiment with more holistic and synergistic

models, and address outstanding public policy

issues. In the short run, having the Federal

Government lead by example should

demonstrate the multi-fold benefits of

telecommuting and clarify how the new

information infrastructure can be of use.

The proposed 3-year initiative, which builds on

the learning and programmatic successes of

earlier efforts, differs from these pioneering

85
ventures in six strategically significant respects.

The approach makes more extensive use of the

nation's evolving information infrastructure,

thereby rendering center-based and even homebased telecommuting much more user-, employer-, and citizen-friendly. It relies on

multiple Nil applications to create economies of scale and synergism, thus bringing center

services within closer financial reach of

employers and private citizens. This generation

of centers should also provide employers with a

metropolitan areawide network of sizeable,

community-based facilities (not merely one or two small pilot projects). This should make it possible for employers to generate the number

of participants within their organizations to warrant redesign and release of space to actually reduce operating costs. It involves

considerably more extensive and higher level marketing. And, lastly, this initiative requires

significant leadership and support from top

agency management (among others, PMC

members, employee unions, and key elected

officials) at the federal, state, and local levels.

While the central theme of this paper is telecommuting, increased Nil support provides

additional benefits from technology investments.

For example, telecenters hold significant

potential for bringing government services closer

to the public. This will not only eliminate lengthy

commutes for employees, but should enhance

mobility for citizen customers as well. Viewed as

the anchor for a multi-purpose resource facility, a community-based telecenter could include such

applications as:

support for home-based telecommuters;

interagency/intergovernmental service

teams;

interactive customer service kiosks;

drop-in citizen access to the information

superhighway (e.g., electronic bulletin boards, information and referral services, volunteer opportunities,

Internet, and electronic town hall meetings);

teleconferencing and videoconferencing

for both workers and private citizens; health care information, remote medical

diagnostics and other sophisticated

information technology made

increasingly accessible for rural populations;

advanced computer accommodations

that increase access for people with

disabilities; and

a wide range of distance-learning and

related educational opportunities for those in both underserved rural and

inner-city locations.

The longer-term vision for telecommuting should

aim to gain more rapid acceptance of the

concept, introduce distributed work approaches

to a significant cross-section of the American

workforce, and bring public services closer to where government's workers and customers

reside. Using the nation's successful expenence

with flexible work schedules (i.e., flexitime), we

see no reason that flexiplace arrangements

cannot climb to 20 to 30 percent of the workforce

by early in the next decade. Moreover, these

efforts should attempt to reinforce other goals

and values relative to environmental, economic

and societal functioning. Continued emphasis

also should be placed on aiding inner-city and

remote rural area access to the nation's evolving

information infrastructure.

References

Bagley, Michael, Mannering, J., and Mokhtarian, P. Telecommuting Centers and Related Concepts.

Research report, UCD-ITS-RR-94-4. Prepared for the Federal Highway Administration and the California Department of Transportation. March 1994.

Building Communities: Together. The President's Community Enterprise Board. U.S. Department of Housing and Urban Development and U.S. Department of Agriculture. January 1994.

Clinton, President William J. and Gore, Vice

President Albert, Jr. The Climate Change Action Plan. 1993.

Clinton, William J., "Memorandum for the Heads of Executive Departments and Agencies." July 11, 1994.

Energy, Emissions, and Social Consequences of

Telecommuting. U.S. Department of Energy, Office of

Policy, Planning, and Project Evaluation. December

1993.

86
Gordon, Gil. 'Telecommuting Review: The Gordon

Report." May and June 1994.

Gore, Al. Creating a Government that Works Better &

Costs Less: Report of the National Perfonvance

Review. September 1993.

Master, Warren and Joice, W. "Reinventing the Workplace: Interagency Telecommuting Centers." The Public Manager. Fall 1993.

Nilles, Jack. Making Telecommuting Happen. Van

Nostrand Reinhold. Florence, Kentucky. 1994.

Seaman, Michael. Caltrans. Personal interview and

written comments. June 1994.

The Federal Flexible Workplace Pilot Project Workat-Home Component. Final report, PRD-92-15.

Prepared by the U.S. Office of Personnel

Management, Office of Personnel Research and

Development. January 1993.

Thoma, Rich. Telecommuting consultant; personal

interview. June 1994.

Transportation Implications of Telecommuting. U.S. Department of Transportation, April 1993.
>

I

' *

I

1
The Effect of the National Information

Infrastructure (Nil) on Local, State,

and Federal Emergency Management

DRAFT FOR PUBLIC COMMENT

PART I: What is the Application

Arena?

Emergency Management can be defined as —

a public educated on what to do before, during,

and after a disaster to protect ttiemselves, their

families, their homes, and their businesses:

structures located out of harm's way and built according to improved codes; governments and

private organizations with proven effective plans,

necessary resources, and rigorous training for disaster response: and community plans,

prepared in advance, for recovery and

reconstruction after a disaster [1]

As described above, emergency management

deals with the mitigation of, preparation and

training for, response to, and recovery from

disasters. While emergency management

requires many implementation tools, one of the

most critical and ripe for improvement is the use

of information technology to support the efforts of emergency managers. Emergency managers

provide guidance when dealing with many types

of natural or manmade disasters that can cause

devastating loss of life, injury, emotional distress,

and material destruction. When a disaster

strikes, everyone is affected either as a victim, a

survivor, or a member of a relief team. At optimum levels, there would be a combined

effort of Federal, State, and local emergency

management officials working with the public and

phvate sector to return the situation to normal.

Natural disasters can be complex, occurring with a wide range of intensities. Some events are instantaneous and offer no window of warning,

such as the Northridge California earthquake in January 1994. Some offer short windows in which to alert the public to take actions such as

the tornadoes in the Southeast, or the more than

10,000 annual severe thunderstorms. Others

occur less frequently and are typically more

expansive, with some warning time to allow the

public time to prepare. Examples include many

hurricanes, such as Hurricanes Iniki and

Andrew, and the Midwest floods of 1993. Proper

preparation for and response to all emergencies

rely on coordinated efforts. In addition to natural

disasters, each year there is an increase in manmade incidents which can be just as

devastating as natural disasters.

Table 1 is a summary showing the number of

Presidentially declared disasters or emergencies

in Fiscal Year 1993. The table only shows

those disasters which where so devastating that they resulted in a Presidential Declaration. One

storm can cause multiple declarations since they

are declared on a State by State basis. The

actual number of smaller, localized disasters is much higher (obviously, any disaster is major to

its victims). For instance, in 1993, there were

1,173 tornadoes which touched down in the

United States, resulting in 33 deaths.

89
Table 1 . Presidential Declarations by Fiscal Year

Fiscal Year 1989 1990 1991 1992 1993 1994*

Drought 0 0 0 1 1 0

Earthquake 0 0 ; , 1 ; 2

Fire 1 5: 2 11 . 7 ^

\ 2

Flood 14 14 17 , 15 20 2

Human-caused 0 0 0 0 1 0

Hurrican/typhoon 5 2 10 9 2 0

Severe/storms 2 0 1 6 3 14

Snow/Ice 1 3 5 2 18 6

Tornado 7 13 6 8 12 2

Toxic Substances 0 0 0 1 ^ 0 0

Volcano 0 1 0 0 0 0

Totals 30 39 41 55 65 28

* Through 06/22/94

Enhancements to information systems supporting emergency management through the

improvement of the National Information

Infrastructure (Nil) will directly result in saving of

lives, reduction in human suffering, and

monetary savings from a reduction In the impact

of disasters. These enhancements will save the

lives of both the emergency responders and the

general public. Issues of public safety are an

integral part of emergency management. It doesn't matter where people live or work; every

person in this nation is a potential victim of one

or more natural or man-made disasters.

Through emergency management, we try to avoid disasters, to minimize the impacts of those

we cannot avoid, to prepare for those we

anticipate, and to enhance recovery from those

that occur.

The Nil can be used to significantly improve all levels (Federal, State, and local) and phases

(mitigation, preparedness, response, and

recovery) of emergency management. The Nil can allow emergency managers to make

quantum improvements in the management of

disasters and emergency response. As a report

of the National Academy of Public Administration

notes, "Emergency management requires

coordination of a wide range of organizations

and activities, public and private."[2] Emergency

management, whether it is at a national level, in a State like California's Office of Emergency

Services, in a local office such as the Dade

County emergency management office or the

local volunteer fire department in Bay Saint

Louis, Mississippi, is crucial to the well-being of

this Nation.

After Hurricane Andrew struck the Homestead

area, there were places where it was difficult to

tell where streets were supposed to run, or tell where houses used to* sit. One senior

emergency manager described the area as

looking like an atomic bomb, without radiation or

fire, had hit the area. This potential for the

destruction of infrastructure after a disaster is one of the things that differentiates information

systems for emergency management from other

information systems supporting other functions.

Emergency managers must have dependable

information systems with backup systems which can be used reliably after a disaster.

90
The improved use of information technology

tools, through the implementation of the Nil, will greatly improve the capabilities of emergency

managers to coordinate and disseminate vital emergency communications. With each

disaster, we are witnessing an increase in information technologies and communications

tools used during the response to emergencies.

By example, during the Northridge, California

earthquake of January 1994 (which had minimal

impact on the telecommunications infrastructure)

most response systems were in place, within the

first several hours: broadcast stations were

providing coverage of the situation; fire, search

and rescue teams were coping with aftershocks;

and emergency responders were already

planning the response and implementing

previously prepared plans. Citizens made

excellent use of cellular phones, faxes, Internet, amateur radios and other communications links

to disseminate information and stay in contact

with loved ones. Because of the sophistication

of telecommunications and coordinated efforts of disaster teams, response systems proved to be

effective.

The monetary costs of disasters are very high.

While total figures of federal, state, local, and

private expenditures are not available, one can

get an idea of the scope of the problem from

Table 2. This table shows the Federal

Emergency Management Agency's (FEMA)

expenditures on disasters over the last few

years. The table does not show all Federal

expenditures (budget processes make it difficult to roll up all expenditures on all disasters). The

FEMA expenditures are the bulk of Federal

spending in most disasters since FEMA

administers the President's Disaster Relief Fund.

Table 3 shows the total projected Federal

expenditures, through September 30, 1994, for four major disasters.

Table 2. FEMA Expenditures on Disasters.

Fiscal Year Number of Presidential Declarations

Federal Expenditure

(in Billions of Dollars)

1988 32 189.6

1989 30 138.5

1990 39 2026.2

1991 41 391.5

1992 55 1725.5

1993 65 2467.9

1994 (up to 6/7/94) 26 3081.4

Totals 288 10020.6

Average 40 1428.8

Table 3. Federal Disaster Expenditures

Disaster

Incidents

Declaration Date

Projected Federal Expenditure

Through 09/20/94 (in Millions of Dollars)

Hurricane Andrew August 1992 3937.1

Hurricane Iniki September 1992 554.2

Midwest Floods Summer 1993 6011.7

Northridge Earthquake January 1994 3,714.6*

* Note that this column represents expeditures through 09/30/94 and some, especially in the case of Northridge Earthquake, will increase.

91
From the tables above, it is clear that the

Federal Government expends a great deal on

disasters. And yet, the Federal Government's

expenditures often are not even half of the total cost associated with a disaster. For example

total Federal expenditures for Hurricane Andrew

will reach approximately $3,937,100,000 by

September 30, 1994 while the total damage is estimated at over $20 billion. The difference

represents the amount spent from state, local and private funds. If use of the Nil was able to improve information/technologies that support

emergency management the net effect could

result in a 1% reduction in expenditures, the

result would be savings of tens of millions of

dollars. It is easy to believe that any improved

communications and information systems

infrastructure would be of benefit in saving lives,

reducing injuries, and diminishing property

damage.

Looking at disasters such as Hurricane Andrew

clearly show the problems that exist today.

Hurricane Andrew to date has been the most

costly natural disaster in U.S. history. [3] Difficult areas that lead to problems have included

insufficient mitigation, public training, and

preparation. The government was criticized for

its slow response. People in low-income areas,

trailers, and remote areas were not aware of

what to do, and could not in some cases be

evacuated effectively. However, although

recovery and clean-up were slow at the outset,

they did pick up later. Better preparations and

communications links could have saved

property. The same was true when Hurricane

Iniki devastated Hawaii.

The Midwest floods, on the other hand, allowed more preparation time because it took longer to manifest itself. While evacuations were

effective, it could have also benefited from better

mitigation, more planning, and improved

environmental engineering. Communities in the

flood region were credited with having a

collective positive response to the disaster

including sandbagging efforts, and the donation

of money. The role of the community in working

toward maximizing its own safety was

remarkable. [4]

While there is a general agreement that the

government must have a role in emergency

management of disasters, there is growing concern to find a better approach in responding

to emergencies. In the U.S. Congress, more

than 13 Senators and nearly 100 members of

the House have sponsored bills that address

either the issue of disaster response or the

funding surrounding it. Jack Weber, of the

National Disaster Coalition presented one

viewpoint on why disasters are so expensive

when he said, "Our nation's response to disasters continues to be a reactive one. We

wait for our worst fears to be realized, and then

we figure out how best to pick up the pieces. It

is the most expensive, least efficient and least humane way of approaching the problem. "[5]

On the international front, activity continues to grow regarding emergency management,

particularly as it relates to issues of disaster

reduction and mitigation. A primary impetus has

been the 1990 initiative by the United Nations to exchange information by creating the

International Decade for Natural Disaster

Reduction (IDNDR). In May of 1994 they

convened in Yokohama, Japan to review the

progress among member states. As a result an

impressive array of case studies, research

activities, and advice was gathered and

published in Facing the Challenge . [6]

One result of the meetings has been the U.S. decision to place more emphasis internationally on prevention, mitigation, and preparedness

activities. Clearly this approach would greatly

assist developing countries which, according to the report, suffer the most debilitating effects in natural disasters and where disasters cause more than 95% of deaths in those countries.

Currently, the United States is working with a number of countries such as Costa Rica,

Ecuador, Japan, and the Caribbean nations to develop a variety of projects that will increase

the success of managing natural disasters.[7]

Improved infrastructures for communications

such as the Caribbean Satellite Network would

increase the chances of saving lives, reducing

injuries, and decreasing property losses.

92
Third world countries are not the only areas where concern for improved communications

links during emergencies is prevalent. Britain has been without a national warning system for - some time, creating concern among many

officials. "Today's concerns are not flying

bombs, but flooding, nuclear accidents, perhaps

even... terrorists. People should also be warned

if hazardous materials were being transported

through their area.. .Many people would not be ' < aware of a disaster affecting their area under the

Government's policy. ..this could be done

comparatively cheaply using the latest technology... co-ordination between different parts of the country is essential to prevent a

national disaster."[8]

The National Institute for Urban Search and

Rescue established some guidelines for a

national crisis information center architecture.

These include:

Deliver the Right information

To the Right People

Within the "action "cycle"

To save the Greatest Number of Lives

These guidelines provide a good framework to , describe what functionalities will be required of our information system and how the

implementation of the Nil will help us

successfully get to where we need to be. While

Nil will add many functional capabilities, it also

will assist us in solving the problems associated

with some that already exist. Current solutions

often are in the wrong place, unknown, or unavailable to emergency managers and the

general public.

PART 11: Where are we now?

Lately, disasters appear to be occurring on a more frequent basis than during previous years. Emergency managers need a similar rate of

availability and capability in information

technology tools to prepare for and respond to the increasing frequency and scope of disasters.

While recent major disasters are memorable, the

increased rate of occurrence of disasters is remarkable. Disasters in the 80's were nearly

twice as frequent as disasters in the 70's. In the

last 2 years alone, we have experienced (a) the

largest earthquake in modern California

experience, (b) the most costly hurricane in history and the strongest in decades, (c) a Midwest flood which exceeded the once in every

500 years flood levels, and (d) one of the most

devastating and widespread ice/snow storms in the century. According to some weather

forecasters, the country has entered a period of

extremely destructive weather patterns.

Emergency managers utilize information

technology-based systems to augment their

efforts. Many of these, however, are cumbersome and/or unable to fully meet the

needs of the emergency managers.

Implementation of the Nil will enhance systems

and the ability to use them. Currently, there

exist many databases with information

addressing most of the different phases of

emergency management. But in many cases,

queries are still originated and received on

paper. For example, there is a fire incident

database with information of fires that have

occurred all across the nation. To query data

from it, a written request is made which results in a batch run against the data base. The printouts

generated are mailed to the requester. With the

Nil infrastructure in place, a fire chief in some

small town twenty miles north of Cut Bank,

Montana, would have direct online access to this (and other) emergency management data that better equip the local emergency managers to perform their life saving jobs.

Warning Systems

The National Warning System (NAWAS) is a communications system originally designed and

implemented in the 1950's as a means of

notifying and preparing for a nuclear attack. Fortunately the system was never used for its intended purpose, but has proven invaluable to

local emergency managers responding to or coping with natural disasters. Today, the system

consists of what is effectively a 2200+ telephone

party line. Obviously, it is more than a normal

telephone system. The phone instruments are designed to provide protection for lightening

strikes so they may be used during storms. The

interconnecting lines are provided some

protection and avoid local telephone switches.

This ensures they are available even when the

93
local system is down or overloaded. The

system Is used by local officials thousands of

times a year for emergency management

coordination and response. One typical scenario

is the use of the system during tornadoes. As

storms are sighted, emergency managers in one

town or county can communicate with their colleagues in other counties who are in the path

of the storm, advising them as to direction,

speed, and intensity. The drawback to this system is it relies on human intervention. If there is no one there to receive the

communications the warning is not disseminated. This has resulted in missed

tornado warnings. Today modernization and

automation are planned in most

telecommunications systems.

As a National Weather Service white paper

states, this is a systemic problem. "There is a

growing concern that the communication

revolution with all its capability, is at the same

time isolating the public from locally issued

warnings. While the figures vary slightly

depending on the source, around 30% of all radio and television stations are automated or remote via satellite; 65% of all homes are connected to cable television with little or no

local programming; and 80% of homes have a

video cassette recorder and/or video games

connected to their sets. All theses situations

limit the public's access to hazardous event

information. "[9] Once again, emergency

planning is looking to address improved public awareness of emergencies.

The National Weather Service has expressed a

great deal of interest in upgrading the

Emergency Broadcast System (EBS), since

weather-related incidents comprise about 85% of

the activations of the system. The current system requires several steps before the alert can be sent. In some instances, such as a

tornado, getting the message in and out of the

process exceeds the life-span of the tornado.

Emergency Broadcast System

In 1951, President Truman established the first national alerting system called CONELRAD

(Control of Electromagnetic Radiation) to broadcast on 640 or 1240 kHz during an

emergency alert to the public so enemy missiles

could not use transmission from broadcast

stations as a guide for their targets. By the early

1960's the development of missile guidance

systems made the CONELRAD system

obsolete. In 1963, President Kennedy

established the EBS which was later further expanded through an interagency effort with the

FCC, FEMA and the National Weather Service

(NWS), to permit the system to be used for state and local emergencies. Since that time,

generations of Americans, while watching

television or listening to the radio, have been

suddenly interrupted by an obnoxious tone that

is followed by the familiar phrase "This is a test of the Emergency Broadcast System. If this had

been an actual emergency... ." While this message was intended to save lives, studies

show the public has become desensitized to the

weekly EBS test. So what happens when there

is a real emergency? Too frequently, nothing.

Since 1989, the Federal Communications

Commission (FCC) has been conducting a

serious evaluation of the over 40-year-old EBS.

After all, the threat of nuclear attack is no longer as strong. Mostly, it is used to communicate

pending natural disaster warnings. Each year

the FCC receives more than 2000 notices of

EBS activation for disasters like tornadoes, flash floods and man-made occurrences such as

chemical spills.

While the current system can be effective if your

television or radio is turned on, unfortunately

emergencies do not always happen at such

convenient times. A new system to replace EBS

is being developed by the FCC in cooperation

with FEMA, NOAA, and the White House

Communications Agency that will maximize the avenues available on the Nil to provide

instantaneous emergency information to the

public.

Most recently in March 1994, Vice President

Gore addressed a new initiative of the

Administration to provide early warning

information to the public. The NOAA Weather

Radio and other emergency systems such as EBS which were designed to upgrade

emergency communications were part of this "All

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Hazards" approach to providing information

which will open an innportant link into the Nil.

Preparation and Response Systems

When a disaster does occur, the type and level of response to it depends on the size and nature

of the disaster. Most disasters are handled at the local or State level. If a disaster requires

Federal response, it comes from various

Agencies each with main and supporting roles. The Federal Emergency Management Agency is responsible for coordinating Federal response to most disasters.

In a Federal response, typically, a Disaster Field

Office (DFO) is established in the disaster area

with one or more disaster assistance centers,

The DFO is the central federal coordinating

facility for the disaster and is staffed with

representatives from many different Federal

Departments and Agencies. Numerous

information systems support these federal

responders. Initially, transportable

communications are used if the local communication infrastructure is unavailable.

Information systems include local area networks

and other stand alone systems. Disaster victims

apply for assistance from one or more Federal, . State, or local agencies either in person or by

phone through a teleregistration process. This

application processing can be lengthy, and in a major disaster it can require hours of waiting in one line after another. Application for the

various assistance programs is usually done

separately, once an applicant figures out which if any program he or she is eligible for. The

Teleregistration process was instituted by FEMA

to reduce some of that waiting time.

Emergency management education is handled

through many different processes. From Federal

level, the primary processes for delivering of this education is done through on-site training courses and correspondence courses. While

effective, these training efforts could be

enhanced through more automated efforts. Automation will require not only automating the means of delivery (the source of the training),

but also significant improvements will be needed

in the communications links and systems on the

receiving end.

The 23 members of the National

Communications System (NCS) are Federal

departments and agencies that work together to achieve interoperalDle communications on the

Federal level. Originally chartered to ensure the

availability of communications to Federal officials

in times of disasters or significant stress on

public communications systems, the members of the NCS are currently also concerned with the

availability of communications during disasters

and the restoration of public communications

after a disaster occurs.

The General Services Administration (GSA)

Regional Emergency Communications

Coordinators participate in disaster recovery

operations as the NCS on-site coordinator.

FEMA, other Federal, State and local agencies,

and the American Red Cross must have

telecommunications to begin disaster recovery

operations. FEMA in particular generally

supplies its own communications infrastructure

during initial response efforts due to possible

unavailability of public systems. GSA

coordinates with the telecommunication vendors

assuring that the public telephone network is restored and trunks, lines, data and facsimile

transmissions, switches, radio equipment, and

other portable telecommunication equipment is available and operational. They make

rearrangements for telecommunication services

when systems become overloaded.

Highly reliable and available communications in and after disasters is provided by a High

Frequency (HF) radio system when other

systems are damaged or destroyed. The HF

radios are commonly available in all Federal

agencies, in regional offices, and in State emergency centers. They are also used in disaster response when other communications

systems are not available. For example, for the

first 24 hours, HF radio deployed by the Federal

Emergency Management Agency (FEMA), was

the only means of off-island communications

after the recent hurricane struck the Virgin

Islands. HF radios are considered a backup to other media due to the relatively slow data rate and other limitations.

In some cases communications and information

systems lack compatibility and interoperability.

9S
Overcoming these types of problems and

providing enhanced capabilities as well as

functionality will directly improve emergency

management systems.

PART III: Where do we want to be?

Just as the personal computer revolutionized the

computer industry, the Nil will revolutionize

emergency management. We can foresee some

of the implications, but once in place, the user community will explore, expand, and develop

radical enhancements and improvements we do

not even foresee. It is obvious that the Nil will result in vast improvements in the information

support of emergency management and the

integration of emergency managers and their processes. Identifying short term goals offers

fertile examples upon which we can build an

infrastructure that exploits currently available

technologies.

The foundation in preparedness is planning how

to handle the disaster. The art of perfecting how

to respond to disasters is enhanced by the ability to bring together the key players for periodic

exercises which simulate actual disaster. These

simulations can be just desktop programs or more realistic reinactments that serve to clarify

who does what and how to get it done, and

resolves the handling of a wide range of

problems. The implementation of the Nil will result in dramatic enhancements in the

information systems used in these simulations.

Accessibility

The measure of our Nation's success in implementing the Nil will include measuring the

ability of the volunteer fire chief or other

emergency manager, in a small town

somewhere in the nation, to use the Nil in serving the public. For this to occur, we must

ensure the Nil is not just an entertainmentoriented network of limited "upstream"

operational capabilities. It must incorporate

bidirectional high speed networking capabilities

that support the needs of the of the on-the-scene

local emergency managers.

Ease of Use

To meet the needs of the public and the

emergency management community, the

implementation of Nil must include a user

interface that is multilingual, and designed for use by individuals of varying educational levels,

skills, and abilities. According to reports of the

Department of Labor, there will be a substantial

increase in minorities, immigrants and women

entering the workforce by the year 2000. [10]

Immigrants will represent the largest share of the

increase in population, more than 600,000

annually. For many it will be the first exposure to English.

It is essential that ease of use, by many different types of people, be a design criteria for most

information systems supporting emergencies.

Emergency management, including public

alerting systems, must be broadbased enough to service an English speaking as well as

non-English speaking public. This public also

includes, and the system must support, persons

with a wide spectrum of disabilities. A system

that supports only English speaking,

computer-literate consumers will fail to meet the

requirements of the citizens and the emergency

managers who support them.

During emergency situations, there is no time to

learn. People are excited, worried, and/or

confused. A hazardous material response team

from a small town fire department needs a system that provides easy access (on a random,

probably infrequent basis) without a learning curve or the need to recall intricate access

methods. Similarly, an earthquake victim who

speaks and reads only Spanish will find an

English-only system useless. Fortunately, this need for multicultural, multilingual, easy access systems is something that fits into exactly what

the Nil can provide. It simply needs to be a design criteria for the user interface.

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Sun/ivability

The Nil must include protection to ensure that service continues to be available even in the

most adverse conditions. Growth in the

dependence on Nil capabilities will require those

capabilities be available in times of emergencies

when some key elements of the infrastructure

may be damaged or destroyed. Currently, a

hurricane or other windstorm almost always

renders the existing cellular telephone systems

unusable due to downed antennas. Land-line

based telephone systems may or may not be

available. During earthquakes, the same system

outages may occur. Following the Loma Prieta

earthquake, the only dependable telephone

connections between Washington disaster

response centers and the San Francisco area were via an emergency telephone system which

bypasses the public switched telephone network

(PSTN). In this case, the local PSTN was to some degree operable, but it was overloaded by

the public trying to contact friends and relatives

to determine or relay their safe being.

Some portions of an infrastructure are more

likely to survive a disaster than others. As noted

earlier, high frequency radios such as those

used in many emergency centers or by amateur

radio operators or even citizens band radios are

often operational after a severe storm (possibly

running on backup power). But these systems

are severely limited in their ability to pass large

amounts of data in a timely fashion and as a

result can provide voice communications but can

not support many of the other requirements of

emergency managers responding to a disaster.

Public Support

The availability and capabilities of information

tools and systems to the public will be enhanced

through the Nil. The public will both have better access to data, easier communications with

emergency management officials, and will be

better served by the emergency managers

responsible for disaster mitigation, preparation,

education, and response. Through the Nil the

public will have the ability to electronically obtain

public awareness information as well as

receiving warnings of impending disasters.

Emergency responders will be equipped to

support the public through many improvements

brought about by the Nil including better training

in more realistic simulations and exercises.

Emergency Managers/Responders Support

Emergency managers and other front line responders have unique requirements for information accessibility and dissemination

which will also be enhanced through the use of

the Nil. In this area, the capabilities of the Nil to move, display, and analyze data will significantly

enhance the emergency manager's ability to provide assistance to the public and other

emergency managers. The high speed data

transfer available through the Nil will supply

significantly increased functions to local emergency managers including allowing them

direct access to modeling, situation assessment

data, public and private data repositories,

multimedia simulations for training sessions, and

many other functions.

Following are some examples of specific

problems and potential Nil solutions. While the

public and the emergency management

community all benefit from any of the

improvements available through the Nil, the

example benefits can be grouped into 3 logical

groups. These three categories are: within the

emergency management community, from the

emergency management community to the

public, and from the public to the emergency

management community.

Within the Emergency Management

Community

Problem — access to and delivery of

training. Training of emergency managers

and the general public is essential to emergency management programs. Today,

training materials are generally developed

by emergency managers at all levels who

have limited access to other sources of

emergency management data. While data

supporting their efforts may exist in many

places, knowledge of and access to the

data is often on a haphazard basis.

97
Possible Nil-driven solution. Using Nil tools, emergency management will have a

greatly improved ability to obtain "distance

learning" training directly to their localities. This training will have the added impact and

effectiveness with the capabilities Nil will provide. Interactive, multimedia training with

high speed computer-based models will provide realistic and real-time training

scenarios. Given the opportunity to acquire

knowledge through exposure to various

computer models, emergency managers will be better able to help the public.

Problem — common access and

understanding of data. The public and

emergency managers currently have access to some types of emergency management data but

not all users have the tools and communications

links to achieve that access. In addition, there

often is confusion in terminology.

Possible Nil-driven solution.

Implementation of the Nil can provide the access path and resource components for a

data repository of emergency management

information; in effect, an online data

dictionary and textual database for emergency management. Now all levels of

emergency managers and the public will have equal access to information and its relationships. This repository will allow any

emergency manager or any public citizen easy access to emergency management

data and the relationships between the data. A local manager will have the ability to quickly find out the details behind a

particular emergency management term or technique. Additionally, as an easily

accessed repository via the Nil, the user will also be in a position to do key word

searches throughout emergency

management publications. With this ability a local user can easily understand how a term is used in relationship to a grant

application or a required report.

Problem — shortage of and limited access to computer-base modeling for mitigation

purposes. Historically, lack of early simulation

and projection have cost our communities loss of human life and property. Today, lack of applying

disaster simulation to current communities may

cost us loss of property and lives tomorrow.

Currently, computer modeling capabilities for mitigation purposes exist to some degree.

However, the models are limited and are

generally unavailable to local emergency

managers. The significant advantages this capability offers in mitigation efforts as well as

planning and exercising (i.e., realistic modeldriven exercise scenarios) are clear. The gap

between modeling capabilities and the Federal,

State, and local level emergency management

community must be overcome.

Possible-Nil driven solution. Access to and availability of natural disaster computer

models and the resources required to run them with different potential scenarios would

be invaluable to local Emergency Managers.

This capability would allow local officials to run tests and exercises based on real life expectations of damage It would support

other local officials by allowing them to automate planning and zoning studies

through model projections of the potential for floods and/or the impacts of storm surges in defining "no build" locations. Earthquake or

flood prone locations will have increased

ability to do such things as modeling of

impacts on public structures or evaluating

and testing various architectural plans prior

to construction. Positioning of facilities needing special care during a disaster could

also be studied prior to construction

providing an opportunity to evaluate various

location in the areas of potential damage as

well as evacuation processes.

The ability to have quick evaluations

produced and delivered to the local official's desk will enable more extensive and more

frequent evaluations, thus reducing

construction or planning delays.

Implementation of the Nil will support the

mixed use of emergency management

automated tools enhancing local decision

making as well as avoiding costly mistakes on locating and positioning facilities.

Problem — access to disaster data as it is occurring. During, or in preparation for, emergency response efforts, emergency

98
managers need to share and collaborate on

varying types of information. Multimedia

interactive sharing across thousands of miles (as

opposed to a local area network) will allow better preparation for disasters and enhanced training of Emergency Managers.

To explore one of the problems of local emergency managers and how the Nil will help

them, take an imaginary (but very potentially

real) scenario. A hurricane is tracking directly

towards Sussex County, Delaware. With data on the strength of the storm, other climatic

information, and track predictions, high-speed

computers could run models to predict several

different impact scenarios. Given a fast computer and communications links, good

models and input data could allow local emergency managers to determine potential

requirements for evacuations based on potential

wind strengths. The state and local emergency

managers have many decisions to make prior to

landfall. For example: What will be the storm's impact? Do we evacuate? Total evacuation or

partial (i.e., possibly just residents of trailer homes or only those directly on the waterfront)?

If so, what routes will be safe and where do we

send the people for safety? If evacuations are ordered are there special populations (hospitals,

nursing homes, prisons) in the danger area needing special assistance to evacuate?

Possible Nil-driven Solution. Currently

many questions on preparedness can be

addressed, but the answers are not available

when and where they are needed in the State and local offices. What's missing is the infrastructure that will result from

implementation of the Nil. With an

infrastructure in place, storm strength and

track data is collected, photographic images,

and computer-generated images could be

quickly and easily transmitted to the State and local officials (as well as any Federal

officials on site). Access to census data,

integrated with geographic information, could

identify special populations in any threat zone as well as indicate overall evacuation

populations and the potential impact on

evacuation routes. Wind damage estimates

also coupled with the census data could

identify communities under special threat

(i.e., trailer parks). Using the Nil we will have a system which provides an integration

and delivery of the data and the answers to the people making the decisions .

Problem — limitations in sharing experiences

in disaster preparation and response.

Federal, State, and especially local Emergency

Managers need access to existing data and new

sources of data. On one hand, there is a great

deal of existing data. As noted before, one

problem with this data is that its existence is not

well publicized (an educational issue). A second

problem is simply providing access. A third problem is that much data is not correlated with

other data and, even with the existing data,

additional data sources for Emergency

Managers are needed.

Possible Nil-driven solution. From a data

standpoint, several actions are required.

Access to existing data sources could be

made easier and integrated. As this effort is undertaken, additional requirements for new

data repositories will be identified. For

example, a lessons learned database for emergency managers (including front line response personnel) could be evolved out of

existing systems with added data fields and

sources.

Problem — accessing damage for Initial assessments. Information technology is currently used in many different ways to support

emergency management. One important area is

in coordinating response efforts. Done in the

"heat of battle" emergency response requires

quick, decisive action. That action must be

coordinated among different responders (the

number and type depending on the

circumstances and type of disaster). While we

have made progress, the GAO noted a

significant problem: "The coordination problems

and lack of timely damage assessment reports

delayed the federal response to storm

victims."[11]

Possible Nil-driven solution. The

emergency management community has

made improvements since that report.

However, the Nil will provide the opportunity

for quantum improvements in the ability to

99
coordinate emergency response information

dissemination, and the gathering,

transmission, and interpretation of damage

assessments. With the implementation of

the Nil infrastructure and next generation

computers and virtual imagery, an Emergency Management official responsible

for assessing damage and planning

response effort will be able to "virtually"

walk/drive/fly around a disaster scene

gathering data, planning the response effort, and starting the delivery of the appropriate

type and level of assistance.

In some instances, implementation of the Nil by itself, will have no impact on emergency

management. However, merger of Nil and

other technologies will provide tremendous

improvements in emergency management

and public safety. As described earlier, in the aftermath of some disasters, many core elements of the infrastructure will be

inoperable.

Problem — lack of ground communications

after a disaster. On August 24, 1992,

Hurricane Andrew struck the southeastern

Florida coast. Within hours the worst of the

storm had moved on, leaving much of the

information infrastructure in shambles.

"Communications in the south Florida area were

severely damaged Nearly all cellular base

station towers in the area had been blown down

or damaged to the point of being inoperable. "[12]

On top of this damage, many surface-based

phone posts and lines were down, seriously

reducing normal telephone communications

capabilities. Any strong storm with high winds is going to seriously disrupt communications,

reducing the effectiveness of emergency

management responders as well as exposing

the public to potential health and safety problems

if they are unable to contact police, fire, and

medical support.

Possible Nil-driven solution. The

technology and interconnectivity coming out

of the Nil implementation will be coupled

with current research and development in producing a product to meet our needs. A

small drone aircraft with the capability to stay

aloft for 3-4 days hovering in a tight circle

could be equipped with very high speed

computers (acting as switching equipment)

and updated radio equipment. The

equipment will provide a mobile cellular system. The aircraft will have staying

power, and will allow the cellular system to be positioned high enough to service a wide

area. We would have a rapid temporary

replacement cellular phone service. (A

potential alternative or complementary

technology could be low orbit satellite communications as that technology

emerges.)

Problem - up-to-the-minute fire status and

predictions. Lives have been lost and

unnecessary property damage done because

weather information, such as wind velocity and

direction, and fire spread patterns have been

inaccessible to the fire fighting unit. Early

evacuation and creating fire breaks could have

been done had the appropriate information been

accessible in the field with the fire unit. The

similar but unique requirements of a fire fighting

unit can be met by implementing the Nil infrastructure.

Possible Nil-driven solution. With the Nil, a fire unit fighting large wide-spread fires, such as last years devastating fires in southern California, could call up a computer

model to generate an up-to-the-minute fire spread prediction. Fire spread projections

overlaid on CIS maps could be visually

displayed right in the on-the-scene fire fighting vehicle allowing better utilization of

the resources and warning of possible fire spread which cuts off evacuation routes from the scene.

Problem — quick access to data and

computer models for first line responders.

Crews responding to hazardous material spills

have their own set of unique requirements.

Although there are existing databases of

hazardous materials and how to handle them, crews do not have on-site, on-line access to such data. Simulation tools, allowing for chemical compound modelling and associated

affects of chemical mixing, are not currently

employed. Often emergency on-site crews are

not aware of the full toxicities, vapor drift and

100
dispersion projections, and other associated

dangers when responding to a hazardous

chemical emergency.

Possible Nil-driven solution. Using the

facilities of the Nil and possibly high speed

computers under the HPCC effort, a HazMat

responder could quickly access automated

chemical models. With that access, the

responder could obtain the models

prediction of the effects of the interaction of

the chemicals, how to respond to the

incident, toxicity, vapor drift projections, and

best cleanup methods. These

enhancements will reduce physical risk to the responders, increase their effectiveness, and improve the safety of the

public.

From the Emergency Management

Community to the Public

Problem — government presents many faces

to disaster victims. Following a disaster, there are numerous Federal programs designed to assist the public recover from the impact.

Some of these programs are simply day-to-day

support such as food and housing, others are designed to assist in recovery efforts, while other

programs are low interest loans to rebuild small

businesses. In a time of confusion resulting from

the disaster, the public is faced with numerous

programs for which they may or may not qualify,

from various different Federal offices, with

different application and qualification

requirements. This is a Federal Government

attempting to assist, yet presenting a confusing

and frustrating face to the public.

Possible Nil-driven solution. The obvious

solution to this problem is to present one

unified face to the public. That solution has

been talked about for years as Federal

Government reorganization plans are developed and redeveloped. Part of the

problem is that certain programs seem better positioned (and executed) in different agencies, and the consolidation would

require moving major programs from one

agency to another. A solution that allows

this integration without reorganization is provided by the Nil. The Nil will allow

integration of the presentation of programs,

application for them, and evaluation of

eligibility for disaster support programs

provided across the Federal Government;

the result, a virtual Federal disaster

assistance agency.

Problem — dissemination of emergency

information. One problem in any disaster is getting information to the emergency managers

as well as the public. Often different technologies are used for these different requirements due to the differences in need. In general there lacks sufficient low cost capability

to get extensive amounts of data to either of the

groups. For the emergency managers, speed,

quantity of data, varied media (text, digital, video,

and audio), and the integration of the data

dictate delivery requirements. For the public,

speed and duration of the data being provided

direct the delivery requirements. Immediately

before a disaster, the public needs warning

messages. After the disaster, recovery

information such as where to locate resources, what response and recovery actions are underway, and how to apply for and get

assistance needs to be conveyed.

Possible Nil-driven solution. Another

example of merging the results of

implementing the Nil with other technologies

involves dissemination of emergency

management information to the public as

well as emergency managers. With the Nil infrastructure in place, direct delivery of

broadcast messages can be aimed at a

selected set of receivers. Examples of this include the ability of Emergency

management public affairs officers to transmit public information (i.e., locations of

disaster assistance centers, or precautions

to take before reentering a damaged

structure) via satellite to cable TV head ends

and other broadcast media for use as scroll bars on the bottom of TV images. Another use would be to direct imagery or other large

data formats to local emergency

management officials preparing for, or

involved in, responding to a disaster.

101
Problem - ensure the public receives

warnings and takes appropriate action. Often

people are at risk of an impending disaster and

are unaware of warnings being broadcast by

emergency managers. Even if the emergency

managers were transmitting a life saving

message, unless the public was actively seeking

information, they would still be unaware of the

pending danger. Most warning systems are not

generally self-activated.

Possible Nil-driven solution. The Nil, through the cooperative efforts of Federal

agencies, will have the ability to reach

people that are at risk without those people

actively seeking information. Information will be provided instantaneously and clearly to the targeted population, and inform them

where to go for more in-depth information.

Major improvements will include a new

generation of EBS equipment that has the

capability of interacting with cable and other

communications technologies to take a

proactive role in alerting the public to immediate danger.

Imagine, you are enjoying an evening with

friends, listening to the latest CD when

suddenly a loud series of warning tones cuts

off your CD and turns on your cable TV to a message that advises, "A tornado will hit your area in three minutes. Take cover." You and your friends take protective action

in time to save your lives. A wide range of

enhanced emergency alerting equipment is

in prototype now, that could bring about this positive scenario. Testing has shown that the proposed new generation of equipment

in the public and private sector will offer more than 30 options to the consumer that can turn-on and turn-off consumer alerting

equipment such as personal pagers, cable

television sets, CD players, VCRs, television

and radio receivers, car radios and

emergency detectors with a barrage of

beeps, buzzes, strobes, sirens, audio

messages, video crawls and other

appropriate alerting sights and sounds that

will make each equipment unique for its user. Systems for the visually impaired,

deaf, hard-of-hearing, and bilingual

audiences will also benefit from equipment

that serves everyone equally. That same

equipment will provide emergency

information — within a matter of seconds —

to a home, a hospital, a neighborhood or the

entire county or state. Federal, State, and

local government emergency

communications centers, television and

radio stations, cable facilities, and satellite and mobile systems will transmit and receive

specific emergency alerts in a reliable competitive environment that promotes

maximum safety to the public. This planned use of the Nil will serve the nation into the next century.

From the Public to the Emergency

Management Community

Problem -- verification of victim eligibility.

When a disaster victim applies for assistance,

that person/family must meet certain criteria. For instance, to obtain assistance in repairing a home, the applicant must be the owner of the

home. For some programs, the applicant must

demonstrate an income which is less than an

established cutoff level. Unfortunately, as

described previously, some disasters are so

extensive and destructive and some times

papers providing such simple proofs are no

longer available.

Possible Nil-driven solution. Efforts under

the Nil, specifically establishing an electronic

government, could be expanded to allow

disaster application centers direct access to selected government data bases. Data

supporting the necessary verifications

currently exist in government data bases.

For instance, an applicant with nothing more

than a driver's license or some other

acceptable ID could walk up to an

application taker and provide whatever

information is available, i.e., home location. The application processor through Nil- provided access to VA and HUD home loan

databases or local property tax roles, could

verify home ownership. Or, a citizen could

authorize access to social security or IRS

data bases to verify income and rapidly

determine the applicant's qualification for income-based assistance. Access to State

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and local data will also enhance the delivery meets both requirements. The question for of emergency management to the public. discussion is, Should emergency managers

Electronic verification and qualification of a have access to insurance data including loss

disaster victim using existing government data to assist them in assessing the potential

data will speed up and improve our impact from or actual loss due to a disaster?

efficiency in direct support of the victims. PART IV: How are we going to get

there?

There are various avenues that can speed the

implementation of the Nil and its effectiveness

within the emergency management community.

There are also accompanying questions that once discussed will assure those contributions

will have a lasting impact.

Even after access to on-line emergency

management information is made easier, there is a lack of access tools in the hands of the front

line emergency responders. To reach an

acceptable level of success, computers with access to the Nil must reside in every local emergency management facility. For example,

each of the over 30,000 separate fire departments in the United States need an

access point, so does each state and local emergency management office. There is a

separate Nil requirement which complements

this "need of access" from the emergency

management facilities. This is the requirement

to provide universal accessibility to the public. A

merger of these requirements could result in access to the Nil and enhance the relationships

between local emergency management officials and the local community. The question for discussion is then. Should access points be

established in local fire or police departments

serving the emergency responders as well as

should access points be established for members of the local community who do not have their own access?

The problems associated with making insurance

company data available to emergency managers

need to be resolved. There are conflicting

issues here, business sensitive data versus emergency management requisite for data, .

' which need to be in order to facilitate emergency processes and decision making.

There should be some compromise position that

Fire, police, and other health and safety

personnel need the ability to locate people who

have summoned aid, but are for whatever

reason, unable to communicate their location. Telephone systems have the ability to trace back

phone calls that can be of great use in responding to a land- line generated request for assistance. Cellular systems have a similar but

unused capability, while not providing specific

information they can at minimum identify the cell originating the call. The question for discussion

is, What, if any, action should be initiated to require cellular providers to provide call tracing

capabilities for emergency responders?

The Federal Government could achieve

improved efficiency through the use of the virtual agency concept to eliminate redundant systems

from multiple agencies. The GITS efforts on the

interconnection of Federal agencies should help

achieve this. In the mode of streamlining

government, one Federal agency could be

tasked with the responsibility for emergency

management information systems. This would

consolidate interoperable (Federal, State and

local) systems which provide similar methods of access and use. Reduction in conflicting and

overlapping systems would provide obvious

benefits. By example, the Nil would be better able to energize the delivery of emergency

communications and maximize the effectiveness

of emergency managers. The larger question

then becomes, To what extent should

information systems be integrated under one

agency and to what extent should various

departments or agencies still remain responsible

for different types of disasters?

One of the keys to successfully implementing the

Nil to improve emergency management is the use of multiple technologies. Using similar

technologies and multiple technologies often

allows for more avenues of communications to be accessible during emergencies. As an

example, some questions have been raised

103
regarding the need for modernizing the EBS in lieu of a more widespread use of, and expansion

of the NWS, NOAA Weather Radio network.

EBS and NWR are complementary systems

serving different audiences and needs. The

EBS provides an initial alerting function to the

public, while the NWR provides extensive follow up information. The question is, Does a lack of

technology aid or detract from the on-scene

responder's ability to reduce the complexities

imposed on state and local emergency

managers?

There are also some technologies under

investigation which are unrelated to information

technologies, but could directly or indirectly

support emergency management functions.

They include: NASA's research on small

pilotless drones with extended (3-7 days) aloft time; the ARPA and HPCC miniaturization and

high speed efforts; and the DOD research into the use of satellites for direct, selected delivery

of information to ground base systems. The

question is. To what extent should the

emergency management community monitor

these types of activities to ensure such research

and development efforts consider emergency

management requirements and potential use?

A critical discussion point on how are we going

to get there must be centered on what action comes next. Is the action developmental, such

as when or if a common system should be built; or is it implementation-oriented, such as who

should lead the discussion on integrating the Nil within the emergency management community?

The larger question then becomes. Should the

Federal Government assume the lead in forming

partnerships with state and local emergency

managers and independent associations of

emergency managers? If so, Should these

partnerships address integration, dissemination,

and access to data sources across all levels (Federal, State and local) and phases

(mitigation, preparation and training, response,

and recovery) of emergency management?

Both at the domestic and international level the

knowledge base on emergency communications

is growing. Government, scholars, practitioners,

and the public are ever sensitive to the need to maximize the number of solutions that can

reduce the loss of life, injuries, and property

when natural and manmade disasters strike. Many experts in cross disciplines are finding

they can contribute to the field of emergency

management when brought together in established or ad hoc situations. According to a

leading expert in the field of natural hazards. Dr. Dennis Mileti, "Hazards do not happen in insolation. Therefore, we must work at all levels

to maximize the number of participants from

various fields working together to expand and

share resources and knowledge. The goal must

be to ensure societal resiliency and

environmental sustainability regardless of the

hazard."[13]

The Nil can provide the pivotal role in convening

a forum comprised of a cross section of experts,

both within and outside of government, to explore, integrate, and implement strategies that

will strengthen the Emergency Management

community and subsequently provide the

ultimate public service of saving lives.

References

FEMA Renewal, Federal Emergency Management

Agency National Performance Review Report, Sept.

7, 1993; page 2.

"Coping with Catastrophe." National Academy of Public Administration, February 1993; page viii.

The Flood of 1993. Associated Press, St. Martin's Press. Estimates the cost at $21 billion dollars ~ the most expensive record.

Ibid. Although the exact dollar amount may never by

known, the damage could rival the billions spent on

recovery from Hurricane Andrew.

Healey, Jon. "Critics call for a better way to deal with Catastrophes," Congressional Quarterly Weekly

Report, vol. 52, issue 4, January 29, 1994, page 167-

169.

National Research Council, Facing the Challenge,

National Academy Press, Washington, DC 1994.

Ibid. Chapter 5. International Cooperation, pages

63-70.

Grigsby, John, "Councils sound the alarm," The Daily

Telegraph, November 11. 1993, page 20.

104
Knjdwig, Lawrence. Communicating Warnings and

Safety Information to the Public. National Weather

Service Central Region, Kansas City, Missouri.

"Executive Summary," Workforce 2000, Hudson

Institute, Indianapolis, Indiana, June 1987. The

report goes on to note that non-white, women and

immigrants will make up more than five sixths fo the

net additions to the workforce. Education will be an

important concern.

U.S. General Accounting Office, Disaster Assistance - DoD's support for Hurricanes Andrew and Iniki and

Typhoon Omar, GAO/NSIAD-93-180 (Washington,

DC; GAO, June 1993), page 6.

Public Empowerment

With

Environmental Information

DRAFT FOR PUBLIC COMMENT

PART I: What Is the Application

Arena?

Description of Public Empowerment with

Environmental Information

The Clinton administration has articulated a

vision of enhancing the environment through

greater public education and broader

dissemination of environmental information. This

vision recognizes that the diffusion of useful

information is a key strategy for preserving our

planet. The information revolution provides new

opportunities to empower the public and private sectors to find solutions that provide enormous

environmental and economic benefits.

Some aspects of the National Information

Infrastructure (Nil) will serve as an enabling

agent in bringing the vast national investment of observational environmental monitoring data into an integrated network for scientific, policy, and

operational uses. Yet, the Nil will also

disseminate environmental information among

the general public, agencies and non- governmental organizations involved in environmental management including industry,

environmental groups, landowners, educators,

students, and the press. This Nil application of empowering the public with environmental

information is different than making existing

government functions more efficient. It recognizes that information is essential for the

public to become active partners with

government in protecting the environment.

Every day, people make decisions in the market

place and in their ordinary activities that have

environmental consequences. By giving people

the information necessary to evaluate these

consequences, sustainable lifestyles and

economic development can emerge. The

marketplace and community awareness then

help to produce the environmentally beneficial

result, complementing government action.

In order to explore the essential role of

information in environmental management, we

will first discuss the role of information in such

familiar areas as finance, weather, and sports.

These topics will be related back to the main

topics at hand, ecosystem management and

environmental protection.

Finances and Information

All of us have personal finances to manage, and

most of us recognize that one's quality of life is affected by one's finances. Now, imagine a

situation in which you lack reliable information

about your income and your spending. Imagine no payroll statements, no bank statements, no

records of checks written and charges made,

and so on. Planning would be impossible — at any moment you might be faced with

bankruptcy.

Fortunately, most of us don't face this situation. We receive plenty of information about our income and spending. Guesswork should not be

necessary. We are not expected to dig for the

information — we are only expected to use the

Information and try to balance our checkbook.

We get the information we need to empower us

to manage our personal finances, in a form that

is convenient, personal, trustworthy, and

supported by expert help whenever needed.

107
Weather and Information

Mark Twain pointed out that although everyone

talks about the weather, no one does anything

about it. But strictly speaking, that isn't true. When you hear that rain is in the forecast, you

may pick up an umbrella or raincoat. If it's supposed to be cold and windy, you wear a . warm coat. You respond to current and

forecasted weather conditions. You can't change

the weather, but you do something about it by

reacting, by adapting.

We did something else about the weather by

working nationally and internationally to build a weather information infrastructure. Consider how

pervasive weather information is. You hear

about the weather on the radio. You see it in the newspaper. And television now provides

marvelous satellite images and movies, Doppler

radar displays, animated graphics, and lively

human commentary to explain current conditions

and forecasts. Weather is part of every local news show, and nationally we have The

Weather ChannelTM on cable. Billions of dollars have been spent on the capabilities to gather

weather data and generate and disseminate

forecasts. Weather satellites and information

networks provide global coverage. Thousands

of lives have been saved by improved

forecasting and warning capabilities, and large

economic losses have been avoided through

timely responses to better predictions.

Ttie World of Sports Information

Finally, consider sports, another area of

pervasive information flows. For most of us, sporting events lack the immediate, direct

impacts on our lives of financial situations and

weather events. Nonetheless, millions of people

are keenly interested in sports, and an elaborate

information infrastructure has been built around

that interest. Sports information captures large

sections of the print media and is inescapable in broadcast media. Sports has its own

publications and radio and television networks.

One might ask which came first: the

overwhelming interest, or the vast information

infrastructure to feed the interest? It may well be

that the sheer pervasiveness of sports

information elevates sports in American culture

in a cycle of positive reinforcement.

PART II: Where Are We Now?

Now let us turn to the environment and

ecosystem management. It is obvious that the

environment affects our lives in the most

fundamental ways possible. Moreover, people

are extraordinarily interested in the environment.

Recent polls indicate that nearly 80% of

Americans call themselves "environmentalists."

More Americans visit museums and zoos every

year than attend professional sporting events. Tens of millions of Americans enjoy various

activities outdoors in our ecosystems: hiking,

birding, fishing, hunting, camping, and so on.

Not only is interest keen in the environment, but

unlike the weather, we can do something to change it. Sometimes, out of sheer ignorance,

we destroy parts of it. Lack of information is the

silent partner of the more prominent agents of

environmental destruction. We eliminate species

like the ivory-billed woodpecker and passenger

pigeon. We introduce species like the gypsy

moth and zebra mussel. Harmful chemicals are disseminated by human activity and travel across the globe. We cause fisheries to collapse. An unfortunate example is the virtual elimination of the once prolific oyster fishery of

the Chesapeake Bay. We destroy hundreds-ofmillions of acres of habitat. In the United States,

we send millions of tons of topsoil into the rivers every year.

There are endless tales of destructive changes

to the environment, but it should be emphasized

that we also make positive changes. In the

United States, we banned DDT and PCBs in the

1970s. Thanks to the DDT ban, the bald eagle

has made an impressive comeback. Today you

can even see the eagle flying free again over the

Nation's capital. Internationally, we are phasing

out the manufacture of CFCs, thereby reducing

the threat to the ozone layer. Thousands of

Americans engage in volunteer work to clean up

beaches and streams, plant trees, count birds,

maintain hiking trails, and otherwise help the

108
environment. Annericans are recycling and

practicing energy conservation with greater

regularity.

In short, unlil<e the weather, we can do much to change the environment for the better or worse. These positive changes came about through

increased public awareness. Given appropriate

information, each of us can be empowered to take positive action in our daily lives.

Ecosystem Management and Sustainable

Development

The Administration is committed to an ecosystem management approach to the

environment and the economy. The concept of

ecosystem management explicitly recognizes

the linkages between economy and ecology and

asserts that it is possible both to promote

sustainable development and to protect the

environment. Ecosystem management is a vital approach in the pursuit of sustainable

development.

Real parallels exist between financial management and ecosystem management. If we don't know what our ecological assets are, we are poorly equipped to safeguard those

assets for future generations. If we "spend" too much of the natural outputs and capital of an

ecosystem, we see symptoms of impending

bankruptcy such as fisheries collapse,

endangered species, and loss of jobs. Such

deficit-spending-style ecosystem management

results in what Secretary Babbitt calls "train wrecks" like the forest and fish crisis in the

Pacific Northwest.

Information is equally critical to financial and

ecosystem management. Without information,

we cannot manage finances at the personal,

corporate, or government levels; and without

information, we cannot manage personal

"backyard," local, or regional ecosystems.

Cunrent State of Environmental Information on Nil

We've looked at how pervasive financial,

weather, and sports information is in our culture.

As the National Information Infrastructure (Nil)

emerges, we will find all the financial, weather,

and sports information we could possibly want,

in fact more than we can possibly absorb.

How pervasive is environmental information in our lives today? Consider air pollution as an

example. In most U.S. cities you might hear a

single number, the air quality index, mentioned once per day for a single air pollutant such as

sulfur dioxide. Even though there is an air quality monitoring program in the region with a

network of monitoring points, it would take

considerable effort to track down the air quality

data for the full range of pollutants measured,

and it might be impossible to obtain current

information.

You won't see an environmental segment on the news with expert commentators and explanatory

graphics to tell you about the pollution events of

the day. You won't find an environmental

channel you can turn to like The Weather

ChannelTM on cable to find out about

environmental conditions and forecasts. You

won't hear which companies are doing better and which worse in their environmental

programs. You won't see data about habitat loss

in your area in the last day, week, month or year.

If you recycle, you may have noticed that it's hard to get basic information about what you can

recycle and how to do it. It takes great effort to

find information about the best ways to conserve

water and energy. A recent U.S. Army Corps of

Engineers study found that those most willing to conserve water also reported a lack of

information on how to do so.

If you're interested in investing, weather, or

sports, you can buy software packages and

subscribe to on-line services that will help you

get current information and make your own

forecasts and models. You can create and

follow your own "dream team" for your favorite

sport. But similar software and services for the

environment are hard to find, if they exist at all.

If the environment were a minor sideshow with

little or no impact on our lives, the relative dearth

of environmental information wouldn't matter. But try telling the people of the Pacific

109
Northwest, who have witnessed the

simultaneous collapse of their timber economy

and their salmon fishery, that the environment is not of major importance. Try telling the former

oyster fishermen of the Chesapeake Bay that what happens in the environment is of little importance to their lives.

If the destruction happens gradually enough and

invisibly, without galvanizing incidents like the

catastrophes of Bhopal and the Exxon Valdez, by the time a threshold is crossed, it is too late to

effectively mitigate the consequences. We need

to make the gradual, invisible changes visible to people. Financiers and meteorologists know this lesson. Financiers build indicators to track

changes that otherwise would be hidden, and

meteorologists use sensing technologies to "see" events that can't be seen by the eyes of

observers on the ground. And in sports, instant

replays help us see what happened when we

missed it during the live action.

PART III: Where Do We Want to Be?

New Strategies

To combat harm to the environment, we have

relied primarily on command-and-control

strategies — regulations to tell people and

companies what they must or must not do, and

often how to do it, combined with enforcement

programs to ensure that the regulations are

followed. Command-and-control approaches

have worked to improve air and water quality in many respects. However, we are encountering

diminishing returns as we seek to use more

regulation to make more improvements in environmental quality.

It seems apparent that the American people

dislike government telling them what to do and

how to do it. The National Performance Review

suggests that the Federal Government place

greater reliance on empowerment strategies to,

in effect, help people do the right thing. Recall

that 80% of the public say they are

environmentalists. Are there ways to empower

them to do more for the environment, to act out what they say?

Information is key to an effective empowerment

strategy for the environment. If our nation were

to build an environmental information

infrastructure comparable in capabilities to the

robust information infrastructures we have built for finance, weather, and sports, we could

provide people with environmental information to empower them. This kind of empowerment

would work the same way that financial information and forecasts empower us to make

informed choices in our financial management;

weather forecasts empower us to prepare for the

weather, and sports coverage empower us to

feel strong emotional involvement with sporting events.

Humans can and do affect the environment. Our

robust weather information infrastructure follows a linear "observe-forecast-warn-react" model.

This works quite well for the weather, since we

can't practically change it and can only react to

it. But this model is too limited for the

environment, where the relationship is more

complex — the environment changes us, but we

also change the environment.

We need to follow a "feedback" model that acknowledges the feedbacks between humans,

information, and our environment. In a feedback

situation, information flows can influence human

behavior, and the new behavior changes the

environment. This kind of feedback also applies

to financial markets. Responses to information

about actual events and rumors can cause waves of buying or panic selling, moving prices

up and down. Analysts know that there is a

highly dynamic feedback process between

information and markets. We need to apply this same insight to information and ecosystems.

In this feedback model, information has a

fundamental influence on human behavior that affects the environment. Our ecosystem

management initiatives can succeed only to the extent that we treat environmental information as

a strategic resource and tool. We need to put

information to work as a tool to empower the

public to protect, restore, and manage

ecosystems.

110
Environmental information must be a prominent

application of the Nil. We must create within the

Nil an "environmental channel" to allow people

to find, develop, and share the information they

need for empowerment and to catalyze feedback

loops, changing behavior to result in positive

changes for the environment.

Much of the vision described has been

technically demonstrated in other contexts, like the financial, weather, and sports realms. Also,

the Environmental Resources Information

Network in Australia, the Sustainable

Development Information Network in Massachusetts, the Right-to-Know Network

(RTK-Net), and other advanced practitioners

already have demonstrated some of these

capabilities in the environmental arena. In collaboration with the United States Fish and

Wildlife Service, Turner Broadcasting has also

created a multi-media "electronic field trip" that allows students to explore the wetlands

environment of the Okefenokee Swamp.

Imagine the time in the not-very-distant future when virtually every home is connected to the

information highway. It is a given that you will be

able to "surf through on-demand video

entertainment and engage in interactive home

shopping. It is also a given that you will have

access to a tremendous range of financial,

weather, and sports information. In the vision,

you also have interactive access to a vast range

of environmental information — in effect, an

Environmental Channel connecting citizens like CB radio on the information highway.

The Environmental Channel will offer major

capabilities. It will allow you to explore past,

present, and predicted future environmental

conditions at local, state, regional, national, and

global scales, using ecosystem or political

boundaries. It will provide "what-if?" modeling,

visualization, and simulation capabilities for you

to explore alternative future scenarios. The

Environmental Channel will provide information

about the natural resources in your area and the stresses upon those resources. It will provide

solution-oriented, empowering information to help you identify what you can do to minimize

harm and to improve the environment. It will allow you to "publish" your own observations

about the environment, your ideas and your

questions. You will be able to find information

and other resources and collaborators for environmental efforts.

The idea is to draw inspiration from the weather

information infrastructure, which provides rich information about weather phenomena we can

only react to. The goal is to provide comparably

rich information about the environment.

Because we can manage many aspects of the

environment, ubiquitous information will stimulate feedback mechanisms that affect

individual and corporate behavior.

The best illustration of what is possible comes

from the Toxic Release Inventory (TRI). TRI was mandated by the Emergency Planning and

Community Right-to-Know Act, which was Title

III of the Superfund Amendments and

Reauthorization Act of 1986. Under TRI,

manufacturing companies have been required to report on their estimated total releases of toxic

chemicals into the environment. This information

has been available to the public in many forms,

including through on-line databases. When

reporting began in 1988, such information had

never been compiled. As the chief executives of

some of the nation's largest chemical companies

began to see the totals th,ey were reporting, they were appalled. They announced voluntary

initiatives to reduce their toxic releases, in some

cases by 90% over 5 years. Here we see an example of the feedback model in action — an

information program caused a modification of

behavior, which resulted in beneficial changes

for the environment.

It is feasible today to deliver text, graphics,

image, animation, and video information about

environmental conditions over the Internet. Consider the flashy information products you see

in the realms of financial, weather, and sports

information. The Environmental Resources

Information Network in Australia provides one of

the most compelling demonstrations of what now

is also possible in the environmental realm. In the United States, Federal agencies, State and

local governments, and private companies are

building a clearinghouse for geographically

referenced environmental, socioeconomic, and

other data as part of the National Spatial Data

111
Infrastructure. The clearinghouse will allow

producers to make their data available to a wider

audience, and will allow users to find and obtain

data of interest.

Imagine weather-type maps and images that provide current information about pollution

conditions locally, regionally, nationally, or

globally. Would it influence behavior if you could see that your local area typically has pollutant

levels many times higher than another area?

Would you want to know why? Imagine visual

images that show past conditions and project

future conditions based on current status and

trends. Would it influence behavior if graphical

predictions indicate that major pollution

increases should be expected? That all but the

last remnants of an ecosystem will be destroyed

within the next few years?

Environmental Channel users should be able to define their areas of interest based on political,

ecosystem, and other boundaries. They could

then track past, present, and forecasted future

pollution, ecological conditions, land-use/landcover, and human and industrial demographics

for those areas.

Visualization/Simulation

Imagine you have the capability to interactively run models to test alternative assumptions and

scenarios and to simulate and visualize the

outcomes. Suppose a large company is planning a massive development near where

you live. You join a discussion hosted by your

local PTA or civic association and help use

simple tools to visualize the impact of the

planned development on traffic, pollution,

biodiversity, and other factors. Suppose that you

can test the effects of different assumptions and

different scenarios for the development. You

aren't forced to rely on the word of "experts'"

pronouncements. Would it change your

behavior? Would it change corporate

developers' behavior?

We are beginning to get comfortable with

modeling tools through software like SimCityTM

from Maxis Corporation. Popular both with

children and adults, SimCityTM allows its users to design their own cities, complete with supporting

finances and infrastructures, and to simulate the

evolution of the cities over time. SimCityTM is easy to use, surprisingly realistic, and teaches

much about the issues city planners and citizens

face.

Easy-to-use modeling software can create "simecosystems," allowing people to analyze or design ecosystems and simulate their evolution

under different conditions, assumptions, and

management practices. Using the Internet and

the future Nil, teams of interested people will collaborate to build these simulations, try them

out, and seek consensus about desirable future outcomes.

Modeling and visualization tools will aid

understanding of past, present, and predicted

future environmental conditions at various

geographic scales, using the types of tools that have been previewed by weather information

specialists and the game simulators. These

tools will also help us understand and visualize

human impacts on the services provided by

ecosystems — services such as water filtration, flood control, and temperature regulation.

Although it is difficult to assign hard-and-fast

economic values to such ecosystem services, it should be easier to assign quantitative units and

estimate impacts on service levels and inform

the nation about the bottom-line accounting for service levels. TRI did something similar by

establishing poundage of toxic pollutants

released into the environment as a measuring

stick. Similarly, changes in land-use and land- cover can be reported from local up to national

levels, so that people can see the numbers for losses of forest, increases in pavement, and so

forth.

The financial realm provides tremendous

information about financial resources, their value, and speculative boosts and threats to

their value, such as inflation. In a similar vein,

detailed ecosystem indicators and indices should

be readily available, so that people can track

progress and changes in the environment.

People could even define and track their own

"portfolios" of ecosystems of interest, and see how they're faring over time.

112
You will be able to monitor the environmental

assets of your areas of interest — for example,

the species known to occur there and their estimated abundance. You will also be able to track the status of threats to your natural resources and progress toward sustainability.

Groups like the WorldWatch Institute have

demonstrated a glimpse of what could be done.

WorldWatch publishes the "State of the World"

and "Vital Signs" annual reports, which provide

data on resources and stressors and changes in indicators. In our vision, the Environmental

Channel will allow users to interactively select

indicators and monitor their status, with the kinds

of simulation, modeling, and visualization

capabilities previously mentioned.

The public seems hungry for solutions, for more

useful information. The Environmental Channel

will provide abundant information to empower

people and help them find solutions to environmental concerns. What can we do about

reducing trash in our neighborhood, controlling

invasive plants choking our park, recycling,

conserving energy and water, cutting pollution

and reducing transportation costs? The same

technologies that will be bringing us home

shopping and entertainment can bring us

environmental empowerment and interactive

capabilities to respond to questions and find good answers.

The RTK Net has demonstrated that making a range of environmental information freely

available to grassroots activists can empower

them to work on behalf of the environment and

human health by working with industry to find solutions and avoid litigation. And yet RTK Net

has only been able to deliver a fraction of the

information needed and that the Environmental

Channel could deliver.

Taking a cue from today's Internet, we can

envision the Nil providing environmental

frequently-asked-questions and answers, case

studies, pointers and how-to guides to best

environmental practices and help facilities. The

entire corpus of public information products

could be readily available. The Environmental

Channel can be a mechanism that brings all of the local. State, and Federal environmental

agencies together as a single, "virtual agency"

that empowers the public with solution-oriented

environmental information and capitalizes on the

widespread public interest in and concern for the

environment.

The Environmental Channel will not be some

centralized digital broadcasting service with the

public as passive consumers. Rather, the public

will be encouraged to participate actively. When

interested people make observations about the

environment, they will be able to publish their information over the channel, sharing it with any

of millions of people around the world. Vice

President Gore's Global Learning and

Observations to Benefit the Environment

(GLOBE) initiative contemplates precisely such

interactive involvement by students, who will gather environmental data, ship it out over the

network, and receive back processed

information that synthesizes their observations

with those of others all over the world.

If you observe an interesting natural phenomenon, or if you have creative ideas

about a problem, or if you have collected data

you wish to share, the Environmental Channel

will give you a means for sharing.

The Environmental Channel will help people with

shared interests to discover each other and

explore ways to collaborate. Because you will have the capability to publish your observations,

ask your questions, and make your statements — and to explore and respond to the

observations, questions, and statements of

others — you will discover future collaborators,

friends, colleagues. Geographic separation and

differences in background will matter little compared to the spark of common interests and

strong capabilities to communicate and examine

ideas. Because it will be decentralized and an open market, ideas will compete on their merits

rather than merely the publishing budgets of their main advocates. The Environmental Channel

could be a force for equity and justice.

Thousands of volunteer efforts all over America

are helping to restore local ecosystems. The

Environmental Channel will empower people to express their interests in their local ecosystems

by finding opportunities to work together on

113
volunteer projects and coordinate efforts to maximize collective results.

Further, the Channel will make it relatively easy

to find and use empowering information resources to develop creative solutions and

better approaches for sustainable development.

PART IV: How Are We Going to Get

There?

Because the environment provides the

foundation for a healthy economy and quality of

life, and because we cannot "manage"

ecosystems without information, we believe the

Nation must build an environmental information

infrastructure at least as prominent, exciting,

compelling, and powerful as the infrastructures

we've built for financial, weather, and sports

information. We can take the best innovations

from those other fields, seek to do better yet, and strive for major economies of scale as the

Nil is built by the private sector.

But the government must provide enough

steering to ensure that the environment isn't shunted aside in the pursuit of expected greater

short-term profits in other arenas. For in the

long run, nothing can be more profitable than an

Nil that enables us to hand over a better environment and a sustainable, healthy

economy to our children.

To empower the public with environmental

information, the Federal Government must

facilitate and focus the vast network of

stakeholders to bring quality, useful and

understandable information to the people. It will be crucial to involve many groups such as

colleges, universities, non governmental

organizations, and government agencies to inventory and publicize their environmental

information holdings. These valuable

information resources need to be available in readable and understandable formats. The Nil needs to be built to ensure that the public at large can reach the vast holdings of information.

It will be necessary for the government to make

a solid commitment to have its information

available and promoting its dissemination.

Working with programs such as GLOBE (Global

Learning and Observations to Benefit the

Environment) and the President's Council on

Sustainable Development are important to ensure a broad array of contacts in the

widespread use of the application. Other federal

efforts should be coordinated and incorporated

into the environmental information channel such

as the Government Information Locator Service,

the National Spatial Data Infrastructure activities and other major projects that involve the

schools, libraries, and government service

centers.

A dynamic interactive, on-line ecosystem

discussion facility should be available to the

public. It would be an outlet for information on ecosystems protection methods from the Izaak

Walton Society, as well as, recycling tips from

industry. This on-line service would be a place

for questions and answers. Communities would

be able to access and provide feedback on the

information that empowers them to take action.

They would be able to interact with the experts

to explore their problems and concerns.

Issues and Questions to be Addressed

Information Quality and Standards

Poor quality data and misinformation could cause more harm and confusion rather than

understanding and appropriate action that protects the environment.

How can the Federal Government facilitate the quality of the data and information that might be piped through the environmental

channel?

How can federal agencies prepare and

present the vast amounts of environmental

data so that it can be readily consumed and

digested by the public and stakeholders?

How can the Federal Government promote

the voluntary acceptance and use of data

standards by the various interests who will generate environmental information for public consumption?

114
\

\

\ Widespread Involvement

How should the Federal Government

encourage and facilitate the varied interest groups and stakeholders to make high

quality and readily understandable

information available to the general public at large?

Should the Federal Government expand the

incentive grants program for the thousands

of U.S. non governmental organizations

active in environmental information

dissemination in order to facilitate their participation in the Internet and catalyze the

sharing of information among NGO's?

Should the Federal Government sponsor

community-based demonstration projects of

public empowerment with environmental

information such as the Sustainable

Development Information Network in Cambridge, Massachusetts?

Partnerships

What is the role that the Federal

Government should take in ensuring that

quality information is populated and

disseminated on the environmental

information channel?

How can the Federal Government best

promote the goals of the Nil and its application to empower the public with

environmental information capitalizing on

the expertise of environmental and economic

groups who have considerable interests in having public support?

Should the Federal Geographic Data

Committee, in concert with the President's

Council on Sustainable Development,

establish a formal liaison with the

Sustainable Development community to

identify data requirements and catalyze

linkages to local, state, and regional councils

and governments?

Training and Education

a How should the Federal Government target

efforts provide assistance to communities

and interest groups to take full advantage of the Nil application of public empowerment

with environmental information?

What efforts does the Federal Government

need to take to assist the public in understanding and using environmental

information?

Should the Federal Government create simple instructional materials for electronic

empowerment using the Internet, and

publicize such information through media

such as national television and magazines?

115
I
Arts, Humanities, and Culture on the Nil

DRAFT FOR PUBLIC COMMENT

"While no government can call a great artist or scholar into existence, it is necessary and appropriate for the Federal Government to help create

and sustain not only a climate encouraging freedom of thought,

imagination and inquiry but also the material conditions facilitating the

release of this creative talent. The world leadership which has come to the United States cannot rest solely upon superior power, wealth, and

technology, but must be solidly founded upon worldwide respect and

admiration for the Nation's high qualities as a leader in the realm of ideas

and of the spirit.

— National Foundation on the Arts and the Humanities Act of 1965

"We see the arts not as an amenity, not as a luxury, but as a necessity in building

America's communities."— Henry Cisneros, Secretary of Housing and Urban Development

Introduction

This paper is based on a number of assumptions

or principles, and it may be useful to state them at the outset. First and foremost, we assume that it

is a social good, to be encouraged by our government, that the United States have an educated populace, with equal access to information.

We take it as a given that the humanities and the

arts will provide a crucial part of the content of the

expanded Nil, and that the Nil will reach children

with new learning tools and forms of entertainment. We are convinced that the arts and the humanities will be at the forefront of developing both. Because humanists and artists are experts at using symbols, managing data, and

making the presentation of data and complex

ideas "user friendly," engaging, interactive, and

even fun, they should be involved from the outset

in efforts to design an expanded Nil.

The for-profit entertainment and publishing

sectors, as well as the huge U.S. copyright

industry, draw upon and use the work of

individuals and cultural institutions. Consequently,

we assert that investment in the latter is a form of

research and development for a very profitable

American industry. We also recognize that the

nonprofit cultural organizations lack adequate

resources to embrace and advance new

technologies without further public and private

investment.

Also it is important to note that the arts and the

humanities are international in scope. Just as the

Internet now links computers worldwide, so will the

Nil facilitate international dialogue, cultural exchanges, and cultural commerce.

117
PART I: What Is the Application

Arena?

Humanities and Arts Institutions, Museums

and the National Information Infrastructure

Standing at the threshold of an information

revolution we can see, with a momentary

l<eenness of vision, that an improved Nil can unite us as a people as it educates and enlightens us as

individuals. We can use it to give all citizens,

wherever they live, whatever their means, access

to the building blocks of knowledge and allow

them to read, research, learn, combine and create understanding in original ways. We can present

the richness of our diverse cultures to promote

understanding; we can communicate across

cultures and economic strata. Or we can divide

into subcultures composed of the elite and the

unschooled, the technology haves and have-nots.

The promise and the vision of the Nil is that all Americans will have access to a wealth of

information in any number of arenas, from health care to history, from poetry to physics. In the next century the Nil will be the means by which most

Americans receive their information, and the data,

the imagery and the sounds it conveys will shape

their very ideas of what culture is and influence

their concepts of, and participation in, our democracy.

The humanities and arts in all their variety and

historical context comprise what we experience

and think of as "culture."^ Culture is concerned

with what is known and valued. Culture

continually renews and reshapes itself, yet culture

is a continuity. It is the domain of the people as

well as of the artists and the scholars. It is the

In this paper (as in the authorizing legislation for the National Endowment for the Arts) the arts include music,

dance, drama, folk art, creative writing, architecture and

design, painting and sculpture, photography, graphic and craft

arts, costume and fashion design, motion pictures, radio and

television, and film, video and sound rerecording.

The definition of the humanities encompasses

languages, both classical and modern, linguistics, literature, history, jurisprudence, philosophy, comparative religion, ethics, the history, theory and criticism of the arts, and

archaeology and other fields in the social sciences that employ humanistic methods of inquiry.

fiction of Toni Morrison as well as the AfricanAmerican oral tradition. It is ragtime and rhythm

and blues, Gershwin and Copland. It is constitutional history and the history of our towns

and cities and immigrants, as told by our citizens.

It is the collection of world cultures that form and

inform us. It is how we understand ourselves, our

society and our democracy, and our relationship to the world. It is how we use knowledge, symbols,

and sound to communicate.

Most Americans recognize that the deepest

substance of communication is the province of the

arts and the humanities; our dreams, passions,

and struggles as a nation are often reflected and

identified first in this realm. We recognize that our

artists and scholars are our most eloquent

communicators. However, what we are only

beginning to acknowledge is the economic

contribution of the cultural sector to our economy.

As one important private foundation notes, "Our

literature, our performing arts, the holdings of our museums, archives and libraries, and, above all, the creative energies of our people will provide the

educational and cultural content of the Nll."^

The visual display of information, the

understanding of the impact of design on

environment, the ability to analyze and parse vast

quantities of information and present them in a comprehensible manner all require the discipline

and skills of the arts and the humanities. It is the

innovators in the artistic and scholarly community

whose ability to manipulate and master the latest media, special effects, enhanced sound and visual

quality and new production techniques that has

put and will keep our nation on the cutting edge of

emerging technologies. More than just consuming new technologies, the humanities, the arts, and

the industries related to them drive technology by

generating ideas, by supplying content for the

information highway, and by serving as an

important testing ground for new ideas — leading

^The National Information Infrastructure, the J. Paul

Getty Trust, May 12. 1994.

118
to more breakthroughs and drawing critical investment capital into projects.^

The humanities and arts generate intellectual property, a crucial component of the

entertainment, information and core copyright

industries. Collectively, these industries constitute a dynamic sector of the economy responsible for the creation of new jobs and export earnings. The

International Intellectual Property Alliance reports

that "core copyright industries" (including

publishing and software) in 1992 accounted for $206 billion in value added to the U.S. economy

(about 3.6 percent of GNP). At least 40-46 percent

of this figure could be attributed to records, tapes,

CDs, motion pictures, TV, video, newspapers,

books, and periodicals." The copyright industries

employ more than 5.5 million workers in the United

States. And these industries are growing more

quickly than the economy as a whole: between

1987-1991, the industries grew at an annual rate of 4.2 percent compared to 1 .5 percent for the

economy overall.^ The IlPA estimates that 1992

foreign sales by copyright industries totaled $39.5

billion.

The challenge of the Nil is to nourish the growth of

intellectual property and seed its development in many forms. ^ We must recognize the contribution

of the cultural sector in entertainment and in spiritual sustenance but also in terms of

^The Public Affairs Coalition of the Alliance of Motion Picture and Television Producers, The Economic

Impact of Motion Picture, Television & Commercial Production

in California. (Los Angeles, 1994) p. 6. (Executive summary

on technological development).

^International Intellectual Property Alliance. Copyright Industries in the U.S. Economy. 1993 Perspective.

(Washington, D.C., 1993), Table 10.

^International Intellectual Property Alliance. Copyright Industnes in the U.S. Economy. 1993 Perspective.

(Washington, D.C., 1993), p. 9.

^We recognize that copyright issues are a crucial aspect of the Nil's development. Many believe that our body

of copyright law is flexible enough and our technology

powerful enough (with encryption and software enveloping) to protect our creative communities. This entire area of the law

is currently under review, and copyright issues are examined

in a recent report by the IITF working group on intellectual property rights

productivity and contribution to the GNP. The

humanities and arts are well-positioned to contribute to the digital communications revolution. Increasingly, the nonprofit cultural sector functions as the "research and development" arm for the

for-profit industry.

The role of the federal government is limited but

crucial: national policies must provide incentives

for the artistic and intellectual creativity and

research essential to the development of content

for the Nil.

In addition to their role in the copyright industries,

the arts and the humanities nurture creativity in all walks of life and provide a number of benefits that cannot be quantified precisely. The Nil will help all Americans attain greater access to the

tremendous variety of cultural resources available

throughout the nation; by helping to harness these

resources, an enhanced Nil will offer all Americans opportunities to pursue life-long

educational and cultural interests.

Already, Americans are spending increasing

amounts of their leisure time — and their incomes — attending lectures, symphony concerts, operas,

dance, plays, and visiting art galleries and

museums; reading fiction, poetry, and non-fiction

works and viewing high-quality programming on

television. Consider the following:

In a study published in 1994 by the National

Assembly of Local Arts Agencies, the direct expenditures of nonprofit arts organizations are estimated at $36.8 billion. The number of

i jobs supported by this sector alone is 1.3

million, not including self-employed artists.^ Moreover, the arts, entertainment and

intellectual property industries make

substantial and vital contributions to key

regional economies and to urban economic

development.

Of the major sectors of the California

economy, the motion picture industry showed

the largest employment growth rate: while

manufacturing employment from 1 990-1 992

^National Assembly of Local Arts Agencies, Arts in

f/)e Loca/ Economy (Washington, D.C., 1994).

119
declined more than 15 percent, motion

picture employment increased by more than

5 percent.®

In Denver, Colorado, a study commissioned

by the Colorado Business Committee for the

Arts found that the economic impact of nonprofit cultural organizations in the Denver

metropolitan area included a payroll of $161

million and more than 1 1 ,000 jobs. The

study also noted that more people attended

cultural programs than professional sports

events.^

The Port Authority of New York and Nevi^ Jersey reports the total economic impact of

arts institutions (including nonprofit

institutions, commercial theaters, television

and film, museums, galleries, and auction

houses and their visitor service businesses) on the NY-NJ metropolitan region to be $9.8

billion. Adjusted for inflation the arts grew by

14 percent in the last decade. Nonprofit

institutions added $2.7 billion to the

economy directly.^"

Museums, in particular, attract more than

half a billion visits each year — the

equivalent of two visits per American per

year, and their programs attract almost 700

million participants annually, according to a survey undertaken by the American

Association of Museums. The effects of

these visits go far beyond the museum; the

ancillary spending which occurs when

museum visitors spend money on taxis,

restaurants, or hotels, makes a significant

contribution to the health of the surrounding

community.

^The Public Affairs Coalition of the Alliance of Motion Pictures and Television Producers, The Economic

Impact of Motion Picture, Television & Commercial Production

in California, 1994.

^Cited in Jobs, the Arts, and the Economy:

Highlighting the Findings of from NALAA's "Arts in the Local Economy" Sftvdy (Washington, D.C., NALAA, 1994) p. 13.

""Port Authority of New York and New Jersey. The

Arts as an Industry: Their Economic Importance to the New

York-New Jersey Metropolitan Region. (New York: 1993).

A 1 994 study of the impact of the

Smithsonian Institution on the economy of the

greater Washington, DC area found that during the previous year this complex of

museums and research facilities generated a

total of $6.7 billion in economic activity, 91

percent of which derived from out-of-town

visitors." To provide a frame of reference,

the collective operating budgets of all American museums totals only $4 billion.

Although it is more difficult to estimate figures

for the humanities in higher education, it is worth noting that universities and other

educational institutions have a significant

economic impact. Data compiled by

Independent Sector indicate that nonprofit

educational institutions are the second-largest

employer in the nonprofit sector. In 1990

educational and research organizations

employed 1.86 million Americans, second only

to the health care sector. Nonprofit education

contributed over $35.7 billion dollars in salaries to the U.S. economy in 1990.''^

The humanities and arts are increasingly

important to the American people. According

to the Bureau of Economic Analysis, consumer spending on the performing arts, as

a percentage of after-tax income, rose from

.07 percent in 1970 to .12 percent in 1990.

During this same period, spectator sports

decreased from .16 percent to .1 1 percent.''^

In the decade from 1982 to 1992, increasing

numbers of Americans participated in the

humanities and arts through attendance at live events, through broadcast and recorded

media, and through personal performance and

creation. In 1992, 41 percent of adults in the

United States attended a performance or

""""Greater Washington Research Center. The Economic Impact of the Smithsonian Institution on the Washington Metropolitan Area. (Washington, DC, 1994).

^'^ Nonprofit Almanac, 1992-1993. (Washington, DC: Independent Sector, 1993), p. 126.

•"•'U.S. Department of Commerce, National Income and Product Accounts of the United States, statistical tables, various years.

120
exhibition during tlie previous year, in contrast to 39 percent in 1982 and 1985.

Audiences for opera, classical music, and

jazz programnning on radio increased by 49,

60, and 71 percent, respectively. The

attendance rate at museums and galleries in 1992 was up almost 5 percent from 10 years

before; total attendees approached 600

million in that year.'"'

In the past 30 years, the number of nonprofit cultural organizations in the United

States has virtually exploded.''^ Of the

8,179 museums in the United States today,

two thirds have been created in the last 30

years. Since 1965, the number of

professional, non profit theaters has grown

from 56 to a network of over 400 today.

Similarly, the number of professional dance

companies increased from 37 in 1965 to 250; and the number of professional opera

companies increased from 27 in 1965 to over 100. During this same period, the

number of professional symphony

orchestras has more than doubled (from 110

in 1965 to over 230); and the number of

small press book publishers has increased

by nearly 500 percent (from 650 to nearly

3800)! In the 20 years between 1970 and

1990, the number of artists in the American

population (those employed full or part time

in an artistic endeavor) more than doubled

from approximately 737 thousand to nearly

1.7 million.

Unfortunately, the economy of nonprofit cultural organizations is often misunderstood. Despite

their evident popularity many performing arts groups and nonprofits require subsidies to offset operating deficits, just as tuition costs never fully capture the true cost of operating a liberal arts college or private university.

National Endowment of the Arts, Arts

Participation in America: 1982-92. Prepared by Jack Faucett

Associates; Connpiled by John P. Robinson, University of Maryland, October, 1993.

•^National Endowment of the Arts, Arts in America

1990:, Appendix C.

For many organizations, a small but often crucial part of that subsidy comes from the Federal

Government. But in recent years the National

Endowment for the Humanities and the Institute of Museum Services appropriations have remained

flat, while the National Endowment for the Arts has

been cut by 2.5 percent. The two Endowments

have lost close to 50 percent of their purchasing

power in the last decade. Federal and state budget cuts have been passed on to the field, in addition, private funding trends are down. The

percentage of foundation and corporate giving to the cultural sector has decreased from 14 percent

in 1991 to 12.7 percent in 1992. Many businesses

report that they will either hold cultural spending at current levels or consider reducing it.

The primary place of the arts and humanities in education is being recognized at the local level and nationally in the recent Goals 2000 legislation.

Training in the many disciplines is a base part of what it means to be truly educated and to appreciate the richness of thought and culture. The arts and humanities are also effective at teaching communication, teamwork, making

discriminating choices, instilling self-discipline and

improving constructive self-expression. Teachers

are learning how to use the humanities and arts to present other subjects and to take a crossdisciplinary approach. They also use them to enliven material and to give children activities that help keep them in school. More research is showing how effective these disciplines are at reaching the various senses and "intelligences" that make up each child. Research also shows

that training in the arts improves performance in other subjects.

New technologies are becoming effective teaching

tools. They not only convey information about the

arts and humanities, they invite children directly to participate in creative and scholarly activities. We

endorse the concepts put forward in the paper: A

Transformation of Learning - Use of tlie Nil for Education and Life Long Learning, published in the first volume of Putting the Information

Infrastructure to Work.

Users of a National Information Infrastructure —

especially artists and scholars — will have the

opportunity to be both information consumers and

information providers. In the interactive

121
environment of the Nil, the opportunity for information traffic to move two ways will permit the

creation of unique works and the augmentation of

existing works. It will no longer matter where in the country a person is located, nor will it matter where the desired information resides. The Nil could permit any one person or group of persons

to have access to a large body of materials or

ideas, and to study them, combine them in new

ways, and make their results available to anyone

else.

Cultural Heritage in the Virtual Museum

A young Native American living in a remote pueblo

in New Mexico wants to explore his heritage.

Having access to the elders of the community, he

is fortunate to have heard the stories and to have

developed some sense of belonging. But, over

the years, tribal and religious artifacts that help to define him as a tribal member have been removed

to be placed in museums and collections all over

the country. He is unable to travel to see, understand and appreciate the relics of his past,

but he is able to go to the tribal center where he

may browse through a virtual museum — a museum without walls, a museum that travels to him. Because the images are digitized

representations of the artifacts, he is able to expand and rotate the images to view detail. He

listens to a guide's explanation of the collection, as

well as comments on each piece by Native

American experts. He is traveling with the help of

his virtual guide, and can explore the dusty corners of this virtual museum on his own. He

comes away from this experience with a greater sense of his community and his own identity, a sense that his heritage has not been lost or stolen, an understanding that these precious relics may

be viewed and appreciated by anyone, not just

those with sufficient money to visit the museum in person.

Learning Music with Brahms

A young person in a rural school is curious about

music, and wants to learn more about great

composers. Through an interactive, multi-media

system she accesses a choral work by Brahms

which she can hear through the high-quality

headphones she is wearing. As the selection

begins to play, her video monitor displays the

image of the original hand-written score, penned

by the master himself. To her surprise and delight,

she sees whole sections of the manuscript

scratched through in red pen, with comments from

Brahms's former teacher criticizing his efforts and

suggesting ways to improve the piece. She

realizes that everyone has teachers, that

instruction and practice improve people. She now

has a new outlook on education and music. Even

more, she hears and sees how the work uses a

standard musical form in surprisingly new ways.

She can start and stop the piece, can hear and

see the various orchestral parts played separately,

and can read explanatory notes about the work

and the composer.

Dancing in Real Time

A dance choreographer in a large Eastern city —

perhaps someone of the stature of Merce

Cunningham — is asked to develop a new work

for a dance company in the Midwest. He creates

the new work using a special program on his computer called Lifeforms. As the new work

evolves, he uses the Nil to transmit his choreographic ideas and movements to the

composer who lives in the American Southwest

and who is writing the original music which will accompany the piece. The following morning,

using the Nil, she forwards to the choreographer

portions of her composition reproduced and

digitally recorded using a synthesizer. Later that week, in a two-way audio and video exchange, the

choreographer and the composer collaborate to bring the musical composition into final form. The

following week, the choreographer transfers to the

artistic director of the dance company the

Lifeforms program with his choreography, as well as the completed score for the music. The

company begins its eight-week rehearsal of the new work. During the rehearsals, the

choreographer observes the realization of the

dance piece as it progresses. Using video

teleconferencing over the Nil, he is able to interact with the dancers and instruct them in the

movements, and the dancers are able to ask

questions and to make suggestions for possible

revision of the piece. The work is ultimately

performed before a local audience, and watched

live throughout the region in high-definition video.

122
Later, the work is made available through an

archive of video recordings of dance works,

accessible through the Nil.

From Site to Byte

Paleontologists are digging in an archeological site expecting to find rennains of prehistoric mammals.

They uncover objects they do not expect to find: apparently manmade utensils made of an

unidentified metal which begins to deteriorate as soon as it is exposed to the air. They do not have

anthropologists on their team, nor any other expert

who is able to make a tentative identification. Through the Nil, they are able to contact ethnographic conservators at a natural history

museum to receive instructions on how to safeguard the objects from further deterioration.

The team is subsequently able to draw on

research materials from the linked archives to determine the provenance of the objects. The

museums are linked with other educational

institutions (libraries, universities, and schools) to share the research and information about these

artifacts.

What is the Public Interest in Promoting the

Application?

American artistic creativity is envied throughout

the world; America's universities, libraries and

museums are among the world's finest. The arts and humanities are a crucial ingredient in the

American education system. Today, as part of the

administration's Goals 2000 initiative, the arts enjoy enhanced Federal recognition as core K-12

subjects — along with English, history, civics,

geography, mathematics, science, and foreign

languages. In the spring of 1994 Secretary of

Education Richard Riley issued a comprehensive

set of standards for K-12 education in dance,

music, the visual arts, and theater. National

standards for history and civics are almost

complete, and parallel efforts in English and

foreign languages are underway.

The humanities and arts can play a vital role in solving some of America's most pressing social

challenges. They can help to bring hope to America's at-risk youth. With the Nil our cultural

institutions can reach beyond their walls to touch

the lives of the poor, the old, or the otherwise

disadvantaged. If used with care and imagination,

the new technologies can enable the arts and

humanities to create understanding between races and help build bridges among different cultures. How can the Nil Help?

Education in the arts and humanities will be vastly

augmented and expanded through the facilities of

the Nil. For example, literacy in the arts is something that every child has a right to expect

during the course of his or her education. No

education in the arts, however, can proceed

without exposure to the art form itself. With the

inclusion of the arts in the basic curriculum, there

will be increased demand for art teachers and

teaching materials. Today, hard-pressed school

systems are complaining of a shortage of teachers

and resources. The Nil has the potential to help

schools overcome these handicaps in time to meet the higher standards demanded of American

schools.

But the benefits of the Nil will not be limited to the

schools. The American public already has a keen

interest in obtaining access to quality arts and

humanities programming. National Public Radio

stations across the country claim an estimated 15

million listeners each week. PBS' broadcast of

The Civil IVar attracted a record viewership for one program of some 13 million viewers.

Television viewers, in particular, continue to demonstrate a desire to exercise choices for themselves and for their children in selecting

programs with cultural content, presented at times

of their choosing. Unfortunately, cable television,

which now reaches over 60 percent of U. S. homes, has not always demonstrated an ability, or a willingness, to deliver on one of its original

promises: to provide its subscribers an

opportunity to choose from a variety of quality

programs and series. Many scholars, artists and

advocacy groups are especially concerned that a

National Information Infrastructure, if dominated by

commercial interests, might offer little more than

"500 channels of movies, games and shopping."

An improved Nil can bring into American homes

and schools access not only to high-quality

programming, but exploratory visits to museums,

123

/
concert halls, art galleries, centers for folklore and

heritage, and other centers of the arts and culture.

What is the Evidence of the Benefits?

The arts and humanities already constitute an

important and growing sector of the American

economy and increasingly serve a "R&D" function

for the for-profit communications and

entertainment industry. In addition to the

considerable number of jobs and expenditures

that nonprofit institutions currently provide, there is evidence that publicly funded projects in this sector serve as a testing ground for new ideas that often have commercial applications.

Here is one example that has important

implications for the development of the Nil: the

American Film Institute, a nonprofit center that promotes study of film as an art form and provides

training programs for young filmmakers and others

interested in the industry, has taught digital film technology to over 5500 participants in one of its training programs. The AFI receives its primary

support from the National Endowment for the Arts and supplemental support from the NEH.

Countless other examples could be cited: over

the years NEA fellowships and grants have

enabled many of the best American playwrights to develop their work. Such commercially successful

films as Driving Miss Daisy, Ttie Great White

l-lope, and Children of a Lesser God began as

plays supported by NEA grants. More recently,

the acclaimed Broadway hit Angels in America was first produced by a nonprofit theater which

received support from the Endowment for the Arts and the Fund for New American Plays, a joint venture of the Kennedy Center and the President's

Committee on the Arts and the Humanities.

Awards from the NEA's Design Arts program often

lead to commercial applications. In the humanities,

the success of the NEH funded series The Civil War by filmmaker Ken Burns created a lucrative

secondary market for home videocassette and

books based on the televised series. The impact

of this nonprofit "R&D" deserves more study.

Cultural Dialog can be encouraged: On-line

discussions among and between artists, scholars

and people that encourage uncensored

communications and cross-cultural understanding.

Most cultural organizations in the humanities, arts and museum worlds operate on small budgets

with few staff. They struggle with the same needs:

to keep the door open, receive new information,

reach their audiences, and find new funding. They

can greatly benefit from communicating with each

other and their potential audiences or "consumers" on the Nil. For example they could hear about new grants from private foundations and public

agencies; they could share successful promotion

ideas; they could publish touring schedules and

save money through block booking performances

and exhibitions.

Example: The Benton Foundation

Conference, "Shaping the National Information

Infrastructure: the Public Interest Summit,"

featuring Vice President Gore attracted 650

leaders from non-profit organizations all over

America. Policy discussions on public access,

benefits to communities and on content were made available online, so that many more

nonprofits could learn from the conference.

The humanities and arts nourish the civic spirit

vital to a democracy. Critical thinking, an

appreciation of America's past, and a willingness

to work together for the common good are values

developed by the arts and the humanities. The

arts and humanities make important contributions

to the on-going national dialogue that is essential

to a democracy. To the extent that the Nil creates a new public forum, it is essential that we provide

opportunities for the public to have access to the

best thinking and creative expressions available.

Electronic technology can enhance a citizen's involvement in the nation's civic culture through

participatory, electronic forums that bring together

scholars and members of the public. The new

technology can also foster the dissemination of

cultural knowledge to the public.

Example: The Impact of the Electronic Village on the Quality of Life. An NEH grant to Virginia Polytechnic Institute (VPI) in Blacksburg, VA, enabled VPI to sponsor

"Choices and Challenges: The Quality of

Life," a series of forums using scholars and

community leaders to explore medical ethics

and the impact of the "electronic village" on

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the quality of life. This demonstration project

involved, among other formats, a series of

video teleconferences broadcast nationally

by the Public Broadcasting Service. The first forum, "The Quality of Life at the End of

Life," attracted an on-site audience of more

than 500 and was downlinked to 133 sites in 34 states (to colleges, hospitals, air force

bases, universities, and television stations)

using teleconferencing provided by the PBS

Adult Learning Satellite Service.

Arts and humanities build stronger communities.

Our nation needs the positive influence of the arts and humanities to help forge a common identity, to communicate across the lines of division that unfortunately threaten to separate us into isolated

racial, ethnic or regional groups. An accessible

Nil will be an essential tool in finding ways for the

arts and humanities to touch unserved

communities with new levels of imagination and

resources. Already the arts and humanities are

providing innovative solutions to the problem of atrisk youth, the problem of juvenile crime, and the

problems of illiteracy and poverty.

Example: Computer Mentors. In the

summer of 1 993 the Community Arts

Training Program sponsored a multi- disciplinary Computer Graphics Program for 300 New Orleans inner-city youths.

Originally designed as a vehicle to teach job

training as well as basic skills, the program

is unique in the way it exposes students to careers in the arts and the connection

between high school and careers. In order

to teach job skills (computer design, layout,

desktop publishing) students were involved

in the production of a magazine from start to

finish. The resulting publication not only

illustrated the connection between education

and future employment, but also gave voice

to the students' own experience and dreams.

PART II: Where Are We Now?

The current picture of computing in the humanities

and arts is drawn from many sources. The

projects listed below show great vitality, yet this picture of cultural computing represents a

cacophony of projects with little reference to each

other. As yet their development is guided by no

systematic, coordinated policy. They exemplify

often original and even heroic individual

achievement, but cannot hope to represent the

fullness of our cultural heritage and creations.

Few of the projects cited below have made

provision for the archiving of their data. The

reasons for such little viability, despite

considerable vitality, are many. Most have to do

with lack of support in one way or another, and by

extension lack of coordination and distribution structures. The computerization of cultural projects and materials, viability and preservation,

accessibility, the use of standards, plans for long

term maintenance and distribution of cultural materials have not been seen until recently as

candidates for major funding.

Selected Private Activities

The Software Industry

Microsoft has recently issued a CD-Rom guide to the National Gallery of Art in London and plans to develop a "virtual museum" for consumers. The

Voyager Company has created a nonprofit

venture, Voyager 501 C3, to develop educational

software. To date, this firm has produced

educational software in American history, classical

music and dance, and philosophy. In addition.

Voyager is also preparing children's titles which

will be interactive books and not mere games.

Individual Artists

One of the most vital areas of product

development on the Internet are arts and culture

applications. A survey of new World-Wide Web

servers (which make text, audio, and video

accessible online) reveals the health and

enterprise of the cultural sector. A recent period

showed a sample variety of the action on "the

Web": Jazz Online, The Batish Institute of Indian

Music and Fine Arts, Roy Lichtenstein Pre-POP

1948-1960 exhibit. The ALF MIDI(Musical

Instrument Digital Interface), Shot of Rhythm

Archives, The Electronic Journal of Analytic

Philosophy, Pixel Pushers Exhibition of Original

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Art, The Lynx literary magazine, Reba Mclntyre,

the UK DANCE all appeared on the net.

Artist Agencies

Among the first commercial companies to recognize the role of arts and culture in the content and information management arena are

the "super-agencies." These agencies have

already positioned themselves to translate the

needs of the content providers they represent to the "rate companies" that are vying for product.

They are forging the relationships between artists and the new media markets offered by the studios,

utilities, phone companies, cable companies, and

software companies.

Selected Public Activities

National Endowment for the Humanities

Since 1965 the federal government has spent a

total of approximately $2.84 billion dollars in support of the humanities. This expenditure has

generated over $2.1 billion in non federal support.

The nation's expenditures for education at all levels comprised 7.5 percent of the Gross

Domestic Product for 1991, or $425.2 billion. The humanities comprise approximately 20

percent of the educational system and accounted

for $85 billion of the GDP in 1 991

.

Educational institutions have a high impact on

local and regional economies. In 1993 a study of

the economic impact of spending by George

Washington University on the greater Washington,

D.C. economy found its payroll and purchases

generated $1.2 billion in economic activity. This one university conducted business with 14123

local companies. That same year, the study

found, the area's 25 higher education institutions had a total impact on the local economy of $17.25

billion.^^

Digest of Education Statistics, U.S. Department of Education, 1992.

Wastiington Post, March 11, 1994, and Greater Washington Research Center.

During 1993 the federal government through the

NEH provided support for the humanities to 21 97

institutions and individuals, including 35

elementary and secondary schools, 15 two-year

colleges, 126 four-year colleges, 534 universities,

32 public television and radio stations, 206

libraries, museums, and historical organizations,

964 individuals, and 256 community organizations

and other humanities institutions. During 1993,

public humanities television programming reached

a collective audience of 244 million viewers.

The National Endowment for the Humanities has

been a leader in the development of computer

applications in education and scholarly research,

and especially in the creation of library information

networks. Since 1980 all NEH grants for cataloging and processing primary and secondary

resources in the humanities mandate that machine-readable bibliographic records be made

available via one of three national, electronic

networks supported by the Research

LibrariesGroup (RLG), the Online Computer

Library Center (OCLC), and the Washington

Library Network (WLN). These nonprofit

organizations collectively provide academic

researchers and members of the public with

electronic access to millions of books, serials,

documents, photographs, sound recordings, oral

histories, films, and videos held by the nation's

public and research libraries, archives, museums,

historical organizations through more than 20000

computer terminals at research and public

institutions across the nation. Almost all the

catalogs of the nation's largest research libraries are available for searching through the Internet.

National and International Communications

Standards and Protocols

The Endowment is especially interested in projects to develop standards for the organization

and verification of information transmitted in a networked environment.

Electronic communication in the humanities

depends upon the use of common technical

standards as well as protocols for formatting the context of electronic documents so that they can be read on many computer platforms and for transmitting and reading electronic information

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using common descriptive temninology about

where resources are located.

International Standards for Text Encoding:

The NEH has made awards to support the

Text Encoding Initiative (TEI), which has

drafted an intemational standard scheme

using the Standard Generalized Markup

Language (SGML) to encode humanities

texts so that a user can navigate through an

electronic document in the same way he or she uses a printed text. Use of the TEI

standard will ensure the interoperability of

electronic documents in the humanities.

National Standards for Networked

Information: The NEH has supported the

work of two national standards groups, the

Committee on the Interchange of Museum

Information (CIMI) and the Art Information

Task Force (AITF), a collaborative venture

organized by the College Art Association

and co-sponsored by the Getty Art History

Information Program and the NEH. For

instance, in a project with important

implications for museums and universities

alike, the AITF has successfully established a definitive set of categories for the

description of works of arts, including both

three-dimensional objects and prints and

graphics. As the digital storage of visual

materials becomes ever more

commonplace, these standards will enable a

user to locate desired images efficiently,

wherever they may be stored on the

network. The CIMI effort focuses upon the

development of a communications exchange

format for conveying information

electronically among institutions and

researchers.

Internet Access to Humanities Resources

To ensure the broadest possible electronic access

to information in the humanities, digitized text images, and related information must become

directly accessible on the Internet. Examples of

NEH-funded projects include:

The Dead Sea Scrolls Project: Digitization can be used to enhance photographs to clarify

hidden information that would otherwise be

lost to scholars. In 1994 the Endowment

awarded a pilot grant to the Ancient Biblical Manuscript Center to develop procedures for

digitizing and making available over the

Internet images of the Dead Sea Scrolls, in addition to the distribution of scroll images via

CD-ROM. Scholarly users will be able to enhance the digital images to reveal

characters that are not plainly legible in the

original documents.

Denver Public Library Digitized Photographs

Project: In 1993 the Denver Public Library

received an NEH grant to digitize 30,000

photographs in its Western History Collection.

The photographs and bibliographic citations

will be made available to researchers

woridwide through the Internet.

The Making of America Project: An interinstitutional, cooperative project to digitize

100000 humanities monographs for Internet access is underway, guided by librarians and

scholars at Cornell University. Volumes in "The Making of America: 1860-1960" will encompass a single theme, the development

of the infrastructure of America —

transportation, communication, and the built environment.

Digital Technology and the Preservation of

Cultural Resources

The new technology offers the possibility of

capturing and saving knowledge for future generations in a format that can be transmitted via

the Internet to researchers throughout the world.

Project Open Book: At Yale University, with

support from the NEH, 3000 volumes on

microfilm will be converted into digital form to test assumptions about relationships between

scanner settings, microfilm quality, and , document quality; to refine workflow

configuration in order to optimize productivity;

and to measure and record cost and time

data. In addition, newly-developed document

management software will allow editing that

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will provide electronic links between a

bibliographic record and parts of a document

(e.g., table of contents, chapter, page). User

access will be made possible on a limited scale and evaluated in preparation for a later phase that will provide full network

distribution, both to Yale and to the Internet community.

The Cornell/Xerox Project: Utilizing

specialized software and hardware

contributed by the Xerox Corporation,

Cornell University will test a prototype

system for recording brittle books as digital

images and producing, on demand, high

quality paper documents. In addition, a

preservation microfilm will be produced from

the digitized volume. An advisory

committee, composed of university faculty,

library subject specialists, and preservation

staff will select 10000 volumes from the

university's humanities collections for conversion to digital images at 600 dpi (dots

per inch). A technical committee will evaluate the quality of the images, the

efficiency of the production system, and the

comparative costs of using a digital

intermediary to produce preservation

microfilm.

Humanities, Technology, and the Schools

The teaching potential of the new technologies

has been dramatically demonstrated with the

development of hypermedia programs which allow

students to explore a subject through interactive

manipulation of textual, audio and video

information in a variety of non-linear formats. The

expansion of CD-ROM technologies and the

release of data collections in digitized formats has

made the hypermedia format widely accessible

and retrievable via such electronic networks as the

Internet.

Hypertext in the Classroom: The

Massachusetts Institute of Technology has

received support for the development of

hypermedia teaching programs in Spanish,

Japanese, and French, while another major

Spanish language hypermedia project has

been funded at the University of Michigan.

Foreign language instruction is not the only venue in which these hypermedia programs

may offer contributions, and the M.l.T. team

has also received support for the development

of a hypermedia interactive Shakespeare

classroom presentation system.

Teaching and Telecommunications:

Telecommunications have been used to make

courses accessible to geographically

dispersed students and to such population

groups as working parents who make up an

increasingly significant segment of the U.S. undergraduate population. NEH has

supported projects at Ohio State University,

for video-based telephone instruction for secondary teachers of Russian; at the

University of North Texas, for the

incorporation of video-based interviews

conducted in Normandy into technology-based

instructional materials; and at Pennsylvania

State University, for telecommunicated

Instructional materials in archaeology.

National Endowment for the Arts

The Arts Infrastructure

Since 1965, the Federal Government has provided

American artists, arts institutions and arts organizations over $2.9 billion in funds. State

appropriations for the arts in roughly the same

period total nearly $3.7 billion. In each of the fifty states and the six "special jurisdictions" (the

District of Columbia, Puerto Rico, the Virgin

Islands, American Samoa, Guam and the

Northern Marianas), state arts agencies or their equivalents provide leadership and guidance, and

administer grant programs similar to those at the

Federal level. Six regional organizations likewise

provide funds for regional initiatives such as

touring and regional arts fellowships.

In addition to state and regional arts agencies,

there has been a remarkable growth in the

number of local arts agencies in the past 30 years, from 155 in 1965 to over 3800 today. While

federal funds decreased since 1991, local arts agencies' budgets have increased an average of seven percent each year. And, a group of

national arts service organizations has come into

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being — assisting theaters, dance companies,

symphony orchestras, small presses, visual arts organizations and visual artists, media arts centers, film and video producers, folk and

traditional artists and opera companies, or representing diverse ethnic constituencies and

cultural organizations.

The so-called "Arts Infrastructure" also includes

thousands of American arts institutions. In 1993,

for example, federal funds assisted over 100

dance companies, 44 literary magazines, 113

professional opera companies, over 200

professional theater companies, approximately

200 symphony orchestras and nearly 150 visual

artists organizations. In addition, over 300

primarily minority organizations in America's inner

cities and rural areas benefited from federal

assistance. While these examples do not illustrate the full range of America's cultural activities and

do not include federal grants to individual artists of

exceptional talent, we believe that they do serve to

illustrate the vast potential of American creativity

within the not-for-profit sector. Selected Examples of Arts and Technology

Projects Supported by the NEA

The following grants represent a selected sample

of some of the art and technology projects which

the National Endowment for the Arts has

supported:

National Arts Education Network: Through a

cooperative agreement with the U.S. Department of Education, the Arts Endowment is providing support to the John

F. Kennedy Center for the Performing Arts

for a National Arts Education Information

Network, ArtsEdge. ArtsEdge, currently the

only national computer network specifically

for arts educators, is a national online

service designed to: (a) connect people to people and people to information; (b) to build a "knowledge base" of promising programs

and practices, and provide links with other

networks in education and in the arts; and

(c) to coordinate all of the above through a . national hub, responsible for the effective

administration of the network.

"Arts Wire": A program of the New York

Foundation for the Arts, Arts Wire is a national

online service for the arts community. It links over 500 arts organizations across the nation

and is adding an average of 30 new

organizations each month. Arts Wire provides

immediate access to news, information, and

dialogue on conditions affecting the arts today.

During the NEA ART-21 conference in Chicago in April 1994, full transcripts of major

speeches and summaries of discussion

sessions were uploaded from the conference

site onto Arts Wire for immediate

dissemination to subscribers. Comments and

suggestions made on line are being reviewed

and considered by the Endowment as part of

its 5-year planning process.

Electronic Assistance for Underserved

Communities: The citizens of many states

with largely rural populations lack access to large urban centers and depend on their state and local arts agencies to provide "grass

roots" access to the arts. The NEA has

provided funds to an unprecedented

partnership of state agencies, local organizations and statewide assemblies in a

five-state region which includes Montana,

Nebraska, North Dakota, South Dakota and

Wyoming. The purposes of these grants

include: technical assistance, organization of

local and regional workshops, and on-line

networking opportunities. The five-state partnership project, called Art Beyond

Boundaries (ABB) began at the grass-roots

level to met the needs of rural arts organizations that were on the fringe of

programs and informational networks. Within

the five original ABB states, only nine cities have populations over 50000. Great

distances, sparse population, isolation, severe

weather. Native American populations and

tourism are their common bonds. The ABB

crosses state and regional arts borders to bring rural people from the High Plains Region

together. These computer conferences have

grown and now include representatives from

Missouri, Kansas, Minnesota, Iowa,

Wisconsin, Idaho, and Colorado.

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Computer Music Information Project:

Througli a grant to the International

Computer Music Association (ICMA) located

in San Francisco, the NEA is supporting the

Computer Music Information Project. The

project will provide services to composers in three areas: development of computer

music resource information and

dissemination of compositional software

through the creation and maintenance of the

ICMA software library, a catalog or library that can be accessed nationally by

composers via electronic mail; creation and

production of a new ICMA compositional

research video, containing recent compositional research information on computer music; and publication of the ICMA

directory and ARRAY, a computer newsletter

that includes a calendar of computer musicrelated events and information on new

hardware and software products available

commercially.

Computer Mapping Tools in Inner-City

Schools: Through a 1992 grant to Boston

designer Barbara Barros, Boston high

schools will have easy-to-use computer

mapping tools which will teach inner-city

students to sketch and map their local urban

environment and to learn urban design

analysis skills. This model will eventually be

incorporated into the Youth View program of Boston's CityView Network. The project will give students an engaging way to learn basic computer skills and will provide them

with visual information about the inner city.

Both the participants and the community will learn how the physical conditions of the city can be improved based on the perceptions

young people have about their neighborhoods. This project encourages

students to become community participants,

helping other students and members of their community to take part in shaping its future.

Fundamental Design Principles for Children:

With a grant to the Center for City Building

Education Programs in Santa Monica,

California, the NEA is supporting "Portable

Effects," an interactive videodisc and

software program to introduce children to fundamental design principles through

everyday objects. Using the urban

environment as a focus for integrating math,

science, language arts, and history, the City

Building Education Program believes that inventive thinking and problem-solving skills associated with the practice of architecture

and design can be fostered in young students.

The video will be distributed throughout a

network of schools and through educational

software catalogues. Training will be offered

to teachers and school administrators

throughout the United States.

Public Art Seattle: Through the Seattle Arts Commission, the NEA supports Public Art

Seattle, an innovative public education feature

of the city's public art program. Using a new

interactive software technology from Apple

Computer, information about the city's 2,000 : public artworks will be made available in high

resolution images and text at specially

designed kiosks at branch libraries, hotels, the

convention center, shopping malls and

community centers. An audio playback

component will be incorporated into the

system to offer explanations of the artworks

by artists, designers and historians, and

projects which incorporate sound as an

integral part of the art itself will be included. A

CD-ROM version of the entire collection will be created for mass production and national

and international distribution to schools,

libraries and arts institutions.

Graphic Design Resources: Through a grant

to Indiana University, the Lilly Library's

collection of graphic design history will be

documented and made accessible with

interactive software. The collection is a worldfamous repository for graphic design and the

printed word. In addition to rare books and

historic manuscripts, the collection includes

sheet music, film posters, atlases, maps,

photographs, book jackets, games and

children's books.

Two grants, one (in 1992) to the Cooper Union for the Advancement of Science and Art in the City of

New York and another (in 1993) to the Rochester

Institute of Technology in Rochester, New York,

support the development of a National Graphic

Design Archive as a collaboration among the

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Cooper Union, the Rochester Institute, and the

University of Illinois at Chicago. Using graphic

design collections as a resource focus, the archive

process will transform material housed in institutions throughout the U. S. into electronically

accessible visual imagery. The archive will make

the in-depth study of graphic design history

available to students and teachers

nationwide. Moreover, the technology as well as

the methodology will serve as a prototype for electronic textbooks for other fields and topics with

similarly limited access to study of the original material.

Digital Images from American Museums: In 1993, the NEA awarded a grant to Harvard

University's Fogg Art Museum to support the

development of a computer imagebase to document the paintings collection. Considered one of this country's finest collections of European Old Master, 19th

century and American paintings, the Fogg

Art Museum houses some 1,800 pictures.

The project will first convert the Museum's

existing mainframe database into a format

retrievable on personal computers and then

enhance some 300 object records by adding

digitized images.

A 1993 NEA grant to the Corcoran Gallery of Art in Washington, DC supports the design and

implementation of a computerized digital image

database to house information on the collection of American and European paintings and sculpture at the Corcoran Gallery of Art. In an effort to modernize and make more accessible its collection records, the Corcoran intends to produce an electronically published catalogue

which pairs documentation on each object with a

digitally enhanced image. Arts Endowment funds

are paying for purchase and installation of the

software and for the production of digital images.

The Arts and Humanities on Public

Television: Twenty Years of Cultural

Programming

The National Endowment for the Arts and the

National Endowment for the Humanities have

helped provide access to our heritage by their support of broadcasts on public television. Since

1976, the two Endowments have supported over

1,000 television programs in 31 series. Viewers

have been able to see Baryshnikov dance, Seiji

Ozawa conduct, Jessye Norman sing, Alan Lomax

discourse on folk music, Pinchas Zukerman play,

Georgia O'Keeffe reminisce, and Max Roach play

the drums. This medium has brought historical series such as The Civil War and the Adams

Chronicles Into the living rooms of millions of

American homes. The quality of the programs

supported with federal dollars has been publicly

acclaimed virtually everywhere honors are given.

A quarter of the PBS audience lives in rural areas and small towns. The vast educational potential of the existing archive — not to mention new works

and new series yet to be developed, funded and

presented — remains to be fully realized. An

enormous amount of high-quality programming

waits to be presented to new audiences as well as

to an enthusiastic audience which would love to see it again. When these existing programs are adapted and supplemented for interactive viewing,

their educational value will be increased

dramatically.

Museums and the Institute of Museum

Services (IMS)

The Museums Infrastructure

Museums are an integral part of the American

educational system and are major sources of the

Nation's cultural and scientific information.

Teachers rely on museum educators, on objects

and on exhibits to teach students in all academic

disciplines, to provide training in job skills, and to explore issues facing our world today as well as in the past. America's 8,000 museums care for, educate with, and present more than 700 million objects of our artistic, cultural, and scientific heritage. They are also the leaders in interactive

educational exhibits.

Museums serve not only as repositories for rare or

significant artifacts, but they also have a vital role as centers for scholarly research. Museum

curators are significant contributors to the nation's

scientific and cultural dialogue, and help preserve

national, regional and local identities.

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Museums attract over 600 million visits a year. They are located in every rural and urban area of

the country, serving all segments of the population

without imposing any economic or educational

requirements. In many cities and towns, they are

a powerful magnet attracting tourists and visitors whose stays add valuable supplements to the

local economy. A survey by the American

Association of Museums in 1989 found that museums employ 92,000 full-time workers and

another 56,000 part-time employees. Perhaps an even more significant gauge of their importance to

their communities is the extent to which paid staff are greatly outnumbered by the 356,000

volunteers who annually donate time and energy

to local museums.

In addition to the applications underway at the

National Gallery and the Smithsonian Institution,

the Endowments and the Institute of Museum

Services provide grant support for applications at many private and public museums throughout the

country. While both Endowments support

museum exhibitions, the Institute of Museum

Services is the only federal agency that provides

general operating support for museums, and its mandate extends beyond the arts and the

humanities to embrace every type of museum

including science museums, zoological parks, and

botanical gardens. The IMS is especially

interested in supporting information technology to improve communications among museums and

other educational institutions. Three quarters of all objects in American museums are natural or living

materials, anthropological and archaeological

collections. The American museum community is committed to linking these collections through the

Nil as well. These collections, the knowledge of

the scientists, curators, and other professional

staff, as well as the print, visual, and research

materials in their holding may become accessible

to even more people through networks of communication outside the museum and

classroom walls.

Internet utilities such as World Wide Web (the part

of the internet that makes possible the distribution of audio, video, graphics and photographs as well as text) and Mosaic (the software used by most

people for access to the Web) provide vehicles for museums and individual artists to present their information to the public over the Internet. Several

museums have been able to use gopher servers (computer bulletin boards which direct users to information) to provide information to Internet users on current exhibitions, schedules, and

directions to museums. Museums worldwide are producing "virtual tours" of their collections.

Electronic technology is transforming museum

practices and is opening new opportunities for educational programs. The National Gallery of Art is developing an internal database featuring

high-resolution images and detailed curatorial

information on each item in the collection. The

same high-quality images will be used in another

program designed specifically for the general

public's use in the galleries. Already, CD-ROMs

are giving home computer users access to many

collections. For example, CD-ROMs issued

recently include: "Masterworks of Japanese

Painting: The Etsuko and Joe Price Collection"

published by Digital Collections Inc.; 138 paintings

from the Frick Collection published by DCI; and

"Art Gallery" featuring more than 2000 images

from the collection of London's National Gallery

published by Microsoft.

Selected IMS Activities

The Texas Association of Museums: With

grant assistance from the Institute of Museum

Services, Texas museums are now linked by an in-state network, making professional resources, comprehensive information on

exhibitions, and other materials available

online.

"New Orleans Neighborhood Development":

The Historic New Orleans Collection has

developed an interactive program with maps,

photographs, and city documents from 1800-

1960. The program provides interactive tours

of neighborhoods to help museums, archives,

and individuals do property research in order

to find historical building plans, obtain permits

for new buildings, and other aspects of city

planning.

Harvard University Biodiversity and Biological

Collections Gopher: Contains entire

databases of catalogue information from

systematic collections at Harvard's Museum of

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Comparative Zoology and the Grey

Herbarium and other Harvard arboretum and

herbaria collections as well as images from

these collections.

Other Museum Activities

The Museum Computer Network: A non

profit organization dedicated to fostering the

cultural aims of museums through the use of

computer technologies. MCN sponsors

special interest groups in archeology and

ethnography, art museums, Internet, information system managers, small

museums, visual information, and

vocabulary and cataloging. MCN actively

supports standards for automated recording

and retrieval of museum information and is working towards creating mechanisms for interchange of electronic information in museums. SPECTRA is MCN's quarterly

publication.

CIMI, the Consortium for Computer

Interchange of Museum Information: This is composed of organizations in the United

States, Canada, and Europe that are

collaborating to promote an open standardsbased approach to the creation and

interchange of information relating to the

professional and business activities of

museums and cultural heritage

organizations. In May 1993 they issued a Standards Framework for the Computer

Interchange of Museum Information.

The Getty Art History Information Program's

Museum Image and Information Standards

Project: This consortium will address the

standards needed to guide the future of

digital imaging for the arts and humanities:

the quality required for scholarly research,

the information needed to identify images,

and the right issues that improve or impede

access.

The Association of Art Museum Directors:

They have recently created an Internet news

group, AAMD-L, to encourage conservators,

educators, curators and registrars to exchange conservation reports, exhibition

schedules, and other information leading to time- and cost-saving standardization of forms

and practices, and pioneer collaborations on

publications over the Internet.

Interactive Computer Modules in Museums:

The NEH has supported a number of

interactive videodisc projects in conjunction

with exhibitions it has funded.

A current project, "Windows on Richmond,

uses computers and a database of images

from a large collection of historical photographs to allow visitors to compare past

views of Richmond with Richmond today.

An exhibition at the Illinois State Museum on

domestic life in Illinois included interactive

computer stations entitled "Voices and

Choices" in each section of the exhibition. By

touchscreen visitors could put themselves in the "shoes" of people from the past and

confront some of their life choices.

Computer stations in "The Peopling of

Pennsylvania," an exhibition at the State Museum of Pennsylvania and the Balch

Institute for Ethnic Studies, allowed visitors access to information about the lives of 200

historical personages. An exhibition in the

planning stages at the Computer Museum in Boston will use computer technology almost

exclusively to explore the ethical, social, and

cultural implications of "The Networked

Society." As part of the exhibit the Museum

has created a Gopher server that will allow

remote visits by anyone with access to the

Internet. Remote users will be able to access

the Museum's exhibit text, images and

interactive software.

A recent award to the Yeshiva Museum in New York will use "virtual reality" to transport

exhibition visitors into the interiors of ancient

synagogues. The exhibition will travel

nationally.

Other Federal Agencies

Smithsonian Institution: The Smithsonian

Institution is actively engaged in the new

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technologies and is conducting numerous

projects which improve its technical

capacity, extend its museums' reach around

the world by making some collections

accessible on the Internet, and create programs that are available to the public.

The Smithsonian has embarked on some

private sector partnerships to achieve these

goals. The Deputy Assistant Secretary for External Affairs leads an institution-wide

working group on technology.

Kennedy Center: The John F. Kennedy

Center for the Performing Arts has taken a

leading role in arts education issues and is designing and operating an on-line

information network called ArtsEdge

discussed above. ArtsEdge maintains an

"information gallery" with profiles of existing

arts education programs and is developing an annotated on-line directory of video resources available for arts educators.

Library of Congress: The Library of

Congress would like to establish, in collaboration with other major libraries and

the academic and philanthropic

communities, a National Digital Library, the

"electronic library of the future." It will not be

a single entity, but actually multiple libraries throughout the nation and world linked

electronically. This National Digital Library

will operate in two realms. First, the national

digital collections will comprise a body of

materials in digital form, some of it converted

from library collections in traditional formats

and some of it digital in origin. The

converted material will come from libraries and other archival institutions all across the

country and will be accessible to anyone

anywhere with a computer linked to the

international networks. Initially, the unique

and historically significant collections in libraries — those most needed for educational and scholarly purposes — will be targeted for digitization and inclusion in the national digital collections. The second

realm of activity relates to national digital

library services, in which libraries cooperatively find new ways to catalog and

preserve digital research files, provide

information networks of new scope and

effectiveness, and construct new mechanisms

for dealing with the intellectual property rights

of the creative community.

Department of Education: In February, 1994,

the Department of Education issued Arts Education, A Research Agenda for the Future.

It identified the use of media and technology as one of the several trends in American

education likely to have a significant impact on

efforts to improve teaching and learning in the

arts and humanities subject areas. Project

ARTS (Arts for Rural Teachers and Students)

is a consortium headquartered at Indiana

State University and working closely with other

sites at Converse College, South Carolina and

New Mexico State University to implement

visual and performing arts programs for students in grades 3-5 in underserved rural disadvantaged and/or ethnically diverse areas. One of the major objectives of this grant is "to include the use of new technologies to encourage communication and exchanges of

locally developed curriculum materials

between schools at all program sites." PART III: Where Do We Want To Be?

Government and the private sector, as well as the

nonprofit educational and cultural sectors, have a deep interest in an educated American citizenry.

The humanities, arts and museums will provide

much of the educational and creative content on

the Nil and the exciting and interactive teaching

tools to reach children in and out of school. The

Nil is uniquely suited to present the diverse

cultures of our country; to foster better understanding and even appreciation of our

differences as well as what brings us together.

Government investment already is a major factor

in the innovative use of new technologies by the

cultural sector. Artists, scholars and museum

experts can continue to advance the entire field if they are supported to communicate electronically,

experiment, build databases, and present material

in exciting, interactive ways to children and the

public.

The cultural sector needs public and private

investment to digitize collections, so that the

134
building blocks of knowledge (written, visual and

oral - and encompassing the broad range of

cultures and points of view) are freely available to the public. Without a continued investment, the

public will receive only such cultural information as

the commercial sector chooses to present.

Ultimately this would hamper the ability of • specialists and the public to do original research

and to create new works.

The Nil challenges us to determine how best to use technology to foster the growth and

dissemination of knowledge and to link communities of informed citizens. This challenge

will require imagination, content, context, and

interpretation, which are essential ingredients of

the arts and humanities. With foresight we can

use the integrative powers of the Nil to build communities, improve our educational system and

reach the youth who are currently alienated by

formal education, and preserve our cultural heritage for future generations. The powers of this new technology must be matched by bold thinking.

Short Term Projects

Federal Cultural Agency Electronic Capability

All the federal agencies with cultural programs and

grant programs are at different levels of technical

capacity themselves. Some cannot communicate

electronically with applicants or grantees or even

panelists and staff. The agencies need to develop

their own intemal systems to better serve

constituencies and set a good example for the

nonprofit organizations.

Developing and Expanding Networks

Eariy experience with the online media has shown

that most Americans, cultural organizations,

artists, scholars, and citizens have a great deal to gain from being able to communicate about ideas

and issues and problem in the arts and

humanities. On-line services for cultural infomnation exchange, such as Arts Wire, urgently

need to be expanded and made accessible and more affordable to more subscribers.

Public Arts and Humanities Demonstration

Projects

The Nil is the logical host for increasing the

cultural conversations so essential to sustain

participatory democracy and community. An

accessible Nil has the potential to strengthen the

position of the artist and humanist in the

community and encourage the continuity of

cultural traditions.

The NEH, the NEA, and IMS should be

encouraged to develop national demonstration

projects that use new technologies in creative and

experimental ways for public humanities, museum

and arts programs. The National Endowment for the Humanities has recently announced its intention to sponsor a new initiative, the "national

conversation," on the topic of cultural pluralism

and our civic culture. The Nil could provide an

appropriate electronic forum for this and other

"town meetings" In the future.

Demonstration projects might include planning

grants for the creation of interactive learning centers housed in public institutions, such as

libraries, museums and performing arts centers.

Ideally, Nil demonstrations would link the resources of these institutions to stations in schools, shopping centers, and living rooms. Museums, for example, could provide access to information about permanent collections (such as

the Micro Gallery project at the National Gallery of

Art), with biographical, iconographical, and cultural information about individual artists and works as

well as customized thematic "tours" of the

collections and the physical plant of the museum.

Other learning centers could feature humanities

CD-ROMs on a variety of literary, historical,

artistic, and cultural topics, perhaps with an option

to go "online" to get more current information or to communicate with other repositories.

135
Long-Term Projects

Digitization of Cultural Collections Project

Public and private investment is needed to create, preserve, and make available in digital format

America's diverse cultural heritage: its art, its archives, its libraries. We need to make the

building blocks of knowledge accessible not only

to scholars and artists but to the general public to research, combine in their own ways, and

contribute their own knowledge. The federal

government should not decide what constitutes

this critical mass of information but should invest

in enough projects to include the depth and

breadth of American thought and culture. If the Nil succeeds in reaching all Americans, it will provide

virtually instantaneous access to an enormous

quantity and variety of information — the diaries of

ordinary Americans as well as the papers of

statesmen, videotaped performances, folklore collections, and a wealth of databases,

newspapers, and photographs. However, the

ability of this exciting new technology to convey

this complex heritage will be strictly limited by

what is available in digital form. Our society needs

an investment in documenting its cultural heritage

comparable in scale to the Human Genome

Project or the Biological Diversity Documentation

initiative.

The costs of retrospective digitization of our

nation's cultural collections will far exceed the

capabilities of the nonprofit institutions which care

for and transmit this priceless heritage. At a time

when these institutions would like to be investing

millions of dollars in new technologies and

digitizing existing collections, many are struggling

to keep their doors open and to meet rising

operating expenses. Dance companies, to take one example from the performing arts, are often

the sole repositories of choreographers' notes and

staging instructions. Today, most American dance

ensembles do not have the ability to preserve, even by using current video technology, an adequate record of the works they commission

and present. In fact, many dance companies

remain solvent only by extended touring, often

abroad, to raise funds to pay their companies.

Museums, historical societies, and research

libraries are hardly in better shape. Colleges and

universities have resorted to tuition hikes to supplement income from endowments and to balance budgets. Many art museums report

operating deficits, and although endowment funds

for all museums have increased in the past

decade, income from these funds has failed proportionately to keep up with increasing

expenses. Operating support provided by

governmental bodies also has declined

significantly in recent years. Independent

research libraries - where much of the nation's

most valuable texts and resources are housed -- are in an especially precarious financial state, and

many balance their budgets only by drawing from

endowments. Reports from library associations

emphasize the long-term financial threat to these

and other repositories. Clearly, our nonprofit

institutions in the arts and the humanities are in no

condition to shoulder the massive costs of

digitizing these collections. Leaders in the

nonprofit sector of the arts and the humanities

worry about stabilizing their current operations. If our nation's cultural legacy is to be preserved and

advanced, new financing is needed.

Education and Training Initiatives

Education and training in the uses of digital

technology for creating, presenting or preserving

art and other cultural artifacts should be facilitated. We fully support the immediate objectives and

long-term goals expressed in "A Transformation of

Learning: Use of the Nil for Education and Life- Long Learning," of Putting the Information

Infrastructure to Work. Implementation of these

goals will ensure that our nation's schools will be

properly equipped and connected to take

maximum advantage of the capabilities of the Nil. The Nil can offer information, communication, and

learning opportunities that meet high standards of

quality and help America reach the National

Education Goals. America's educational and arts infrastructure represents a vast amount of highquality content available for distribution over the

Nil — not only to our nation's children, but to their parents as well. Access to our nation's cultural

institutions is as important as access to centers of

136
scholarship such as libraries, universities and

research facilities.

Pilot Projects in the l-lumanities and Arts for Educating At-Risk Youth should extend mentoring

and the infrastructure to provide interactive access

points for those without network access.

Interagency collaborations and partnerships which use digital technologies in conjunction with the arts

to help combat the nation's social challenges —

such as crime, violence, and misunderstandings

between races and ethnic or cultural groups —

should be encouraged. The National Endowment

for the Arts already provides funds to non-profit

arts organizations with youth programs, including

the Manchester Craftsmen's Guild in Pittsburgh,

Jazzmobile in Harlem, and Self-Help Graphics in Los Angeles. These and other organizations

provide free, professional-level music and visual

arts training to inner-city youth. With appropriate

Nil facilities these organizations could reach more

"at risk" chi-dren and teenagers, while electronic

linkups could enable these centers to share

resources and ideas.

State and local agencies already have launched

promising new programs which need replication. For example, under the leadership of Mayor

Wilbur Smith in Fort Meyers, Florida, a program

called STARS (Success Through Academic and

Recreational Support) established partnerships

with youth organizations and arts groups

throughout the city to place young people

identified as "at-risk" in existing programs. When

the STARS program began, only one quarter of the 2000 students involved had a grade average

above C. Today, 3 years later, 80 percent of

these participants have a grade of C or better. Juvenile crime in the city of Fort Meyers

decreased by 20 percent over the last 3 years, while the youth violence rate in the country

increased. The U.S. Conference of Mayors

recently called on the federal agencies to create STARS-type programs across the country. The

Nil could serve as a vital link between local governments and arts agencies in spreading this and other useful models. Plus, the Nil could be

the vehicle for young people to share their experiences and their works with others, and to

find on-line mentors.

The Nil could help expand the partnership

between the National Endowment for the Arts and

the Corporation for National and Community

Sen/ice's Americorps National Service program.

The Writers Corp, a literacy project administered

by local arts agencies in three cities, will involve

authors and youths and could be greatly

expanded by the use of the Nil to link other arts agencies and localities.

National Initiative to Develop Software for

Classroom Use

The NEH intends to undertake a special, threeyear initiative to support the development, testing,

and evaluation of pedagogical software for enhancing teaching in the humanities. The

initiative will also prepare teachers to make

effective use of the new technologies in strengthening their teaching of humanities topics

and in extending access to new student

audiences.

Research and Demonstration Projects on Access to Digitized Resources in the Arts

and Humanities

An important step in the development of the Nil would be the capacity to fund a series of pilot

projects to enable selected groups of artists and

scholars to experiment with a representative

corpus of scanned materials significant to their disciplines. Technical experts would work with the

artists and scholars who would then be in a

position to recommend the software and protocols

that will be necessary to help ensure that digitized resources will meet the distinctive needs of each

area.

Census of Digital Resources

Scholars, artists, and librarians at hundreds of

institutions across the nation have created local databases of digitized materials in the arts and

humanities. There is an urgent need for a census

of these materials to promote wider access to these resources and avoid costly duplication of

effort. The census would provide a listing on the

Internet of what materials have been digitized,

137
where they are located, and how the material is represented (i.e., text, graphics, moving images,

etc.).

Development of "Navigational Tools"

To move the user to the center of this new

universe of information — requires the

development of navigational tools which go

beyond Gopher, Mosaic and other tools we know

today.

Electronic Libraries

Another important "next step" In the development

of the Nil would be the capacity to support a pilot

project that would demonstrate what will be

necessary to design a prototypical "virtual library"

of the future: its governance, organization,

economics, and educational functions, as well as

its technological Infrastructure. Although there is much talk about the "virtual library," there has

been little research or actual engagement with the

complex set of issues that must be resolved

before such a library can become a reality. Emory

University is now preparing to embark on a

project, In cooperation with Harvard and Yale, to explore these Issues and implement a working

model for sharing digitized collections from these

three institutions. The findings from this project

could then be translated to other consortia of

research libraries, public libraries, archives, and

historical societies.

Standards and Procedures for the

Preservation of Knowledge

There is also an urgent need to support

demonstration projects that will define and

promote shared methods and standards for the

production, storage, and distribution of digital

images. The computerization of cultural projects

and materials, viability issues, plans for long term

maintenance and distribution must be coordinated.

Any database developed without thought for permanence and reusability of the data and

images ultimately constitutes a net loss, not a gain

of information. Without the experience gained by

these pilot projects, we will lack the basic building

blocks for an effective Nil. Already, tentative

efforts are underway to coordinate digitization

projects. For example, there Is now a group of 1

1

universities that have formed a Digital

Preservation Consortium (UC Berkeley, Columbia,

Cornell, Harvard, Michigan, Pennsylvania State,

Princeton, Stanford, USC, Tennessee, and Yale)

to explore these issues, but they have not been

able to secure the financial support necessary to accomplish this work. In order to ensure that a comprehensive range of cultural material Is available and accessible on the Nil, it Is essential

to build digital resources. There remain questions

to be resolved:

What are the definitions of quality for visual

and aural image collections? What level of

resolution is adequate for online viewing? Are

there different levels for different disciplines?

What kinds of documentation are needed to accompany visual and aural Images?

What are acceptable compression standards

for distribution?

Sufficiently high bandwidth and speed must be

assured to meet the needs of artists and

cultural institutions. Wthout an ability to present high-resolution Images, full-motion

video and multi-channel stereo sound,

museums and other cultural institutions will not be able to transmit images or sound that is faithful to the full quality of the art they

present. For research purposes scholars In art history or musicology will want the highest

fidelity possible, as will audiences and

performers.

A critical issue for both the audio and video

industries Is the development of

universal/global headers that will allow the

seamless. Interactive, user-driven transfer of information across all networks. For audio,

the Information might Include number of

channels, audio sampling rate, style of

encoding, alternate channels (languages)

available. The header may also be required to carry some information about the history of the

program. For video, the information might

include the type of video received (e.g., PAL,

NTSC, SECAM, CD-I), the size of the

138
enclosed data packet, compression type, ' copyright information, and software

algorithms for decoding.

Development of universal headers vi/ill facilitate the integration of all end platforms

from HDTV to PCs. This type of addressing

will preserve the options for high quality

audio and video, ensure user choice, and

facilitate seamless processing without user

intervention.

Switched Network and Capacity and

Spectrum Reservation Studies are necessary to explore how a switched

network can successfully serve the needs of

the cultural sector, especially the nonprofit

arts and cultural institutions. Guidance is needed on how to develop meaningful access for non profits on the Nil. What will netcasting in the public interest mean/require

in a switched network? What is "appropriate

capacity" in a switched network? By what

gauges should the public interest be

measured?

In some areas it may make sense to set aside portions of the spectrum for alternative

programming, such as public access or

cultural presentations.

Federal Copyright Laws

Dialogue which might lead to solutions to major

issues of concern to authors and artists such as

the protection of intellectual property rights, fair compensation and universal access should

continue to be actively promoted.

The challenges to copyright law presented by new

technologies are numerous. The health of our

intellectual property industries depends on the

structures implemented to protect the rights of the

creative community and its institutions. New

media, which allow the use of music, video, still images, and text, raise questions about copyright

law and contracts. The granting of rights for future technological developments is of particular concern. The uncertainty in this field is inhibiting

acquisition and uses of images and texts.

PART IV: How Are We Going To Get

There?

The Federal Government can promote and

facilitate partnerships between public and private sectors which ensure that:

Technology developed by federal laboratories

is transferred and used to nurture intellectual property and the cultural sector. Conversely,

digitizing cultural information, and supporting

the works of scholars and artists will produce

technology transfer back to industry.

The Humanities, arts and museums receive

enough investment to acquire technology

tools, share their collections and knowledge,

and develop their future creative potentials.

There is a planned, well structured process for setting technical standards, to present quality

cultural information, imagery and sound in consistent format, yet does not exclude

cultural communities from offering their heritage, ideas and works.

There are enough demonstrations and model

projects that develop arts and humanities

content, and link the nonprofits with their users and audiences.

By interacting with the cultural sector, the federal

government can set a vision, help set national

goals, and establish the policy framework for an

Nil that functions as a new cultural medium itself.

Issues and Questions to be Addressed

Getting Governnnent Cultural Agencies

Online

Many of the examples in this paper of how the

arts, humanities and museums are using and

developing new technologies are results, in part, of federal funding and public-private partnerships.

Because the agencies discussed in this paper are and can be such important catalysts, they

themselves need to have a greater technical

capacity and ability to communicate with the field.

139
How can the Federal Government ensure that the

agencies responsible for developing the arts and

humanities and museums and other federal

agencies v\/ith cultural programs are able to participate in electronic conferencing and

developing of electronic services?

Access to the Nil

Through the Nil, the arts and humanities will be

available to Americans in inner cities, rural areas, on reservations and in ethnic communities, in hospitals, schools, libraries, museums, and art centers. People with little or no access to the

riches of our humanistic and artistic traditions can

learn about them, see and hear them, and create

their own ideas and works.

Cultural organizations, artists, scholars and

citizens involved in these disciplines will be able to communicate with each other and build on each

others' knowledge.

How will the government assure equitable access

to the Nil, so that all Americans can explore

diverse cultures and bodies of knowledge? How

will learning centers and cultural organizations

obtain the tools to use, interact with and help build the Nil? How can cultural organizations and

learning centers be Nil access points for people in their towns and neighborhoods?

The Nil Can Bring People Together

The arts, humanities and museums will contribute

to the civic good by helping people understand

and communicate about the diverse cultures of

America.

What role does the government have to help

diverse communities develop their cultural material

and ideas to share and explore with others on the

Nil? How can the Nil be used to have informed

"national conversations" about all kinds of issues?

Creating a National Cultural Collection

The combined wealth of information in our

libraries, museums, and cultural organizations

constitute a vast national cultural collection to be

made available digitally to people everywhere.

How will the government ensure that our complete

cultural history, to the extent practical, is available

in digital form? Can digitizing cultural collections,

historical and contemporary, occur in a comprehensive, coordinated process? How will collections of all kinds be identified and made

available?

Setting Standards

Setting standards will assure consistent, quality

information that will be available to the Nil, transfer

to business applications, and bring our cultural riches vividly to life for users.

How can the federal government best assist the

private sector in the development of standards for various classes of information? How can it assure

effective coordination among government cultural agencies? What standards should federal, state and local agencies use with their grantees and

contractors?

How should the federal cultural agencies address

such issues as resolution standards for scanning,

digitization, and presentation of images and other

graphic materials? What navigational tools can be

developed so that researchers and others can communicate across databases?

Learning Through New Technologies

The arts and humanities are an essential part of

every child's education, and a part of

government's Goals 2000 initiative. Educators

find that training in the arts and in the humanities

develops discipline, promotes teamwork, critical thinking, ability to make informed choices, and the

ability to express one's self constructively and

communicate with others. This training also

teaches the visual and media literacy that will assist young people to decipher and use the Nil.

How will all levels of government include the arts and humanities disciplines in the curriculum?

How can the Nil encourage the adoption of the

national standards established for the arts and for humanities?

140
How can existing models for teaching these

disciplines, for integrating them into the school day

and using them to teach other subjects be

disseminated? How will models for teaching that use new technologies be supported? How can

scholars, artists and teachers be supported to work together to develop educational content and

creative presentation in new teaching tools?

Creating Content

The arts, humanities and museums will develop

content for the Nil. The cultural sector can help

develop the Nil by creating educational and

engaging content that in turn will create demand

and participation.

How will the federal government support the

cultural sector to build databases and use . materials from history, literature and the other

humanities disciplines and present the arts in all their variety with their surrounding body of

knowledge? What model projects can receive

investment to use the technology creatively?

Contributing to Organizational Stability and

Reaching New Audiences

In the past 30 years government has encouraged

cultural development and has supported an

infrastructure of organizations. Colleges and

universities, research libraries, dance and theater

companies, music ensembles and centers,

nonprofit presses, folk life centers, media centers and workshops all are part of the humanities, arts and museums infrastructure across America that assures access by a wide number of people and

makes available a diversity of thought, research

and art forms. These nonprofits are often small,

understaffed, in need of better facilities and in danger of debt. To be part of the Information

Infrastructure, they will need assistance.

How can all levels of government and the private sector support cultural organizations to achieve

enough stability to acquire the tools and training

they need to be part of the Nil?

How will cultural organizations of all kinds be able

to use the Nil to reach new audiences? How can

cultural offerings on the Nil, such as virtual

museums and hypertext, encourage participants

to seek out the original experience: to visit a museum, attend a concert, go to a lecture?

How can cultural organizations use the Nil to improve management, learn from each other,

survey their students, participants and audiences?

How can they use it to achieve economies in management, such as storing, researching and

publishing information or doing block-booking?

Federal Copyright

How will the Federal Government protect

intellectual property rights and ensure appropriate

compensation for artistic creations and original

scholarship and writing? How can issues of rights

and reproductions be resolved so that images do

not become the private domain of a select few?

Educating and Training Humanists, Artists

and Other Users

Training and educating artists, scholars and other

trained practitioners in the arts, humanities and

museum community can add to the general store

of knowledge on the Nil, shape content and even advance technology. Artists, scholars, designers,

curators and others need access points and

training to communicate and collaborate on new

works and experiment with the technology.

Educators and managers of cultural nonprofits will need training to use the Nil and understand the

potential uses of digital technology.

How will the government be a catalyst for training?

Will the government and the public and private sectors work together to plan regional labs or access points where training and experiments

take place? How will the government encourage

educational and other institutions to share

technology and become training centers and or access points for the scholarly and creative

communities? Can the government and private sector cooperate so that artists and scholars can

collaborate with engineers, software developers

and manufacturers?

141
Conclusion

The National information Infrastructure promises

to extend the power of the human imagination to new frontiers, and American artists and scholars

will be at the forefront of this exploration. Through

the Nil the arts and the humanities will play a vital role in creating a new sense of citizenship and

community, in strengthening our schools and

offering exciting challenges to our children, and in creating new industries and works of art and

scholarship yet unimagined.

The Nil will provide the tools for bringing the world

of the arts and humanities to our nation's inner

cities and rural areas. The Nil will bring new

opportunities and resources to our nation's

disadvantaged youth, allowing them to share their ideas, thoughts and creative energies, and to make new links with other young people

throughout the nation.

The Nil can give all Americans, of all races, ages

and locations, their cultural birthright: access to the highest quality thought and art of this and prior

generations.

References

American Council for Learned Societies and the J. Paul

Getty Trust, Technology, Scholarship, and the Humanities: The Implications of Electronic Information

(New York, 1993).

Lydecker, Kent. Impact and Implications of Multimedia,

Museums and Interactive Multimedia, pp. 290-4, Diane

Lees, ed. (Cambridge, UK)

Standards Framework for the Computer Interchange of Museum Information; May, 1993 Museum Computer

Network

National Assembly of State Arts Agencies, Building

Coalitions for a Creative America, A Practical Guide to Federal Resources for Cultural Activities. 1994

Acknowledgments

Museum Computer Network

J. Paul Getty Trust George Lucas Educational Foundation

John Perry Barlow

Linda Bell, IMS

Jeff Berg

Martha Chowning

Karen Christensen

Dr. Elizabeth Cohen

Don Evans

Jeffrey Field

Mickey Hart Charles Henry, Vassar College

Ellen McCulloch-Lovell

Kent Lydecker, Dept. of Education,

The Metropolitan Museum of Art Olive Mosier

Barbara Paulson

Malcolm Richardson

Scott Sanders

Marsha Semmel

Mayor Wilbur Smith, Fort Meyers, FLA

Nicholas Spitzer

Keith Stephens •

,

Arthur Tsuchiya

142
Public Safety and The National

Information Infrastructure (Nil):

Supporting Law Enforcement

and Criminal Justice

DRAFT FOR PUBLIC COMMENT

PART I: What Is the Application

Arena?

Public Safety

"Public safety" means different things to different people. To tfie professional living in suburbia,

it's home burglary, car theft, and concern about

being mugged at the bank teller machine. To the

homeless, it's being set on fire while sleeping.

To the farmer, it's fear of being shot while driving

in the city. To the city dweller, it's random

shootings, muggings, and gang violence. To the

fan at the ballpark, its pickpockets.

The cop on the city beat has a very different view of public safety from the Federal agent

working an international terrorism conspiracy.

Drug smuggling from outside the country is connected to drug violence in low-income city

housing projects, but the people who combat

them work for different levels of government,

have different jobs, and use different tools and

techniques.

Public safety is first and foremost prevention and

deterrence of violent crime against people and

their property. Second, is apprehension and

punishment of those who break society's rules regarding such behavior. Together, these have

given rise to two major industries. One focuses on security; the other on law enforcement and

criminal justice. The National Information

Infrastructure (Nil) will be important to both, just as it will be important to city cops. Federal

agents, prosecutors, judges, and jailers.

Law Enforcement and Criminal Justice

One often hears the term "Criminal Justice

System," and conjures images of police officers

in blue, judges in black, and prison inmates in stripes. Each of whom are players on a big

stage, connected in a centuries-old process or "system" in which each plays a role relative to the other.

It starts with the rules society makes for the

acceptable behavior of its citizens and

organizations, and the penalties it imposes for those who act unacceptably. Some rules derive

from pre-colonial common law, but most derive

from statutes (laws), as do the penalties. Taken

together, the laws (the "criminal code") define

the various offenses against society and their respective penalties. The criminal justice system

is the process by which those laws are enforced.

The criminal laws in our nation are predominately a matter for individual states. Each has its own criminal code and its own

infrastructure for enforcement. In addition, the

Federal Government has laws dealing with matters that cut across state lines or are unique

to the national defense or other aspects of the

Federal Government. However, in numbers of

offenses, offenders, police, judges, and jailers,

the state and local numbers dwarf those of the

Federal Government. About 95 percent of all law enforcement personnel in the United States

work for state and local governments; and of the

17,000 law enforcement agencies in the country,

90 percent have no more than two dozen

officers. Half have only a dozen or fewer, and

143
only about 60 agencies have a thousand or more.

Whether Federal, State, or municipal, the

criminal justice system is basically the same. The Congress, legislature, or city council passes

laws that establish misdemeanor and felony

offenses and their penalties; creates and funds

investigative and police agencies that are empowered to make arrests; establishes and

funds a system of courts to adjudicate civil as

well as criminal cases; and creates and funds

institutions and agencies for the punishment and

rehabilitation of offenders.

When a person or organization acts in a way that some law says is a criminal offense, the system

is brought to bear in a series of connected steps.

In its most simple terms, step one is the

gathering of evidence of the violation by police or

investigative personnel. Step two is the arrest or apprehension of the violator. Step three is the

determination of guilt or innocence in a court of

law. Step four is the determination of the penalty

to be paid if the violator is convicted of the

offense. Step five is the execution or payment of

the penalty; and step six is the return to society

of the offender, usually involving monitoring in a

condition called parole.

Prevention and Deterrence

What we really mean when we speak of "public

safety" is the ability to live our daily lives without

fear for our personal safety or the safety of our

loved ones, and without fear of the theft of or

willful damage to our property. Society seeks to minimize those fears in two ways. One is in the

certain apprehension and punishment of

offenders, and the other is through a variety of

strategies for the prevention and deterrence of

crime.

Whereas the criminal justice system exists to apprehend, punish, and rehabilitate offenders,

"public safety" depends heavily on the countless

daily actions of individuals, groups, and

governmental agencies to make our homes,

neighborhoods, and communities safer. Some

of the ways we deter crime other than through

the criminal justice system are through barriers

to entry into our homes, automobiles and offices; neighborhood "watches" or patrols; lighting of streets and sidewalks; security screening in airports; and the simple presence of police

officers on our streets and security guards where

we gather. We also educate our children about

which behaviors are permissible and which are

not, about how to avoid victimization, and about

the penalties for violating the criminal laws. That

education has been enhanced and extended

recently by public-service media advertisements

featuring the McGruff "Take a Bite out of Crime!"

figure.

Nowhere does the expression, "an ounce of

prevention is worth a pound of cure," apply more

than in the realm of public safety. Because of the attention being paid to information

technology and telecommunications in the

criminal justice system, it is easy to overlook the

less structured and governmentally sponsored

realm of prevention and deterrence. Yet the

latter may prove ultimately to be a most fruitful area for Nil investment and targeting. Thus, the

public safety application arena for the Nil must

encompass such prevention and deterrence

techniques as detection and signaling of

intrusions, screening of persons who are

acquiring certain kinds of guns, and citizen . involvement in crime-solving.

Prevention and deterrence is itself an enormous

application area in the Nil. A whole industry of

manufactured devices has been created in the

span of a couple decades, and another industry

of security services based on telecommunications has also arisen. It has been estimated

that, nationwide, we are spending at least $50

billion on private security, and that the industry

employs about 1.5 million people, including

about 900,000 who work as security guards.

Throughout the land, the "911" emergency number is making every telephone an instrument for potential crime prevention and deterrence, in addition to summoning help when a crime is committed. As portable telephones and personal

communicators enter the scene, anyone walking

down the street or lying on the beach may deter

crime simply by the display of a device that can summon police and cause a crime description to be recorded. Criminals seeking targets of

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opportunity may pause at the sight of the phone

in the hand of an intended victim or bystander.

Who Are the Parties in the System?

Of all areas of society, the criminal justice

system probably comprises the biggest array of

organizations and job descriptions. What ties them together are structured flows of

information. Not unlike a raw material for a manufactured product, an offender passes

through one stage after another, from one

custody to another. All that the stages have in common are offenders and the information that accompanies them.

The first parties to deal with criminal offenses

are the line officers of the local police and county

sheriff departments, state highway patrol, park

rangers, drug enforcement agents, and other

Federal, State and local law enforcement

agencies. Their investigations are supported by

forensic scientists and technicians, and the

records and data processors who operate

fingerprint files and computer data banks. The

criminal cases they prepare are turned over to prosecuting attorneys who work for whichever

government's law has been violated. The

prosecutors interact with the opposing defense

attorneys and with the personnel - magistrates,

examiners, clerks and judges - who staff the

courts.

If the criminal case goes to trial, ordinary citizens are summoned to be jurors and witnesses; and if the case results in a conviction a new set of

organizations and people enters the stage. They

include pre-sentencing examiners, corrections

officers and managers, and parole boards and

officers. All together, about 1.65 million people

are employed in the nation's many criminal

justice systems.

Overseeing the systems are countless non- governmental organizations, legislative

committees, academicians and researchers, and

concerned private citizens. What they and all the system participants have in common is the

reliance on certain kinds of information, and the

timely and complete communication of that information.

Like a delicate machine with many interacting

parts, the criminal justice system poses great

challenges for its planning, funding and

management, not only within jurisdictions but

also between them. Increasing the numbers of police and investigators without increasing

prosecutors can mean that offenders will escape

punishment because their cases will not get to a

courtroom. Increasing police and prosecutors

without increasing judges and court personnel can mean that cases may be dropped or dismissed because the judiciary can't process

them. Increasing all of these without increasing

prison capacity can mean that offenders will be

returned to the streets too soon for lack of space

in which to incarcerate them.

Some Dominant Issues

Resource Allocation

The overriding issue in public safety today is where governments should allocate their scarce

resources in order to achieve acceptable levels of safety for their citizens and businesses. While

this is very much a matter of perception and

emotion, the Nil can play a positive role by

fostering investments and technologies that let people feel more connected to police and others

to whom they look for protection against crime.

Portable telephones and communicating devices

that can summon help at the press of buttons

may have a profound effect on public safety

everywhere.

A specific resource allocation question is what

tradeoffs to make between hiring more criminal

justice workers and equipping the existing

workforce with more powerful information

technologies. After all, telecommunications and

information, in combination with physical

evidence, have become the sine qua non of the

fight against crime. Few criminal offenders are apprehended in the process of committing their crimes, and few police officers arrive at crime scenes by pure serendipity. By leveraging

investments in information technology and

infrastructure, the Nil can help governments

across the country realize a greater return on

their scarce dollars.

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When it comes to governmental budgets, each

jurisdiction is affected by what others choose to do. The effects are not confined to interplay

between cities and counties over which will patrol what roads, or between two states wishing

to prosecute an offender who committed crimes

in both. They extend also to such resource

allocation decisions as whether to invest in automobiles or laboratories or radio systems.

Two neighbors may have different priorities, as may cities and their respective states.

Recidivism and Crimes While Awaiting Trial

Public safety professionals in almost every

jurisdiction are struggling with how to prevent

offenders from committing subsequent offenses.

Considering how may crimes are second, third, or fourth offenses, the issue cannot be

overstressed. The recent spate of "three strikes

and you're in" laws confirm this. It is interesting

to note how great a role information and its processing is playing in efforts to combat

recidivism. Offender criminal histories, analyses,

and even "artificial intelligence" techniques are being brought to bear not only on sentencing and

parole determinations, but also on pretrial

release of persons who are felt to pose a

significant risk of committing additional or subsequent crimes. The Nil can enhance these

efforts by enabling more relevant information to be focused on such determinations in a more

timely manner.

Citizen Involvement

How to foster and use the involvement of

individual citizens is a third key issue. It takes

many forms, from simple precautions aimed at discouraging crime, to testifying in court. The Nil can foster involvements by delivering multimedia

education, and multimedia information about

criminals and their crimes; and also by creating an infrastructure to enable citizens to summon

help more quickly and in a wider range of circumstances.

All Segments of Society

The fourth issue is closely related, namely how

to provide comparable levels of safety to all

persons, regardless where they may live, work,

or play, and regardless of their income. To be

truly "national," the Nil must support public

safety services to everyone at costs they or their

local governments can afford. The National

Center for Missing and Exploited Children is posting pictures of missing children on the

Internet, but those children may be located in city neighborhoods or remote countrysides

where no one has ever heard of the Internet, much less use it, either now or in the

foreseeable future. The pictures need another

route to the populace besides the Internet.

Know/ledge versus Privacy

An issue that has been with us for a long time

and will continue to influence our decisions is the

tension between the public's right to information

affecting the public health, welfare and safety,

and an individual's right to personal privacy. Part of the Nil will be new mechanisms for creating databases and information repositories,

and sharing and using them in new ways. The

tension will play out in both the technological and

political arenas. One of the greatest challenges

for the Nil will be to ensure protection of personal privacy in an infrastructure that by its very nature is oriented to maximize the

disclosure and availability of information about all things, including individual citizens.

Potential Benefits of Improved Information

Infrastructure

Crime is expensive. Estimates place its yearly cost to U.S. society at $163 billion, or almost

two-thirds of what we spend on national defense.

Individual victims pay some of those costs, while

governments and their taxpayers pay by far the

larger portion. Unlike such other application areas as manufacturing, commerce, and

libraries, there is no investment leverage from

fighting crime. All that is gained is a reduction in costs.

Because those costs are so enormous, even modest reductions can yield considerable

benefits. Two examples readily come to mind.

One is prison construction, which has become

the fastest-growing segment of state budgets. If

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the nation did not have to contend with an

inmate population that has tripled since 1980,

these sums could be spent far more productively on such infrastructure improvements as roads

and telecommunications. Although the prison

construction is necessitated partly to replace

aging facilities, both the states and the Federal

Government are creating the space primarily to incarcerate new and repeat offenders for longer

periods of time, in response to increases in the

incidence and prosecution of crime.

Another example is the recent history of adverse

effects on the tourism industry in southern

Florida as a result of crimes committed against

visitors from abroad. In an era of ubiquitous,

fast, and relatively affordable travel, people from

around the globe are visiting the United States. Perhaps the only noneconomic condition that will discourage this travel and its economic benefits

to our country is the fear for a visitor's personal

safety.

Information infrastructure used to support the war on crime holds the potential for cost reductions in many ways. When it plays a role in fighting organized crime, including international

cartels, and in reducing the flow of illegal drugs

into the country, its result may be the redirection of tens or hundreds of millions of dollars from

crime bosses and their underlings in other

nations to honest citizens and their businesses

here in the United States.

To the extent that the information infrastructure

contributes to reductions in crime against

individual citizens, it may yield the greatest

benefits of all. Apart from simply feeling safe

and secure in one's home and place of work, in travel and recreation, and in conducting the daily

affairs of life in a community of people, the

benefits are strongly economic. Crime against

property results in costs to repair or replace, and

in lost business and wages. Crime against

people costs not only in medical expense but in lost productivity and in the need for social

services. Together, these costs in the United

States are estimated to approach $20 billion. Nil investments to reduce such costs are bound to be welcomed by the American public.

How Do We Measure Results?

Public safety offers two ways of describing its condition. One is through an array of statistics about the incidence and costs of crime. Another

is through perceptions — how people "feel" —

which perhaps is evidenced best by the words

and deeds of elected officials and the outcomes

of elections. These two forms of measurement

do not always coincide. Crime may not be the

most important political issue at a time when it is increasing, and, conversely, it may be the

electorate's paramount concern at a time when it

is actually in decline.

In terms of dispassionate statistics, there are

countless measurements of the incidence of

crime, the costs of crime, the rates of recidivism,

the effectiveness of different strategies of parole

monitoring, etc. As new information

infrastructure is brought to bear on the incidence

and costs of crime and the perceptions as well as reality of safety, it will be reasonable to compare those infrastructure costs with the

reductions in the occurrence and costs of crime.

PART II: Where Are We Now?

Broad Trends to Date

Apart from the underlying societal conditions that have given rise to increases in crime, several

broad trends have emerged in the criminal

justice system since World War II (WW II).

Reliance on Radio Connmunications, and

Mobility

A half-century ago, police officers patrolled city

neighborhoods on foot. To communicate with

their headquarters, they walked to special call- boxes, which were dedicated telephone circuits

to headquarters dispatchers. In a relatively short

period of time, radio systems replaced call boxes, impacting, via the automobile, the foot

patrol officers who used them most.

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Initially, the radio equipment was of a size and

weight that required an automobile. Automobiles

also let police departments respond more quickly

to requests for help, and cover larger areas with

fewer officers — essential in suburbia. Today,

with the development of micro-miniaturization,

radio equipment can be worn on an officer's belt, enabling local authorities to rediscover

"neighborhood policing" on foot and even on

bicycles. The Nil can support this trend,

principally through actions in wireless

communications.

Public safety as we know it today grew up

around radio technology, and depends more

heavily on that one technology than all others

combined. The National Crime Information

Center (NCIC) would be almost meaningless

without the radio link between police dispatchers

and patrol cars. Without radio dispatching of

officers to crime scenes or citizens in distress,

communities would be faced with the choice of

increasing their patrol forces by perhaps an

order of magnitude, or of being unable to respond in time to apprehend criminals, render

citizen assistance, and gather essential crime- scene data.

Reliance on "Listening"

While Sherlock Holmes didn't solve crimes by

electronically eavesdropping on criminals,

today's detectives rely greatly on that technology, especially against crime that involves conspiracy. Organized crime

syndicates have been crippled after government

informers have worn body microphones, or after

its meeting places have been "bugged" by

criminal investigators. As criminals have

switched to planning their conspiracies via

telephone conversations instead of postal letters, telephone wiretaps have succeeded postal

interceptions as a crucial technique for preventing crime and gathering evidence.

Ironically, from the perspective of public safety,

the Nil may be seen as a two-edged sword. On

one side, it offers great potentials to law-abiding

citizens for the prevention and deterrence of

crime; but on the other, its use of digital

technology with privacy encryption may force law

enforcement to seek new alternatives to wiretapping telephone communications.

Several Federal government agencies have

been working hard to reconcile the established

crime-fighting power, conferred in law, to intercept certain telephone communications, with

the emerging digital technologies and encryption

capabilities that could have the practical result of

rendering ineffectual the statutory power to record those phone conversations. The agency

efforts have given rise to a public discourse that may serve to clarify national policies in this area.

Creation of Shared Databases

Before World War I!, law enforcement developed

the concept of the shared information file for fingerprint records and criminals' modus

operandi. The security environment around WW

II and the ensuing Cold War gave rise to centralized files of national security clearance

information about individuals. Almost all of this information was in paper dossiers.

With the advent in the mid-1 960's of what was

called "third-generation" computer and

communications technology, law enforcement

began to see the possibilities in making

important information available instantaneously

to criminal justice agencies in multiple

jurisdictions. The FBI's National Crime

Information Center (NCIC) built new computer

databases of wanted persons and stolen

property, and constructed an on-line inquiry

system to enable Federal, State and local line officers in vehicles and on foot to learn in seconds, e.g., if a particular automobile license

number had been reported as stolen. The NCIC now holds over 24 million records in 14 files, that are accessed directly or through intermediaries

by over 500,000 individuals in over 70,000

Federal, State and local agencies, using about

97,000 computer terminals to send over a million transactions every day.

On-line computer databases exist now to support practically every aspect of criminal

justice, from smuggling and terrorism to stolen

art and parole violation. They have been built at Federal, State, and local levels. In one example,

148
the Los Angeles County Sheriffs Departnnent

operates the Gang Reporting, Evaluation, and

Tracking System, known as GREAT, containing

information on about 1500 street gangs and over 100,000 street gang members, and which is accessed by over 1 30 law enforcement agencies

nationwide.

These systems of shared data have become an

essential weapon in the war against crime,

because crime and criminals are not confined

within political borders. As our society has

become mobile, so has crime. The public

safety/criminal justice system in the United

States is essentially local. The state agencies

do what the local agencies are unable to do, and

the federal agencies are built around interstate

activities. Consequently, the sharing of

information across political boundaries is crucial

to the public safety picture in the United States.

Importance of Forensics and Science

In our criminal justice system, a person charged

with a crime is presumed innocent until proven

guilty. Increasingly, that guilt is ascertained from

evidence based on scientific knowledge, and

analyzed with instruments and techniques

unknown a half-century ago. Most prominent

recently has been the technique of deoxyribo

nucleic acid (DNA) analysis, which has been

touted as the 21st Century counterpart to the

discovery of fingerphnt identification at the

beginning of the 20th Century. It will join

fingerprints, ballistics, the examination of fabric,

hair, ink, soil, paper, etc., and the laboratory

analysis of illicit drugs as a major weapon in the

arsenal against crime.

Information gathering, analysis, storing, and

sharing over computer-based networks already

plays a vital role in the application of science and

forensics to public safety. The Nil offers a

significant opportunity to enhance this trend by

supplying new bandwidth for the transport of

such crime-solving information as images,

sounds, and laboratory measurements.

Some Changes Underway

From the perspective of prevention and

deterrence of crime, and of citizen involvement,

the growth of cellular communications and

investments in premises security technologies

are bound to have significant impacts. One way

of viewing cellular communications is to consider

each portable unit to be the modern-day

equivalent of the earlier police street-corner call- box.

Meanwhile, the estimated $15 billion market in security devices and systems is encouraging

development of new products and services by

the private sector. Automobile manufacturers,

supported by the insurance industry, are using

computer-based technology to build into new

vehicles the means of thwarting both car thefts and car-jackings. As to premises monitoring,

estimates place the number of active accounts at 15 million, and annual revenues to service

providers at $2.15 billion. Among others eyeing

that market, utility companies talk about

including security sensors that signal criminal

intrusions along with home sensors and controls

to regulate heating, cooling, lighting, and even

cooking.

Another change concerns what is called electronic crime. It rarely enters into discussions

of public safety because the latter tend to focus on personal physical safety, while electronic

crime is considered nonviolent crime against

property. Nevertheless, in the context of the Nil, electronic crime, almost unknown several

decades ago, may now be costing the nation

billions of dollars each year. The losses to businesses and financial institutions are borne

ultimately by citizens in the form of higher prices

for goods and services. Both increases in electronic crime and in electronic

countermeasures against it appear to be

unavoidable by-products of the Nil.

149.
Within the criminal justice community, perhaps

the biggest change underway is the cultural acceptance of information technology as a major

two-pronged weapon in the war against crime.

One is in direct support of line officers by giving

them communications and information access

capabilities that equal or exceed those of their criminal adversaries. The other is in improvements to the efficiency of operations

within the criminal justice system, as seen in the

wiring of parolees to monitor their whereabouts,

and in the introduction of interactive video

technology in the operations of court processes

and of prisons.

Resource Commitments

Besides building more prisons and hiring more

police, prosecutors, and judges, governments

are making some noteworthy information

infrastructure investments in support of public

safety. Two in particular have significant Nil implications.

Several states have initiated programs to search

fingerprint data electronically. Law enforcement

agencies have long recognized the desirability of

being able to match fingerprints quickly with data

already on file, and have been frustrated by the

delay in days or weeks that is inherent in a

manual, paper-based environment.

Consequently, governments are investing

millions of dollars in computer, scanning, and

communications technologies, and in accompanying data file conversions. Largest

among these is the FBI's multi-year program to automate its fingerprint processing operations.

Just this one application holds important

implications for the Nil. Digitized fingerprints are comparable to digitized photographs or maps or

large data files, and will need far greater

bandwidth to transmit them than is being used now by law enforcement for such simple data as

automobile license numbers and personal

identifiers.

The second infrastructure investment — not yet as far along as electronic fingerprint processing

but likely in the end to greatly surpass it — is the

conversion of the thousands of law enforcement

analog land-based mobile radio systems to

digital technology, and to the integration of those

systems into an entirely new and unprecedented

shared wireless infrastructure.

Leading the way is the state of Colorado, whose

Digital Trunked Radio System may be the model

for the next several decades. Now being

developed, it is intended to be a comprehensive

system with such functions as dispatch, car-to- car voice, car-to-car data, paging, data

dissemination from dispatch centers, and

support for portable computers with fax modems.

Most important, it will be a statewide backbone

linking public safety activities in local jurisdictions

with one another and with state agency

personnel, facilities, and information services.

The backbone will link with Federal data systems

such as the NCIC, and with systems operated by

other states.

PART III: Where Do We Want to Be?

Wireless Ho/ds ttie Key

For the nation's law enforcement community, the

"last mile," the "information highway on-off

ramp," is the wireless link to lonely highway

patrol cars in Colorado, to foot and bicycle police

officers in Detroit, to park rangers in the

Everglades, to border patrol officers along the * Rio Grande, to drug enforcement agents in Miami, and to police squad cars in Los Angeles.

The most elaborate information infrastructure of

powerful computers attached to fiber-optic

backbones is only as useful to public safety as

the wireless link to law enforcement officers.

From the perspective of law enforcement,

"where we want to be" involves two things. First, the ability of line officers to communicate not

only with dispatchers, but also with one another

must be at least as good in the field as in headquarters offices. It must be as good

outside urban areas with their cellular systems

as inside them. It must be as versatile on the

patrol bicycle or motorcycle or in the highway

patrol car as on the desktop at headquarters.

Second, information resources useful to law

enforcement agents must be made available to

150
them at times and in places where it will be of

the greatest value. Sometimes, this may be at a

headquarters office location, but more often it will be in an automobile. Those information resources are changing, and must be defined in tomorrow's terms, not today's. Among them will be a fingerprint scanner and a printer or display

that can show a photograph of a person's face,

along with a character display for license data,

outstanding warrant information, etc. Many law

enforcement parties believe that the risk of injury

and death to officers engaged in dangerous

situations would be reduced by having within the

wireless infrastructure the ability to transmit the

officers' positioning and body vital sign data.

The same wireless infrastructure that supports

line officers of law enforcement could also be

used to monitor the whereabouts of persons

awaiting trial or offenders released on parole.

Inventive entrepreneurs are creating devices

which can respond to wireless signals and be

affixed to individuals. As this technology is refined, made tamper-proof and extremely

reliable, it holds a promise of possible

alternatives to incarceration for some offenders.

Considering that it costs about $25,000 to house

an offender 1 year in prison, electronic

confinement or restriction at less than half that cost would be a major benefit to society.

Ultimately, public safety is bound to improve

when individuals can alert law enforcement

authorities at any time from any place, without

complete dependence on the wire infrastructure. We are already moving quickly toward this capability, and the pace is being accelerated by

the cellular telephone and security system

industries. Eventually, intrusion detection will probably be a feature of all new homes and

vehicles, as well as most business

establishments.

Other Technologies Can Count, Too

For as long as one can see, fingerprints will continue to be both the principal means of

positive identification of individuals and also a

crucial aspect of crime-scene evidence. The Nil can support the move to bring fingerprint

information into the electronic era by facilitating

current and planned governmental investments

in this public safety information endeavor. New

state and federal systems will need to be linked

with one another, and infrastructure will need to be created to facilitate such anticipated

capabilities as index finger scanners in police

automobiles, and electronic scanners of crime- scene prints.

Images and Sounds

In a related endeavor, separate law enforcement

agencies are beginning to examine the

possibility of developing a common technology

for obtaining identification information about

alleged offenders at the time of arrest. This

activity, known as "booking," involves

photographing as well as fingerprinting, and the

recordation of identifying characteristics, plus

data about the offense, the offender's residence,

etc. As techniques that deal with voice analysis are refined, the booking process may include

them, too.

Public safety officials anticipate that agreements

among jurisdictions and among agencies within

jurisdictions will lead to national standards for the

multimedia information obtained in booking.

This, in turn, is expected to lead to faster, more

reliable identification of repeat offenders, to improved crime-fighting across jurisdictions, and

to a greater degree of deterrence, in a related

vein, multimedia information, particularly images,

will surely be integrated with the textual and

numeric character databases that are now

accessed by law enforcement agencies.

Inclusion of image information along with such

descriptors as name and date and place of birth may not only lead to increased rates of offender

apprehension, but also to reductions in incidents

of mistaken arrests.

Possibilities in Video

As great strides are being made in video

technologies and their integration into the Nil, the picture of where we want to be holds several

appearances of video. One is in security.

As it applies to video, "security" is a combination

of prevention, deterrence, detection, and even

151
solution of crime. The use of video security

systems in businesses, at places of work, in public accommodations, and even in residences

has proven its value in both perceptions of improved safety as well as detection and

solution of incidents of crime. The advent of the

Nil raises some intriguing possibilities for the

extension of this technology to new places, such

as city streets, playgrounds, and parks.

"Neighborhood watch" programs might not

require residents to physically leave their houses, and urban housing complexes may be

able to be monitored by those who have the

greatest stake in that activity.

The other application dimension of video

technology is in the day-to-day operation of the

criminal justice system. Pilot projects in several

states are exploring the use of video in prisoner

arraignments. This application promises to reduce the costs of prisoner transportation in more spread-out and less-populated areas of the

country, as well as keep prisoners in their communities with their families and attorneys.

The pilots are already proving the technology's

value in large metropolitan centers, between the

city jail and the courthouse, where physical

transport is costly, time-consuming, and

potentially dangerous.

In general, the criminal justice system favors

direct face-to-face interactions and observations.

As video technology, including recording, has

matured, the courts are beginning to weigh its use, in recognition of its potential benefits. It is probably safe to project an important cost-saving

role in the widespread introduction of both video

recording and video interaction throughout

criminal justice system processes. The Nil promises to be a key facilitator of that role.

Electronic Crime

The more business is transacted electronically,

the more electronic crime will follow. In fostering

electronic commerce, the Nil will be opening new

vistas to clever criminals. When we think of

public safety we think more of physical crimes

against persons and property than such

monetary crimes as fraud and embezzlement.

Yet the two are not necessarily separate. The

home that is wired for utility and security

controls, plus video entertainment and computer

bill-paying, can also be a home that tells criminals when it is empty of people.

As the Nil unfolds, we want it to provide

protection against crime to go along with the

opportunities to commit crime. At a minimum,

protection is needed against electronic theft. Additionally, protection will be desired against

the use of the communications environment to target victims. To accompany the protections,

mechanisms will be needed to successfully

detect electronic crime and link it to its perpetrators with evidence that is strong enough

to gain convictions in court.

Links to Other Environments

Although the criminal justice system is compared

to a finely tuned clock, it does not exist in a vacuum. Deterrence against crime, detection of

crime, and prosecution of crime can all involve

connections into other environments. One

example is the link between law enforcement

and the financial community. Because the war

against organized crime and drugs is being

fought most successfully on the financial front, the more quickly and thoroughly law

enforcement knows about large cash

transactions, the more effectively it can use the

knowledge.

A related example deals with the legal side of

narcotics and other controlled substances, which

health professionals are licensed to prescribe

and pharmacists are licensed to dispense. To

enforce the laws, which can carry criminal

penalties, state and federal agencies monitor

behaviors through careful record-keeping of

prescribing and dispensing. Oklahoma,

Massachusetts, and Hawaii have been pursuing

prototype uses of electronic point-of-sale

transmission systems to collect prescription

information. These prototypes may point the

way towards widespread implementations when

the communications infrastructure is in place to support them economically.

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PART IV: How Are We Going to Get

There?

Planning and Funding ttie New Wireless

Environment

Getting there is going to require a major,

coordinated re-engineering of the wireless

environment for law enforcement. Not only must

agencies within levels of government plan

together, they must plan also with their counterparts in other political jurisdictions,

especially those of their neighbors. A new

wireless infrastructure must be designed and

built — one that will provide interoperability

among agencies regardless of jurisdiction, that

will give as good service to personnel outside

metropolitan areas as inside cities, and that will incorporate dynamic bandwidth allocation to enable the bursty transmission of image

information to and from mobile apparatus.

How will it be done?

Probably the biggest challenge in creating the

desired wireless infrastructure will be its planning. Few precedents exist for the level of interagency and intergovernmental cooperation

needed to accomplish this task. Colorado's

venture will be watched closely. The RAINBOW

Project inter-island microwave backbone in Hawaii is a multi-government, multi-agency success story, but the U.S. Customs Service

played the pivotal role.

No one government can fund what must be built nationwide. Individual states will have to step

forward as Colorado is doing, but the Federal

Government will also have to put its shoulder to the wheel, both nationally and within state borders, if the needed degree of interoperation is to be realized.

The National Performance Review (NPR) has

spawned a project to create a new wireless law

enforcement environment among federal

agencies, with the first action being the creation

of a Federal Law Enforcement Wireless Users

Group. The project envisions a "National Law

Enforcement/Public Safety Wireless Network for use by Federal, State, and local governments,"

but is that realistic, and if so, when and how?

The aggregate state and local needs far exceed

the total federal needs. Can the Federal

Government solve the states' wireless

problems? How will the state solutions dovetail

with that of the Federal Government, or should

federal agencies become users of the new state networks? Meanwhile, what spectrum allocation

strategy should be pursued, and what encryption

strategy should be adopted in order to secure

wireless law enforcement communications from

monitoring and interception?

Military, Civil Government, and PrivateSector Roles

Getting there can be helped by technology

transfer from both the military and from the

private sector. The U.S. Department of Justice

(DoJ) has been working with the U.S. Army to move into the world of law enforcement such

technologies as the one being pursued by the

Army for its sen/ice-wide DNA registration

database for identifying casualties. Similar

efforts in the realm of wireless communication

and its integration with wire-based networks may

also promise benefits.

The Army's Surgeon General's office is interested in developing a helmet with audio and

video capabilities to permit three-dimensional

imagery from the battlefield to base hospitals,

supported by vital signs monitoring. Law

enforcement officers with such equipment, using new communications infrastructures, might be

able to deter attacks upon themselves as well as

improve identifications of suspects and transmit

crime scene images. The U.S. Justice

Department is looking into the possible transfer

of this technology.

Meanwhile, the private sector has seen the

market for security products and services and is wasting no time in seizing opportunities. The

private sector would love to equip every home,

office, and vehicle with security sensors that would send signals via the Nil, perhaps tying

people and their cars to global positioning or the new "personal-for-life" telephone numbers. But should this public safety service be vested in the

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private sector, and if so, will it be available only

to people of means?

There has already been discussion and

controversy surrounding the military's role in the war against drugs, to which must now be added

law enforcement's concerns about its relation to the private security industry. What are the

proper roles of these two entities vis-a-vis law

enforcement in the new communications

infrastructure?

Investments in Prevention versus

Prosecution

Many believe that exploration of new electronic

strategies to prevent and deter crime deserve

equal or greater standing to ones for investigating and prosecuting crime. These may

include experiments with new approaches for premises security, and will surely involve

continued efforts towards controlling and

monitoring offenders outside prisons. The

development of "artificial intelligence" techniques

to assist both crime solving and crime prevention

might be enhanced by Nil progress towards

easy, inexpensive communication of multimedia

information.

New strategies may extend even to state-of-theart sensor-based projects, such as border

monitoring to interdict smuggling, prison security

systems, and advanced night and infrared vision

systems for use by police officers. Such

strategies can cost significant sums.

How much should governments invest in electronic and communications strategies for prevention and deterrence of crime, and how

much in technologies for catching and

prosecuting criminals, and removing them from

society?

Reengineering Information Systems

Getting there seems also to include efforts to move the collection and processing of

information into on-line computer-based

systems. These projects can be very costly, and

span many years. They include converting

paper processes to electronic, adding image

information to character data, entering into new

information sharing agreements, and creating new databases. Among them are the fingerprint

automation projects of the FBI and the various

states, the development of DNA "fingerprint"

data banks, new systems to implement the

Brady Bill and other firearms initiatives, and

projects to construct indices to facilitate information sharing among law enforcement

agencies.

Which of these projects should have the highest

priorities? How should the Federal

Government's projects be dovetailed with those

of the states? How should emerging

technologies be woven into the project plans?

Fostering Communication with the Public

Communication between law enforcement

agencies and the public they serve is a two-way

proposition. Agencies could use Nil capabilities

to inform citizens, e.g., about wanted persons,

missing persons, crime patterns, and special

precautions. For its part, the public could use

Nil capabilities to request assistance, obtain

information, provide tips and leads, and simply

keep more abreast of what is happening in local communities on a day-to-day basis. Even now,

the Internet is being used to send pictures and

access policy bulletin boards. But, the Internet

isn't a tool of choice for those who have the

greatest interaction with public safety agencies.

What is the tool of choice for those most affected

by crime? How many different avenues of

communication should be pursued? How should

cities differ from suburbs and from farms, parks,

and forests? As the medium changes, how must

the message change?

Security Overlay

Finally, getting there surely will involve the

implementation of a security overlay to protect not only the line officers and private security who

are on the public safety front lines, but also the

personal privacy of the country's law-abiding

inhabitants. The same extensive

communications environment that can foster public safety can also be used by criminals to

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thwart it. Officers and security personnel are

paid to take risks, but the risks ought not come

from their intercepted communications.

As information systems are re-engineered and new ones built, with more databases on more

people about more subjects, accessed by

thousands of criminal justice personnel

nationwide, how can we ensure the highest

levels of system integrity, data accuracy, and

appropriate use? Which of these systems, if any, should be accessible to private sector

security services, and under what terms and

conditions?

Furthermore, security issues related to public

safety extend into "white-collar" crime, where the concern is more about crimes against property.

Estimates place electronic crime against the

country's financial and commercial systems into the billions of dollars each year. Credit-card and

bank-card thefts, "stolen" personal identification numbers, and related crimes ultimately hit every

pocketbook. What do we need to do to minimize

the risks and impacts of these offenses while

utilizing Nil infrastructure and related technologies?

( Note : The figures on costs of crime, sums

spent, and numbers of agencies and personnel

are from the National Institute of Justice, U.S. Department of Justice.)
I

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