INFORMATION TECHNOLOGY RESEARCH, INNOVATION, and E-Government

Committee on Computing and Communications Research to Enable Better Use of Information Technology in Government

Computer Science and Telecommunications Board

Division on Engineering and Physical Sciences

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.



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Information Technology Research, Innovation, and E-Government INFORMATION TECHNOLOGY RESEARCH, INNOVATION, and E-Government Committee on Computing and Communications Research to Enable Better Use of Information Technology in Government Computer Science and Telecommunications Board Division on Engineering and Physical Sciences National Research Council NATIONAL ACADEMY PRESS Washington, D.C.

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Information Technology Research, Innovation, and E-Government NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington DC 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by the National Science Foundation under Grant No. EIA-9809120 and by the National Aeronautics and Space Administration. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the sponsors. Cover: Photo courtesy of the U.S. Department of Agriculture Photo Library. International Standard Book Number 0-309-08401-6 Library of Congress Control Number: 2002105188 Additional copies of this report are available from: National Academy Press 2101 Constitution Ave., N.W. Box 285 Washington, DC 20418 800-624-6242 202-334-3313 (in the Washington metropolitan area) http://www.nap.edu Copyright 2002 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Information Technology Research, Innovation, and E-Government THE NATIONAL ACADEMIES National Academy of Sciences National Academy of Engineering Institute of Medicine National Research Council The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

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Information Technology Research, Innovation, and E-Government COMMITTEE ON COMPUTING AND COMMUNICATIONS RESEARCH TO ENABLE BETTER USE OF INFORMATION TECHNOLOGY IN GOVERNMENT WILLIAM L. SCHERLIS, Carnegie Mellon University, Chair W. BRUCE CROFT, University of Massachusetts at Amherst DAVID DeWITT, University of Wisconsin at Madison SUSAN DUMAIS, Microsoft Research WILLIAM EDDY, Carnegie Mellon University EVE GRUNTFEST, University of Colorado at Colorado Springs DAVID KEHRLEIN, Governor’s Office of Emergency Services, State of California SALLIE KELLER-McNULTY, Los Alamos National Laboratory MICHAEL R. NELSON, IBM Corporation CLIFFORD NEUMAN, Information Sciences Institute, University of Southern California Staff JON EISENBERG, Senior Program Officer and Study Director MARJORY S. BLUMENTHAL, Director, CSTB JANE GRIFFITH, Acting Director, CSTB (January 1998 through January 1999) DAVID PADGHAM, Research Associate JANET BRISCOE, Administrative Officer

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Information Technology Research, Innovation, and E-Government COMPUTER SCIENCE AND TELECOMMUNICATIONS BOARD DAVID D. CLARK, Massachusetts Institute of Technology, Chair DAVID BORTH, Motorola Labs JAMES CHIDDIX, AOL Time Warner JOHN M. CIOFFI, Stanford University ELAINE COHEN, University of Utah W. BRUCE CROFT, University of Massachusetts at Amherst THOMAS E. DARCIE, AT&T Labs Research JOSEPH FARRELL, University of California at Berkeley JEFFREY M. JAFFE, Bell Laboratories, Lucent Technologies ANNA KARLIN, University of Washington BUTLER W. LAMPSON, Microsoft Corporation EDWARD D. LAZOWSKA, University of Washington DAVID LIDDLE, U.S. Venture Partners TOM M. MITCHELL, Carnegie Mellon University DONALD NORMAN, Nielsen Norman Group DAVID A. PATTERSON, University of California at Berkeley HENRY (HANK) PERRITT, Chicago-Kent College of Law BURTON SMITH, Cray Inc. TERRY SMITH, University of California at Santa Barbara LEE SPROULL, New York University JEANNETTE M. WING, Carnegie Mellon University MARJORY S. BLUMENTHAL, Director HERBERT S. LIN, Senior Scientist ALAN S. INOUYE, Senior Program Officer JON EISENBERG, Senior Program Officer LYNETTE I. MILLETT, Program Officer CYNTHIA PATTERSON, Program Officer STEVEN WOO, Program Officer JANET BRISCOE, Administrative Officer DAVID PADGHAM, Research Associate MARGARET HUYNH, Senior Project Assistant DAVID DRAKE, Senior Project Assistant JANICE SABUDA, Senior Project Assistant JENNIFER BISHOP, Senior Project Assistant BRANDYE WILLIAMS, Staff Assistant

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Information Technology Research, Innovation, and E-Government Preface The emergence of the Internet and other electronic-commerce technologies has fundamentally altered the environment in which government delivers services to citizens, businesses, and other government entities. New expectations—that government will match the private sector in offering direct, rapid, round-the-clock access to information and services—are cultivating the growth of “e-government”: the application of information technology (IT) and associated changes in agency practices to develop more responsive, efficient, and accountable government operations while fostering a more informed and engaged citizenry. The role of government with respect to IT research, development, and use has also been shifting. The private sector has eclipsed government leadership in many areas of IT adoption and use, even as government continues in its critical role as the principal agent for long-term IT basic research and innovation. Much like their counterparts in the private sector, many in government are actively experimenting with exploiting the new technologies to improve operations and the delivery of services. A wide range of ideas is emerging from these experiments, contributing to technology development, the improvement of business practices, a more streamlined government, and a more sophisticated public. Following September 11, 2001, a new mission, homeland defense, is placing new demands on IT capabilities and is heightening interest in such related areas as critical infrastructure protection.

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Information Technology Research, Innovation, and E-Government As part of its Digital Government research program, the National Science Foundation (NSF) requested that the Computer Science and Telecommunications Board (CSTB) undertake a study of how IT research could contribute more effectively to the activities and operations of government. CSTB established the Committee on Computing and Communications Research to Enable Better Use of Information Technology in Government to explore promising research opportunities and to identify ways to foster the exchange of ideas among computing and communications researchers and federal managers, including mechanisms for technology transition from the laboratory to government agencies and ultimately to operational government systems. The first phase of the committee’s work focused on two illustrative application areas—crisis management and federal statistics. In each case, the study committee convened a workshop to facilitate interaction between stakeholders from the individual domains and researchers in computing and communications systems and to explore research topics that might be of relevance throughout the government. The initial workshop in the series, held in December 1998, convened IT researchers and crisis management professionals from all levels of government and the private sector. The second workshop, held in February 1999, explored how IT research could contribute to more effective collection, processing, and dissemination of federal statistical data. This second workshop was conducted in cooperation with the National Research Council’s Committee on National Statistics (CNSTAT). The second phase of the study, culminating in the preparation of this report, combined what was learned in the two workshops with the results of previous CSTB reports and other efforts to examine IT research and e-government.1 To supplement what was learned in the workshops, the committee held two other meetings that included data-gathering sessions. Staff and individual committee members augmented the information obtained from these meetings by interviewing government officials working on e-government initiatives. In July 2001, the committee issued a letter report to the National Science Foundation laying out the rationale 1   This information included three workshop reports commissioned by the National Science Foundation’s Digital Government program: Sharon Dawes, Peter Bloniarz, Kristine L. Kelly, and Patricia D. Fletcher, 1999, Some Assembly Required: Building a Digital Government for the 21st Century, Center for Technology in Government, State University of New York at Albany, March; Herbert Schorr and Salvatore J. Stolfo, 1997, Towards the Digital Government of the 21st Century (a report from the Workshop on Research and Development Opportunities in Federal Information Services), June 24; and National Center for Supercomputing Applications (NCSA), University of Illinois, 1999, Toward Improved Geographic Information Services Within a Digital Government, NCSA, Urbana-Champaign, Ill., June.

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Information Technology Research, Innovation, and E-Government for involving computer science researchers in e-government work (see Appendix B in this report). In completing the second phase of the study, the committee was mindful of the increased emphasis in 2002 on critical infrastructure protection (both within and outside government) as well as a variety of initiatives to harness or develop IT capabilities for homeland defense and counterterrorism. While a number of other reports have addressed the significant challenges in better deploying today’s technologies in government, this committee’s final report distinguishes itself by focusing primarily on the relationships between IT research and government IT applications. Its recommendations are intended to foster connections between IT research and e-government innovation and to help catalyze the involvement of IT researchers in defining and realizing e-government programs. The committee’s findings and recommendations are presented in the “Summary and Recommendations” chapter of this report; subsequent chapters provide supporting material. The committee appreciates the encouragement and support of Larry Brandt and Valerie Gregg of the National Science Foundation. They provided vision and a wealth of information, and they gracefully accommodated a long schedule. The committee thanks Karen Sollins for her contributions to the early stages of the work, prior to her accepting an assignment at the National Science Foundation. She contributed valuable ideas, energy, and organizational skill. The committee also thanks the participants in the two major workshops, as well as the many individuals who responded to its requests for briefings and discussions. The committee expresses its appreciation to Andrew A. White, director of the National Research Council’s Committee on National Statistics, which cosponsored the second workshop convened for this project, for his support and assistance. The committee also acknowledges the effective support provided by the Computer Science and Telecommunications Board and staff. In particular, the committee appreciates the valuable suggestions offered by Board members during the review process. The study was supported by several CSTB staff members, in capacities ranging from organizing committee meetings and the major workshops to assisting in researching and editing of the several reports. In particular, the committee thanks Jane Griffith, for getting the project off to an excellent start and making many substantive contributions to the effort, and Marjory Blumenthal for guidance and encouragement. David Padgham provided significant research support to this project. Finally, the committee thanks study director Jon

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Information Technology Research, Innovation, and E-Government Eisenberg for his perseverance and professionalism in seeing the project through to completion. He provided careful facilitation of the process, and he made fundamental intellectual contributions to the product. William L. Scherlis, Chair Committee on Computing and Communications Research to Enable Better Use of Information Technology in Government

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Information Technology Research, Innovation, and E-Government Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Renny DiPentima, SRA International, Kenneth L. Kraemer, University of California at Irvine, Bruce W. McConnell, McConnell International, John Ousterhout, Interwoven Inc., and Robert Sproull, Sun Microsystems Laboratories. Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Sam Fuller, Analog Devices Inc. Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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Information Technology Research, Innovation, and E-Government Contents     SUMMARY AND RECOMMENDATIONS   1 1   VISION FOR IT-ENABLED ENHANCEMENT OF GOVERNMENT   21     Elements of the Vision,   29     Satisfying Expectations for Customer Service,   30     Increasing the Efficiency and Effectiveness of Government Operations,   33     Providing Effective Access to Information,   33     Providing Access to a Full Range of Transactions Online,   34     Increasing Participation in Government,   35     Meeting Expectations for Trustworthiness,   35     Meeting Special Challenges in Government-Unique Areas,   36     Technical and Process Challenges to Advancing E-Government Programs,   36     Why Now?,   38     Technology Foundations for E-Government in Place,   38     Growing Awareness and Demand,   40     E-Government Policy Initiatives,   41     Government IT Research for Electronic Government,   43

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Information Technology Research, Innovation, and E-Government 2   SPECIAL CONSIDERATIONS IN E-GOVERNMENT: WHY GOVERNMENT LEADS IN DEMAND FOR CERTAIN INFORMATION TECHNOLOGIES   45     Ubiquity,   45     Access for Everyone,   46     Access Everywhere, Anytime,   48     Trustworthiness,   48     Access and Confidentiality,   52     Structural Constraints,   53     IT in Support of Government Functions,   54     Crisis Management and Homeland Defense,   54     Federal Statistics,   55     Military Applications,   58     Archiving,   58 3   TECHNOLOGY LEVERS   61     The Role of Research in Meeting IT Needs,   61     Some E-Government Research Areas,   64     Information Management,   65     Human-Computer Interface,   70     Network Infrastructure,   73     Information Systems Security,   75     E-Commerce and Related Infrastructure Services,   79     Models and Simulation for Decision Making,   81     Software Technologies,   82     Large-Scale Systems,   84     Middleware,   85     Organizational and Social Issues,   86 4   TECHNOLOGY TRANSITION AND PROGRAM MANAGEMENT: BRIDGING THE GAP BETWEEN RESEARCH AND IMPACT   88     Strategies and Models for Program Management,   94     Leverage in the Supply Chain Model,   97     Will Industry Do It?,   100     Dimensions of Risk,   103     Evaluation Risk,   105     Solution-Concept Risk,   107     Problem-Concept Risk,   108     Integration and Adoption Risk,   109     Moore’s Law Risk,   112     Reliability and Usability Risks,   113     Planning Risks,   114     Summary,   115

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Information Technology Research, Innovation, and E-Government     APPENDIXES         A E-Government Scenarios   119     B July 2001 Letter Report to the National Science Foundation   125     C Workshops Convened for This Project: Agendas and Participants   138

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Information Technology Research, Innovation, and E-Government INFORMATION TECHNOLOGY RESEARCH, INNOVATION, and E-Government

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