American Journal of Computational Linguistics Microfiche 71 
SPATIAL REFERENCE 
AND 
SEMANTIC NETS 
Norman K. Sondheimer 
Department of Computer and Information Science 
The Ohio State University 
Columbus, Ohio 43210 
Copyright @ 1978 
Association for Gomputa tional Linguistics 
SUMMARY 
This paper presents an analysis in a semantic net formalism of the semantic 
structure of English sentences containing references to spatial- location. 
Spatial reference, hereafter - SR, provides either static location or motional 
information 
John is at home, 
Fred ran across the street to the store. 
.The task for the semantic analysis of sentences with SR's is to,make clear what is 
being positioned. THis has been difficult to do. Previous proposals have left 
unanalyzed many phenomena including important motional references. This paperv* 
main conclusion is that a much improved analysis can be obtained by representing 
the SR's as positioning abstract events and states of affairs. 
The analysis in semantic nets has the location of an event or state of 
affairs represented as a node which is linked to the node showing the event or 
state by arcs: indicating its staus as the spatial attribute. A few SR's are 
shown as naming these locational entities, which we call place ,object. These 
SR' s involve examples with "where", "here", and "there" However, most SRts are 
represented as relating place objects to the position of objects in the manner of 
prepositional phrases. This primacy ok prepositions is argued for in the paper. 
Motional references are allowed for by functions represented in the nets which 
produce parts of place objects which are then positioned by prepositional fcms. 
The necessary ordering that'comes with motional references is allowed for by 
associating temporal elements with the functions. 
While the positioned elements are simple, the overall semantic structure of 
the sentences containing SR's is often complicated by the involvement of more 
than one event or state of affairs. The paper includes a survey of the sentential 
semantic structures necessary to deal with SR's. A similar complexity is 
necessary to deal with the informakion on the location of objects which is gained 
from sentences with SR's. The paper suggests-the use of inference rules to allow 
for this. 
The most surprising of the paper's oonclusions is that a strong tie exists 
between referehces to space and temporal information. In fact, the locations of 
all events and states of affairs placed by SR's are argued to be locations in both 
space and time. The effect of this conclusion is most clearly seen in a 
formalized definition of the primitives of the semantic seructures , which is also 
presented in semantic nets. There, as ane possible interpretation of the place 
object, it is shown as a set of pairs of volumes in space and points in time. 
TABLE OF CONTENTS 
........................... 
I . Introduction 
......................... 
I1 . Previous Efforts 
............... 
11.1 Analyses Using Physical Objects 
......... 
11.2 Analyses Usifig Events and States of Affairs 
..................... 
11.3 Nonuniform Analyses 
IV . The Syntactic Structure of Spatial References and the 
..................... 
Primacy of Prepositions 
.................... 
1V.l Locative Prepositions 
...... 
IV.2 Other Spatial References as Locative Prepositions 
......... 
IV.3 Semantic Structure of Prepositional Phrases 
......... 
Static Adjunct. Complement. and Qualifier Usages 
...................... 
V.1 Basic Structures 
.................... 
V.2 Applying the Analysis 
................ 
V.3. Allowing for Object Position 
............... VI . Non-Movement Locative Object Usages 
.......... VI.1 Continuous Position and Perception Verbs 
..................... 
VI.2 Other Verb Classes 
VII.Motion .........me....mmearn..*.-..... 
............ VII.1 The Structure of Movement Sent'ences 
................... VII.2 Thinking About Motion 
............... VIf.3 Semantic Structures for Motion 
.... 
VII.4 Static Spatial Reference Applying to Motional Events 
VIII . Extending the Motional Analysis to Other Spatial References ... 
................. IX . Interpreting the Representation 
...................... IX.1ThePlaceObjact 
IX.2 Event/States and Place Objects ............... 
IX.3 The SEGMENT and UNIT Functions ............... 
IX.4 Prepositions ........................ 
K . Limitations. Summary. and Conclusions .............. 
Acknowledgements ........................... Bibliography ............................. 
I. Introduction 
This paper presents an analpis in a semantic net formalism of the semantic 
structure of English sentence8 containing references to spatial location. 
Spatial referefnce, hereafter - SR, provides either'static location or motional 
information : 
1.1 John is at home 
1.2 Fred ran across the street to the store. 
The task for the semantic analysis of sentences with SR's is to make clear what is 
being positioned. This has been difficult to do. Previous proposals have left 
unanalyzed many phenomena including important motional references. This paper's 
main conclusion is that a much.improved analysis can be obtained by representing 
the SR's as positioning ab~tract events and states of affairs. 
The analysis in semantic nets has the location of an event or state ~f 
affairs represented as a node which is linked to the node showing the event or 
state by arcs indicating its status as the spatial attribute. A few SR's are 
shown as naming these locational entities, which we call pLaee object. These 
SR's involve examples with "where", "here", and "therei'. However, most SR' s are 
represented as relating place objects to the position of objects in the manner of 
prepositional phrases. This primacy of prepositions is argued for in the paper. 
Motional references are allowed for by functions represented in the nets which 
produce parts of place objects which are then positioned by prepositional forms. 
The necessary ordering that comes with motional references is allowed for by 
associating temporal elements with the functions. 
While the positioned elements are simple, the overall semantic structure of 
the sentences containing SR's is often complicated by the involvement of more 
than one event or state of affairs. The paper includes a survey of the sentential 
semantic structures necesaaBy to deal ~ith SR's. A similar complexity is 
necessary to deal with the information on the location of objects which is gained 
from sentences with SR's. The paper suggests the use of inference rules to allow 
for this. 
The most surprising of the paper's conclusions is that a strong tie exists 
between references to space and temporal information. 
In fact, the locations of 
all events and s tetes of af fairs placed by SR' s are argued to be locations in both 
space and time. The effect of this conclusion is most clearly seen in a 
formaIized definition of the primitives of the semantic structures, which is also 
presented in semantic nets. There, as one possible interpretation of the place 
object, it is shown as a set of pairs of volumes in space and pointe 
in time. 
The paper has nine sections following this one. In the first, the 
limitations of previous analyses of the semantic function of SR's is considered. 
Thea in one section, the semantic net formalism and, in the next, the syntactic 
distinctions used in the study are introduced. The next four sections present 
epcr more complex situations. The first section shows simple direct analyses 
involving one event or state. The next section presents complex sentehtial 
structures with non-movement SR's. Motional references are analyzed in the next. 
The connection between time and SR's is diswed in the fourth section. 
Following these analyses of sentential semantic structures, a section hs given 
over to the formalization of the definition of the st tuctures used. The paper 
ends with a discussion of the limitations of the proposal and possible extensions 
to it. 
There is available a discussion in greater detail of a preliminary analysis 
to the one given here (~ondheimer, 1975). 
There is also available for comparison 
an analy is by this authbr of the same meaning phenomena, in the competing 
paradigm of model-theoretic semantics (Sondheimer , 
1978) 
The current. 
paper is distinguishable by its better developed semantic net formalism nnd itn 
emphasis 3n producing computationally justified structures. 
XI. Prev ous Efforts 
Ihe pazt has seen many studies of SR phenomena. 
There ha8 been interest in 
connecting. language and scenes, e. g. , Coles ( 19681, Kochen ( 19691, Winograd 
(1972), Badlcr (1975), and Tsotsos (1976). The use of langdage to capture the 
bpatial 8;ru:ture of the physical world has been studied, e.g., Hobbs (1975) and 
Kuiper 197 The conceptual structure of the terms used in SR and the 
pragmatics of, evaluating them has been studied, e. g., Cooper (1968). Bennett 
(19751, and Denofsky (1976). Finally a number of studies have considered our 
topic: the position of a SR within the semantic structure of a sentence. 
Studies of our soet tend to be distinguishable by the type of entities SR'S 
are claimed to locate. In some cases, the SR'B apply to only physical objects.. 
In athers, they apply to only abstract forme identifying events and states o 
affairs. A broad third type of analysis shows different sorts of entities being 
modified. Each has.its limitations. 
11.1 Analyses using Physical.Objects 
The paradigmatic phenomenon for tte analyses that claim physical objects as 
the referents of SR1s is the noun phrase modifier: 
2.1 The man in the car left. 
The SR in the above is the phrase "in the car". The proposals of Norman and 
Rumelhart (1975), Abrahamson (19751, Gei~ (1975a, b, anc c) and Schubert (19761, 
among others, would try to show the relation of the SR to "the iuan-" directly. 
Figure 2.1 illustrates the typical structure in the style of Schubert (1976). 
This figure shows "the man" being located (LOCI at a time, 
indicated by the T 
- - 
link, and at a location which was in "the car". 
This style of analysis seems simple and direct. 
It appeals to the intuition 
that only physical objects take up space. 
It promises t~ be easy to apply, 
FIGURE 2 .I "The man in the car left" in the 
st-yle of Schubert (1936). 
since all that is required is to associate SR's with the sentential elements 
which are modified which reference physical objects. Unfortunately, there are 
problems. 
It can be difficult to find all or any objects with which to associate an SR. 
Often there is more to an event than. just its partiripahts' locations: 
2.2 John is playing solitaire in the basement. 
If we hear example 2.2 then more than John is known to be in the basement. His 
cards are, for. example. Further, the location of the action is more than the 
instantaneous position of John and his cards. For example, space where the cards 
may, potentially be plaoed must be included. Similarly, the following does not 
indicate that John is next to the school: 
2.3 John is playing baseball next to the school. 
Hemi.ght be playing outfield 300 feet from it. It can be difficult to find any 
objects to associate with an SR: 
2,'4 * In France, literary criticism is a high art form. 
2*.5 The explosion was in the garage. 
tn both the above examples, only complex analyses showing many understood ad 
potential participants can allow £01 object-reference. 
Allowing fox motional sentences is a very serious problem for object- 
referenee analyses. The typical proposal is to show motion as change from one 
static location to another: 
2.6 The man walked from New York to Chicago. 
Example 2.6 would be shown as a man's walking causing a change of location from 
New York to Chicago. Some sentences show intermediate points: 
2.7 The man walked from New York to Chicago via Pittsburgh. 
Here, successive changes seem to be appropriate. However, one class of 
references to motion seems to defeat this entire approach: 
2.8 The man walked across the puddle. 
2.9 The man walked around the puddle. 
2.10 The man walked through the puddle. 
Examples like the above involve duration in a key way and can not be shown with 
reference to one position. For example, at no time was the man "across" the 
puddle like ~aleigh's cloak was across it. Similarly, two points showing the 
man's change of position are inadequate since the same initial and final 
positions are a'cceptable in all three cases. Finally, adding an intermediate 
point will not be adequate, since the man might reach that point while on a path 
that otherwise holds a different relation to the puddle. As shall be seen, the 
lesson to be learned from these examples is that in allowing for motion, it is the 
entire path that must be considered and not selected positions of objects. 
11.2 Analyses Using Events and States of Affairs 
A second uniform type of analysis postulates events and states of aftairs as 
the subject of SR's (see for example, Davidson, 1967, Lakoff, 1970, and Harman, 
1972). Events and states of affairs are said to be the two types of situations 
that utterances describe. Taking them 88 the subjects of SR' e claims that it is 
not the participants but the overall situation that is being referenced. This 
can be seen in Figure 2.2, which shows one of Davidson's analyses in a eemantfc 
net notation. The diagram shows that there is a strolling by John which has a 
particular time and space coordinate. The benefits of this analysis include the 
independence of event and state existence from discussion of spatial location, 
the ability to handle location of vaguely bounded events and states, and the 
simplicim of application. However, again the simple direct methods that have 
been proposed are unsatisfactory. 
It is often difficult to simply associate SR'S with a central event or state 
since SR's in some utterances must modify different entities: 
2.11 John held the ice bag to his head in the car. 
In 2.11, only the ice bag is to John's head but John and the ice bag are in the 
car. Motion is still a proslerb: 
2.12 John walked from his car across the yard to the ilouse. 
How the event of 2.12 can be "from", "across", and "to" simultaneously and also 
have these aspects temporally ordered is nowhere explained in these analyses. 
Finally, even if SR's are associated with events and states of affairs, the fact 
that something is often learned about participants' location must be explained. 
For example, from the sentence of Figure 2.2, the fact that John was in the 
streets of Bologna is clear, but from the semantic structure only the location of 
the strolling is clear. No coherent way has been presented to allow for this kind 
of relationship. 
Strol ling, 
FIGURE 2.2 "John strolled through the streets of 
Bologna at 2 a.m." in the style of Davidson (1967). 
W.3 Nonuniform Analyses 
The third style of SR analysis is nonuniform in nature. These either mix 
the two uniform analyses or elaborate on the simple event or state analysis. 
Mixed analyses claim that some SR's locate concrete objects while some locate 
events or states of affairs (see for example, Winograd, 1972, and Schank, 1973) 
By sacrificing the simplicity that comes from uniformity , these analyses avoid 
the uniform analyses' complementary problems. However, the mutual problems, 
especially motion, are left unsolved. 
The nonuniform analyses that elaborate on the nature of events and states of 
affairs are best represented by Case analyses, see Bruce (1975). They claim that 
either the overall location or specific aspects of events and states are located. 
Takin~ Fillmore (19711, as opposed to the betterknown but earlier Fillmore 
(1968), as the model, four spatial cases can be seen. An SR can either reference 
a static locatioh (the Location case), place of origin (the Source case), place 
of termination (the Goal case), or location of intermediate motion (the Path 
case). In terms of events and states of affairs, the first case can either be 
used for overall event or state location or it may be used to locate an aspect of 
the event. The final three cases all relate to different aspects of a motional 
event. This allows for examples like 2.12, with inherent temporal ordering among 
the cases allowing for the ordering of the SR's. 
The Case analyses still has problems. The two uses of the static case 
conflict in sentences with two static locations such as the one where the ice bag 
is held to the man's head while the man and ice bag are said to be in the car. Two 
instances of the Location case seem to be required, but if both appear, there is 
no way to identify their differing function. Also, motion is still troublesome. 
As Fillmore (1971)  point^ out, instances such as the underlined phrases in the 
following seem tc indicate a need for an unbounded number of instances of the 
Path case.: 
2.13 He walked down the hill across thebridge 
through the pasture to the chapel. 
The underlined phrases refer to motion ordered in time, e.g., he walked the hill 
before the bridge. 
However, Case analysis gives no way to order instances of the 
same case. Gruber (1965) points out the same problem with the Goal case: 
2.14 I walked to New York to my mother's. 
Finally, the Case proposal rnuat be given some physical interpretation. Any 
representation of meaning must at some point be related to a m~del of the world. 
In this instance the idea of a source, goal, and path must be somehow related to 
models of motion. 
This paper presents a proposal for an analysis that is nonuniform in the 
same way the Case analysis is. A uniform source for locations modified by SR's is 
given, but the predication of these spaces by SR's is shown to be much more 
complex than previously thought. Futther, sentences are not seen as being as 
simple with respect to SR's as previously supposed. Before presenting the 
analysis, two sections will be devoted to preliminary topics: our semantic net 
formalism and the eyntactic status of the phenomena considered. 
111. Semantic Nets 
The resblts of this analysis of SR phenamenaare formalized in semantic nets 
or networks. This %ormalism is currently a popular choice for semantic analyses. 
It allows clear, expressive graphic presentations and possesses many positive 
computational properties. Because of its popularity, it also allows wide 
dissemination of ideas. Working against this last claim is the $roliferation of 
versiods of the representation, for example, Hendrix (1976), Norman and Rumelhart 
(19751, Shapiro (,1971), Simmons (19731, and Woods (1975). This section clarifies 
what is meant here by the formalism, which can be seen to most closely resemble 
that af Brachman (19773. 
Semantic nets have been used for representing many aspects of htelligence. 
Of ten they are used to represent factual information concerning ob jerts, actions, 
and states. They have separately been used to show the semantic structure of 
utterances It is this use that mainly interests us. However, there is a 
connection between the two uses. All semantic structures must he related to 
structures that represent facutal inbrmation and each use of a type of object, 
event, or state of affair must be related to a concept that explains it. This can 
be thought of as paralleling the relationship between a semantic structure shown 
iq the predrcate calculus and a model in which that structure has a truth value. 
In a complete net, the above translates into the necessity of nodes for 
concepts representing types of events, states of affairs, and objects and nodes 
for instances of tokens of these concepts. The "token" nodes must link to "type" 
nodes that define them. These definitions must include specification of abtri- 
butes of an instance in terms of restrictions on values, fuwtional role of thd 
attribute, and other things. The instance nodes must be connected to instantia- 
tions of the attributes. Concept nodes must also be related to dther concepts., 
have overall structural conditions, locate inference rules that map apply, etc. 
All this information is essential to any artificially intelligent entity, just as 
the model is essential'to any analysis in the predicate calculur. 
However, for 
showing the semntic relations in which we are mainly interested, an abbreviation 
is sufficient just as only the formulas are sufficient in most studies using 
symbolic logic. 
Hence a special abbreviation will be used in all sections except 
fX where the definitional level wili be discwsed. 
Central to our abbreviation will be nodes that collapse types and tokens. 
These will identigy the verbal concepts that characterize the events and states 
of affairs. We will call them "event/state" nodes. They will be circled and 
capital letters will be used for abstract types, such as CAUSING. Nonabstract 
forms will be shown with names that suggest the interpretation, e.g., Sleeping 
will suggest the sleeping state. When a node represent8 a physical object, 
identifying information will be included in quotes, e.g., "the bus". Names 
placed on ascs will abbreviate and suggest the functional roles of attributes. 
For example, - ANTE for antecedent and - CONS for consequence will be used with 
CAUSING. Case names will be used with many event and state of affairs types. 
These will include: 
T for "Time" showing the time an event occurred or state held. 
- 
A for "Agent" showing the instigator of an event or state. 
- 
0 for "Object", the neutral case (as Fillmore (1971) explains 
- 
it "the wastebasket") . 
Restrictions on types of entities which will be necessary will be shown by non- 
oval shapes for nodes. For example, time instances will be shown in parentheses 
and time intervals in square brackets. 
Finally, because it is not essential for 
our purposes, specification of time will often be left out of most semantic 
structures. Similarly, ire will consider only declarative statements. Figure 3.1 
shows a typical struoture. 
Some concepts that act as functions will also be used. 
Each of these will 
look like a relation associating parameters with a value. The value will be 
identifiied by a - VALUE arc. 
Inference rules will be presented in the form of 
Loving 
\ 
\ 
(IIMOryll) [ 
1.11 ] 
FIGURE 3.1 "John loved Mary all last year." 
"subnetll' 2 "subnet2", where on seeing slibnet 1' subnet* is to 'be added to the 
semantic net. These rules will include variables within nodes, where the 
variables are to be bound on matching and referenced on inferencing. These 
variables will be in the form of capital letters, e.g., X. 
To summarize, our semantic net formalism uses concept names, descriptions of 
objects, mnemonic arc names, and mnemonic shapes for nodes to abbreviate the two 
levels in a semantic net. Also used are functions and inference ruLes. This will 
be enough to represent the semantic relations involving reference to space that 
are being considered. Unfortunately, it is one more unique formalism. 
However, 
it sdds no new structures, only abbreviating others. We leave as an unproven 
claim that it will fit in with any formalism which shows identifiable event and 
state of affairs nodes such as Norman add Rumelhart (1975) and Schank (1973). 
IV. 
The Syntactic Structure of Spathl References and the Primacy of Prepositions 
Semant'ic structure ia the topic of our paper, but the syntactic structure of 
sentences with SR s is also important. 
Us consideration clarifies the range of 
phenomena king etudied. With SR, the basic syntactic structures involve 
prepositional phrases. 
All other SR are analyzable in terms of these structures. 
In this sectian, the syntax function of prepositional phraees will be considered 
and arguments for their primacy will be presented. 
Our main interest in syntax is in structuring our didcussion of semantics. 
However, the problems of parsing and generation make the syntax of' SR's indepen- 
dently imprtant. These are not our topics here. However, in an earlier issue of 
this journal we presented a parsing scheme that produces semantic from syntactic 
structure and applied the scheme to current clags of phenomena (Sondheimer and 
Perry, 1975). 
IV.l Locative Prepositions 
Prepositional phrases that express SR's can be called locatiye. They appear 
conti~~ously, as in example 4.1, or diacontiguously, as in example 4.2: 
4.1 I put it on table. 
4.2 The table I put it on is broken. 
The discontiguous example can be taken as derivable from (reducible to) the 
cont iguous f oms in generation ( interpretation). 
Hence only contiguous examples 
will be considered. These are primarily employed in four syntactic roles: 
complement, quhlifier, adjunct, and locative object. 
There is also one special 
dependent usage that will be described at the end of this section. 
The complement usage of locative prepositions arises only when they are the 
"complement" of the verb "be": 
4.3 He is in the kitchen. 
Quirk et al., (1972)'distinguishes them from predicate adjective and nominal 
usages. Locative objects and adjuncts with copulative eentences can be dis- 
tinguished f rw compl ements by the presence of these ad jec tivee and noun phrases : 
4.4 There are lions in Africa. 
4.5 He wes important in Chicago. 
The qualifier usage of locative prepositions is part of noun phrases and 
shows the location of the reference of the noun phrase: 
4.6 The man in ths car left. 
The strings in some sentences may make it appear that locative prepositions are 
part of noun phrases when they are not: 
4.7 I put the knife on the table. 
4.8 She took care of John in Chicano. 
In these cases, the passive test and cleft-sentence test (~acobs and Rosenbaum, 
1968, p. 38) can be applied: 
4.9 *The knife on the table was put by me. 
4.10 *What I put was he knife on the table. 
4.11 *John in Chicago was taken care of by her. 
4.12 *What she took care of was John in Chicago. 
The asterisk "*" here and throughout marks ungrammatical sentences. The ungram- 
maticality of the above examples indicate that the strings in question are not 
noun phrases. Hence the prepositional phrases cannot be qualifiers. 
Adjunct usages are prepositional phrases that are external to the clause of 
a scntence: 
4.13 I met John on the train. 
Locative object usages are objects of verbs and internal to clauses: 
4.14 I put the lamp in the corner. 
4.15 He yelled at John. 
4.16 He saw her in the park. 
There is some controversy on the distinction between these two types. We can 
present two syntactic and one semantic classification procedures. First, 
adjuncts are never required for granrmaticality, while locative objects can be: 
4.17 I met John, 
4.18 *I put the lamp. 
Second, adjuncts always allow shifting to presubject position without loor of 
gramatical&ty or shift in meaning: 
4.19 On the train I met John. 
4.20 *At John, he yelled. 
4.21 In the park, he saw her. 
Note that in 4.21, the man is definitely placed while in one interpretation of 
4.16, the locative object one, he is not. 
Semantically, we claim that adjuncts locate the entirety of events and 
states discussed, while locative objects can locate only part of what ir 
described. For example, in 4.16, the locative object reading shows only the 
woman's position in the park, not the location of the "seeing" as a whole. 
The 
following is also informative: 
4.22 He dropped it behind the door. 
4.23 Behind the door, he dropped it. 
Both examples are similarly ambiguous with respect to the SR. One sense, the 
most likely to be identified in 4.22, is that the end result of the dropping wan 
that the object came to be behind the door. The second sense, the most likely for 
4.23, is that the dropping took place behind the door. The firet sense ehows 
partial predication and a locative object usage. The second ehows overall 
predication and an adjunct usage. 
Some forme that seem to be adjuncts do not at first glance appear to make 
overall predication: 
4.24 On the train, he commented on the Empire State Building. 
4.25 In Chicago, John wrote to his mother. 
The Empire State Building's and John's mother's position are independent of the 
train and Chicago. However, we can claim there is still overall predication 
since the commenting and the writing were done on the train and in Chicago, 
respectively. 
Durational adjuncts also complicate the semantic test: 
4.26 He cried through the tunnel. 
4.27 He sat still from New York to Chicago. 
l'hese prepositional forms show duration of the crying and sitting and should be 
taken as adjuncts. The first gives overall predication. The second example 
shows two phrases that individually give ~artial predication. However, together 
they give overall predication. Further, they cannot be used individually: 
4.28 *He sat still from New Y~rk. 
4.29 *He sat still to Chicago. 
These are the four primary uses of locative prepositions. We claim that the 
semantic structure of other SK'B can be represented through these forms. We will 
now show this. In general, this will be done by observing the SR's structure or 
by paraphrase arguments. 
IV.2 Other Spatial References as Locative Prepositions 
Some spatial terms can have syntactic and semantic functions similar to 
prepositions in that they directly serve to relate two forms: 
4.30 San Francisco is north of Los Angeles. 
4.31 The car is to the left of the building. 
These examples can immediately be given prepositional-like semantic structures. 
In other sentences, these terms appear as nouns and adjectives: 
4.32 The North is desolate. 
4.33 He hit my left leg. 
Here, th~ forms can be paraphrased in the prepositional-like form which can be 
taken as their underlying semantic form: 
4.34 The part of the country to the north of the rest is desolate. 
4.35 He hit one of my legs that is to the left of the other. 
Another category, the locative prepositional adverbs, although lacking syntactic 
objects have assumed semantic objects. This is shown by our ability to question 
the missing object, which is a means for distinguishing this category from verb 
particles (~uirk et al., 1972, p. 103) : 
4.36 He went up. 
4.37 Up what did he go? 
4538 He picked it up. 
4.39 Up what did he pick it? 
A diverse variety of non-prepositional locative adverbs can be handled with 
prepositional forms. Assumed objects can also be seen in cases of paired 
prep-ositianal-adverbs and prepositions. These are suggested in parentheses 
below: 
4.40 He walked across (a walkable space) to the blackboard. 
4.41 He jumped from (a jumpable place which was on) the table. 
Some adverbs can be straightforwardly treated as the equivalent of prepoaitiod 
phrases. These appear as the concatenation of a preposition and a noun and refer 
to the spatial relation referenced by the preposition with respect to the type of 
object referenced by the noun: 
4.42 He ran uphill. 
4.43 He is overseas. 
The suffix "-ward1' following a preposition or preposition-like term produces an 
adverb that can be treated as having a destinationel- or orientationel-like 
meaning as shown by the following,paraphrases: 
4.44 He moved leftward. 
4.45 He moved to the left. 
4.46 It pointed upuard. 
4.47 It pointed up the space. 
Other adverbs can be treated as having a neutral prepositional sense like "at" or 
11 to" in their semantic representation: 
4.48 He is home. 
4.49 He is at home. 
Finally, many noun phrases that indicate position can be seen as havipg prepoei- 
tione subsumed by the verbs they appear with and hence can be represented as 
containing prepositional phrases, see Gruber (1965) for elaboration: 
4.50 He gave Susan the ball. 
4.51 He gave the ball to Susan. 
4.52 He jumped the fence. 
4.53 He jumped over the fence. 
There are a few forms in SR's that I can not always claim to be represented 
I1 
by preposi tidnal f om& Theq e are where", "here", "there", and measures of 
distance. These will be dealt with separately. In general, we will deal wit% 
prepositio~lal phrases with the aseumption that all SR phenomena are covered. 
Beyond the examples already g-n, it is hard to say what should be 
considered an SR. Adjectivw such as "10ng"~ and "fat" inwolve the abstract 
properties of ~bjects more than their properties as objects momentarily situated 
at a point in space. Many examples apsear to be metaphors of SR or make oblique 
reference to space: 
4.54 I stood trial. 
4.55 I go to Ohio State. 
All of these will be ignored. Doubtlessly, there are unarguable cases of SR that 
are being overlooked. For this, I can only apologize. 
IV.3 Semantic Structure of Pre~ositional Phrases 
Since prepositional forms are the basic method of making SR, their represen- 
tation is central to this analysis. They will be given a semantic representation 
as concepts relating what is referenced by the SR to their own complements, see 
Figure 4.1. The referenced entity will be identified by the - F link for "figure" 
and the complement by the - G link for "ground" (Talmy , 1975)*. Each prepositional 
concept will be defined as comparing the figure's space to the location of the 
ground's object at the time associated with the figure (Section 
*There would have to be a second ground link for "between": 
I left it between the window and the dbor. 
FIGURE 4.1 A prepositional semantic structure. 
VIfI contains more discussion on this point). 
Prepositional concepts will all be 
considered abstract and written in capital letters. The reason abstract forms 
are used will become clear in the following sections. 
One particular dependent use of the preposition "from" f all8 outside the 
simple pattern shown in Figure 4.1 as well as outside of the four claeeerr of 
prepositional usages: 
4.56 John .is far from home. 
4.57 John is acr-oss the street from home. 
In both of the above, John ip distant from home. But in 4.57, John is not across 
the street in the usual aenee of "across" stretching the width of the street. 
As 
Bennett (1975) points out, the "across1' and "from" phrases combine in euch a way 
that we understand that it is the way that must be travelled in starting from home 
and going to John that is "across the streetB'.* This can be allowed for in 
semantic nets with a function, - WAY, producing a path through space joining two 
points identified by INIT for Initial and FIN for Final links, see Figure 4.2. 
- - 
For example 4.57, G would identify the cltreet, INIT the home, and FIN where John 
-e rame meaning also ariaer in sentences such as the following where there 
is an understood "from point" that muat be represented: 
He died acroae the river. 
is. How John's location is to be shown is explained in the next section, where 
the baaic and simpler SR's are analyzed. 
FIGURE 4.2 A prepositional semantic structure 
for the special "from" usage. 
V. Static Adjunct, Complement and Qualifier usages 
Section I describes our basic claim: the source of the locations being 
referenced by SB's can be represented as being the locations of events and states 
of affairs. In this section, this claim is associated with the amantic net 
model and applied to those types of SR's for which it works immediately. These are 
the static adjunct, complement and qualifier usages. 
V. 1 Basic Structures 
In our semantic net model, the locations of events and states of affairs 
will be shown as attributes of eventhate nodes through arcs leading from the 
nodes to locational entities. For each event/state node involved with an SR there 
will be only one such arc and locational entity. Theee atcs will be labelled - P to 
suggest a spatial attribute or "Place" case. The locational entities will be 
referred to as place objects. They are the basis of our analysis. These place 
objects can be taken for the time being as volumes in space. The sort of ~olume 
they are will be ela6orated upon. Place objects will be identified by boxes. 
Figure 5.1 gives a typical diagram. 
It must be askedwhether place objects are required in semantic represen- 
tations or simply ad hoc creations. The answer is that they are required since 
speakers treat tb as existing byreferring directly to them with some user of 
"where" : 
5.1 Where is John living? 
5.2 I found it where John was sleeping. 
Place objects can not be outlined strictly in space like a solid can. 
This 
is not important, because there is no way in language to directly and completely 
locate any object. In the last section, it was argued that except -for "where", 
"here", and "there", every SR is like a preposition. Hence they all give 
relative position. With those that do not, "where" can be show 
leeping 
T 
V 
FIGURE 5.1 "John is sleeping here. II 
as referencing place objects not definite locations. "Here" and "there" both 
predicate spatial qualities of place objects not specific locations: 
5.3 John was born here. 
In 5.3, the location of the doing is simply associated with "here". Hence a 
semantic analysis that associates SR with abstract locations can work if the 
means of predicating these locations and of fitting them into semantic structures 
can be found. 
V.2 Applying the Analysis 
With the place object, there is a Large class of phenomena that can be 
represented directly. These include static adjuncts (5.4) as opposed to dura- 
tional ones (5.5): 
5.4 At the table, John sat without moving. 
5.5 From Dallas to Houston, John sat without moving. 
Similarly, the static complement senses (5.6) as opposed to resultive complement 
senses (5.7) can be directly represented: 
5.6 Chicago is far away from New York. 
5.7 We are finally far away from New York. 
Finally, direct analysis can be given to qualifier usages which either apply with 
a static sense to nouns describing physical objects (5.8) or act like static 
adjuncts with respect to verbal noun8 (5.9) : 
5.8 Tkb man in the car left . 
5.9 swimming in the lake is fun. 
These qualifier usages can be contrasted with those that ahow motian (5.10), act 
like locative objects to verbal nouns (5.11) or @how extent (5.12): 
5.10 The bus to Chicago left. 
5.11 ~wiming in to a cave is fun. 
5.12 The bridge from Ohio to Weet Virginia ie old. 
Applying the place object analysis to static adjuncts is easily defendable. 
One test for adjuncts in the last section was to see if it located the entirety of 
the event or state discussed. The static adjuncts are identifiable in this way. 
Since the place object shows the location of that entirety, static adjuncts can 
therefore be directly applied to them. Figure 5.2 gives a typical analpsir. 
FIGURE 5.2 "~ohn is sleeping in the kitchen. II 
This basic treatment ex-tends to static complement usages. These relate an 
object to some location in space and time. To show this an abstract predicate, 
BEING-AT, can be postulated whose object case shows an entity whose spstio- 
temporal location ia specified by Plaee and Time cases, see Figure 4.3. 
Proposing a state of affairs to show an object's existence in space and time 
slay at first seem artificial. But in fact, it provides representations ismor- 
phic to the usual "direct" repreeentatioa of object location. For example, 
Schubert (1976) uses a concept - LOC which by a link .I A identifies an object, a link 
B the object s location, and a link T its time frame (see Figure 2.1). These 
- v 
match our BEING-AT, 0, P, and T cases, respectively. Schubert sometimes 
abbreviates SR's when the preposition "at" is used. However, this is simply an 
abbreviation and his underlying form remains equivalent to ours. 
BEING -AT 
FIGURE 5.3 "John is behind the house. II 
Static qualifiers parallel either the adjunct or complement analysis. 
As 
m adjunct to verbal noun, we can claim that an event/state correspondiag to the 
event or state described by the nouns can be located by the SR in the same way as 
an actual adjunct. With qualifiers applying to concrete nouns there can be a 
BEING-AT eventheate showing that the existence in space and time of the object 
is being discussed. The qudifier can then modify its place object. 
This would 
then show thefollowing equivalently: 
5.13 The man in the car yesterday left. 
5.14 The man do was in the car yesterday left. 
The possibility of time modification as in 5.13 is good evidence for the 
treatment of qualifiers as having underlying complement structure (Winograd, 
1972). 
V.3 Allowing for Object position 
Now that both adjunct and complement usages have been considered, our method 
of allowing for the positioning of objects while representing SR's as positioning 
eventlstates can be explained. As was discussed in Section 11, an event/state 
analysis must explain how ati artificially intelligent entity can discover that 
John vae somewhere from the representation of an event or state involving John 
being located there. This can be taken as being something like discovering the 
appropriateness of the complement form (5.16) from the truth of the ad jmct form 
(5.15): 
5.15 John slept in the kitchen. 
5.16 John was in the kitchen. 
Within the computational paradigm, the discovery of 5.16 from 5.15 is made 
easy by inference rules. Whenever the semantic analyses of a sentence like 5.15 
is presented to a system, rules associated with the type of eventistate node 
involved can produce inferable information. 
This process allows for the human 
process of the deduction of specific information about participants in an event 
or state of affairs from kn~wledge~of the type of event or state of affairs. This 
is actually what is happening with SR's. From our knowledge of sleeping, we know 
that someone is where he is sleeping. From our knowledge of "working for", we 
know that Bill but not necessarily John is at the store in the followirg: 
5.17 BiU is working for John at the store. 
From our knowledge of contact cases such as in 5.18, we know that the location of 
the intersections of the objects is learnable: 
5.18 The ball hit Mary on the ear. 
In semantic nets, these facts can be shown by inference rules associated with the 
appropriate concepts. In Figure 5.4, the "subnetll' 9 "subnet2" form described 
in Section 111 is used to allow for the sleeping case. Other rules will, of 
course, be needed for other concepts.* The predication of pLace objects, hich 
are the locations of events and states of affairs, therefore stands as the core 
of our analysis. How it directly applies to represent certain SR's has been 
shown in this section. In the next, more indirect analyses are conaidered. 
Sleep1 ng BEING - AT 
FIGURE 5.4 The encoding of the rule "If you know where something 
is sleeping, then you know where it is". 
*A potential critic may argue that the extra processing involved with inference 
rules should be avoided if at all possible. 
However, no other analysis of 
SR successfully avoids its use (~ondheimer , 1975). 
VI. Non~ovement Locative Object Usages 
The 
analysis of locative object usages is not a8 simple as that of other 
forms. 
Looking back to Section T', most of the problems with earlier studies 
arise from this class. 
The solution to tthese problems is found in an elaboration 
on the basic form of our event/state analysis. 
This elaboration proceeds in two 
directions. First, the semantic structure of the sentences containing the 
troublesome SR's is seen to be more complex than otherwise thought. Second, the 
nature of the SK is seen as more complex. The first case is best seen with non- 
movement and the second with movement sR's. This section covers the non-movement 
type of locative object. Section VII covers the movement type. 
We can review the problems with the use of event and skate location in the 
non-movement cases, briefly. There is a need to differentiate referents which 
can be seen in the following: 
6.1 John held the ice bag to his head in the car. 
The ice bag is to John's head, but both the ice bag and John are in the car. The 
first SR involves a locative object, the second an adjunct. With a simple 
approach to eventhate location, they would not be differentiated. There is a 
similar problem in some adjunct references to the location of only part of an 
event or state of affairs. 
For instance, in 6.2, only the boy isplaced which the 
hawk is definitely physically present: 
6.2 
In an open field, a boy watched a hawk. 
In the latter case, although not the former, the use of inference rules might be 
suggested. However, a better answer can be found. 
VI.l Continuous Position and Perception Verbs 
The semantic structure of simple sentences have often been analyzed as 
involving multiple events and states of affairs, see far example, Schank (1973) 
and Norman and Rumelhart (1975). If we can see problematic sentences in this 
light, then perhaps we could assign the various SR1s to different event/states. 
Indeed, we can do both. 
Instances of calmative relations betweell events and states of affairs are 
found in many problem sentences. Change-of-state events applying to separate 
states of affairs are seen in others. Simple instances of embedded events and 
states of affairs are seen in yet others. "Hold" belongs to a clam of verbs that 
involve continuou~ position. Others in the class include "adhere", "cling", and 
"keep". 
With Locative objects, these can all be seen ar causations. Each ha8 an 
action which causes some entity to remain somewhere. In our example 6.1, John's 
holding-type action causes the ice bag to remain somewhere. ~ealizkg thir 
allows us to analyze the SR's as locating events and states. The overall SR, "in 
the car1', can be seen, as adjuncts were explained in the laet section, as 
locating the highest event/etate within the causation. The "to his head1' can be 
seen as locating the resuftant state. This is shown in Figure 6.1. The TO in the 
diagram represents a static eense of "to". 
CAUSING, 
John 
L 1 
- BGNG- 
0 
"the ice bag" 
FIGURE 6.1 "John held the ice bag to his head in the car. 
1 ' 
an open 
FIGURE 6.2 "In an open field, 
the boy watched a hawk." 
"Watch" belongs to a class of verbs that includes "hear", "see", and 
"taste". These can all be seen as involving the perception of another event or 
state of affairs.* In our example 6.2, it is the being somewhere, the existing, 
of a hawk that is watched. How this allows for the SR to be associated with the 
correct event/state is evident from Figure 6.2. This analysis may seem somewhat 
forced here, but other exmaples show more overt event or state forms: 
6.3 I watched the mating of the doves 
6.4 I saw the delivery of the baby. 
6.5 I heard the cooing of the doves. 
mese verbs occasionally appear without an object: 
I heard through the door. 
On these occasiow, an assumed entity can be added to the semantic structure: 
I heard ( sane thing) through the door. 
Inference rules play an important part in these analyses. 
For example, the 
positioning of John and the ice bag must be derivable from the structure of 
Figure 6.1. An inference rule must associate the position of the HOLDING-ACTION 
with their positions. Another rule must relate a place object for the HOLDING- 
ACTION as inside that of the CAUSING. Conversely, there should be no inference 
rule applying to the structure of Figure 6.2 to show the place object of the 
BEING-AT as being contained in that of the Watching. 
VI.2 Other Verb Classes 
There are a number of other classes of verbs that take static locative 
objects, see Table 1. We will survey their analysis in the remainder of the 
section and close with a comment on several related forms. 
TABLE 1,- A CATEGORIZATION OF SOME VERBS THAT ACCEPT 
NON-MOVEMENT LOCATIVE OBJECTS 
1. Continuous Position: adhere, cling, hide, hold, keep. 
2. Perception: hear, see, taste. 
3. Attachment, Containment, Posture, and Creation: build, close, crouch, 
draw, erect, glue, hang, lay, lean, lock, nail, paint, sew, shut, 
sit, stand, write. 
4. Contact: grab, hit, kick, kiss, kneel, punch, slap, slug, touch. 
5. Change of State: break, chop, cook, cut, fry, shatter, spill, split. 
6. Discovery and Thought: dream, find, imagine, lose, recognize, remember, 
spot, think. 
7. Copula-like: happen, gave, occur, remain, stay, take place. 
8. Portability: bring, carry, send, take, wear. 
The next class of verbs adds anokher abstract predicate to the set of forms 
we have considered: 
c( him" 
FIGURE 6.3 "H& nailed it to the wall." 
6.6 He nailed it t~ the wall. 
6.7 He shut'it in the rgom. 
6.8 He sat it on the trible. 
6.9 He drew it on a napkin. 
The above sentences involve attachment, containment, posture, and creation. 
Each 
has an element of coming-into-being that must be represented. 
The standard form 
for these sentences shows the action of an agent causing the bringing about of a 
state of affairs. The locative object is shown locating this state of affairs, 
see Figure 6.3. The coming-into-being concept in this structure is labelled 
COMING-ABOUT. The segment of the structure inside the dotted line is there to 
show the analysis these verbs take in the second type of usage they allow: 
6.10 It is nailed to the wall. 
6.11 It is shut in the room. 
6.12 It sits on the table. 
6.13 It is drawn on a napkin. 
These; examples lack agents and any sort of causation. The farma within the 
dotted line in Figure 6.3 show exactly this structure. 
The prepositional form, TO, in Figure 6.3, is to be understood in the static 
sense just as with Figure 6.1. In fact, this is the case with all prepositional 
forms used here. It is an important advantage of this analysis that it uses only 
static senses in semantic structures. On the surface, it is often said that the 
locative objects of the current set of verbs have dynamic senses. 
However, with 
a separate inchoative eventletate, this is unnecessary. This allows. tb+ repre- 
sentation of presuppositions like "to" or "on to" either through "at" or "on" as 
Cruber (1965) does, or through their own static bense as in example 6.10. e his is 
one in a series of reductions. It was shown in Section IV that some double 
prepositional phrase structures involved "from" can be reduced to a simpler form. 
It will be seen elsewhere that other simplications can be made. That underlying 
senses of the prepositions are being used explains why our prepositional concepts 
have been capitalized. 
Another class of verbs-shows contact. They take the two types of analyses 
just discussed. They also show a coming-into-being sense vhen no agent i~ 
present but a state is achieved. All three cases are shown in the following: 
6.14 I touched her on her face with my hand. 
6.15 The tree touches the window near the top. 
6.16 The ball touched my leg near the knee. 
The semantic structures for each of these can contain an event/state showing 
contact between the two objects to which the SR's can be applied. 
Another class of verbs which show change of state have all three types of 
structures with locative object usages: 
6.17 I broke it on the rim. 
6.18 The cup broke on the rim. 
6.19 The cup is broken on the rim. 
6.17 is causative/coming-into-being, 6.19 is coming-into-being, and 6.19 is 
static only. The static form in each can again take the SR. In noncausative 
examples with thelse change of state verbs, SR's generally appear to act as 
locative objects, as a test from Section IV shows: 
6.20 The cup broke on my knee. 
6.21 *On my knee, the cup broke. 
The noncausative examples includes SR' s which reference ob jeats not inherently 
possessed by the changed object, such as 6.20, but which place the entire event. 
In these cases, the SR'r should be treated similarly to adjuncts and &own 
applying to the COMING-ABOUT event/state. 
Some verbe which take locative objects are like perception verbs in not 
requiring causative analyses to explain locative object usages. 
These lnclude 
discovery and thought verbs, such asl'spot" and "thought". They can be ahown with 
embedded event/states. With locative object readings, 6.22 and 6.23 involve only 
locating of the direct objects: 
6.22 I spotted her behind the dresser. 
6.23 I thought of Mary at the seashore. 
These entities can be shown in an event/state claiming they existed in a certain 
time and space with the SR predicating that event/state. 
This treatment would 
parallel the structure of overt examples of embedded events as in the following: 
6.24 I spotted you stealing some bananas. 
6.25 I thought of you dancing. 
Finally, as Lyons (1968) notes, some verbs, which we treat here as having 
locative objects, seem to relate to SR'S in the same way as the complement 
usages : 
6.26 It occurred in Chicago. 
6.27 It remained in New Orleans. 
These can be analyzed with one eventistate showing both adjunct and locative 
objects identifying the same entity. 
So we have seen that the complexity associated with many SR's comes from 
their semantic environment, not themselves. With the exception of a class of 
verbs covered in the next section this covers the range of verbs that take non- 
movement locative objects. Also covered but only indirectly are a few senses 
left from the last chapter. 
We can now see how qualifiers of verbal nouns that 
are acting as non-movement locative objects can be analyzed. We can also see 
that resultive senses of the copula can be shown with a COMING-ABOUT, see Figure 
6.4. 
COMING-ABOUT 
FIGGRE 6.4 He is just now in the house. 
VII. Motion 
Problems with motion arise in every analysis of SR considered in Section 11. 
In this section, what is, as far as we know, an entirely unique approach to the 
semantics of motion is presented. Our analysisa centers on movement locative 
objects. As has been mentioned, this involves cmplex modification of the 
location of motional events. The section first presents a brief discussion of 
the structure of movement sentences, then motivates our view of motion predica- 
tion, and finally presents the details of the representation. 
VII .1 The Structure of Movemement Sentences 
Thc verbs that take movement locative objects are numerous, see Miller 
If 
( 1972) . They include come", "go", "bringff, "take", "climb", "drivef', "bit" 9 
11 I I 
puntf', set1', etc. The structure of the sentences with movement locative 
objects resembles that of sentences with non-movdment locative objects in being 
complex. Nearly all examples show causative structure with an actioin in one 
event/state causing motion in another  illmo more, 1971). The appropriate analyses 
approximately pairs the following: 
7.1 John threw the ball through the door. 
7.2 John's throwing caused* the ball to go through the doox. 
7.3 Mary walked out of the house. 
7.4 Mary's walking caused her to go out of the house. 
The only sentences which take simple, causative-like analyses are those with "go" 
and "come". 
An important aspect of the analysis of movement SRfs is the concept to be 
1 I 
used in the motional event/state. The semantic equivalents of "got1 or comef' 
will not do. These verbs have special deictic conditions on them (Fillmore 
7-.5 Go there. 
7.6 *Go here. 
7.7 *Come there. 
7.8 Come here. 
FIGURE 7.1 The basic structure for movement locative object sentences. 
Only "take" and "bring" show the same pattern. For this reason, an abstract 
concept of pure motion, called - GOING, will be used in our analysis. 
Figure 7.1 
shows the sentential structure into which most movement SR's will t. The 
structures for "take" and "bring" will have Going and Coming, respectively, in 
place of the abstract form. For "go" and "come" themselves, the semantic 
structures will match the motional event/state shown wj th the other verbs with 
the exception of the type of eventhtate. The place objects of all the motional 
events can be considered the same, as can the way SR's apply to the different 
types of motion. We can also think of motional qualifiers as analyzable with the 
same structure. Because of this, the structure of movement predication will be 
considered in general and isolated from other forms. 
VZI .2 Thinking About Motion r 
As was pointed out in Section 11, one reason that motional SR1s are 
difficult is the multiple predications of different types which must be orderable 
in time. 
These problems can be overcome with appropriate consideration of the 
motion and the place objects of motional events. 
The ineight for a better analysis comes from considering answers to 
questions of where motion occurs. Consider the answer to where the first 
Marathon was run. It is probably some thing like "in Greece" or "from Marathon to 
~thens". These tend to place the entirety of motion. 
It is unlikely to be just 
"from ~arathon" or "to Athens". These just place, part of the motioa. People tend 
It 
to locate motion as if it were a single thing, a motion" so to speak. 
This is 
how we propose to think of the place object of motibnal events. 
Place objects of motional events can be thought of as showing that motion, 
essentially showing a trace of the path of motion. This trace yould be similar to 
the trace a piece of chalk leaves as it crosses a blackboard. But it should be 
the marks that would be made by the entire chalk if space was a three-dimeneional 
blackboard and the entire chalk could write. This idea is displayed pictorially 
in Figure 7.2 with another example where something approaching an overexposed 
photograph of a rolling ball shows a solid cylinder tracing a ball's movement. 
It is this type of cylinder that motional place objects represent. 
This trace idea has one great merit. It allows direct analysis of the most 
troublesome class of movements SR1s: 
7.9 He walked through the puddle. 
7.10 He walked across the puddle. 
7.11 He walked around the puddle. 
7.12 He walked over the.puddle. 
As was pointed out in Section 11, the aboue require a representation that 
considers every instance of movement. The trace idea does this in such a 
sidewal k 
FIGURE 7.2 A ball rolling across a sidewalk to a porch. 
way that the SR's can be shown applying to the trace directly. Further, it does 
it in a way that allows the basic static use of the preposition to be used in the 
representation: 
7.13 The bridges across the Mississippi are closed. 
This was pointed out in Section IV to be the same sense that applied in the 
I1 
across-from" form: 
7.14 The man stopped across the street from here. 
Hence three usages collapse into one with this representation. 
This concept can be extended to allow for differentiating "up" and "down" by 
considering the solid traces to have an inherent ordering basedoon the direction 
of motion: 
7.16 He walked up the hill. 
7.17 He walked down the hill. 
Hence, the traces in 7.16 and 7.17 could be exactly the same except for the 
ordering and the preposition could be sensitive to this. This ordering 
sensitivity shows up with other uses of the prepositions and other prepositions: 
7.18 The carotid arteries extend up the neck to the head. 
7.19 A woman stood at the front of the line while a man 
stood at the rear. 
bnce its use is not arbitrary. 
The trace or path idea does not provide an immediate explanation for other 
movement 5#'s, those that reference instantaneous change: 
7.20 He hit the ball into the cotner. 
7.21 He walked out of the house. 
With the above we can not say that the overall path of motion wao 
either "into" 
the house or "out of" the house in the static sense of these prepositions 
Hoerever, there is a way we could use the static sense. If we could refer to 
podtione achieved by the moving object as it followed the path, we could say 
that there were positions where the object first got to be "into the corner" and 
"out of the house". This would be like allowing reference to the position of the 
individual balls displayed in Figure 7.2. We can conclude that we ought to be 
able to reference parts of place objects. 
Being able to reference parts of motion actually leads to a solution of the 
I8 
problem of temporal ordering inherent in multiple SR, such a8 .. . across the 
yard up the stairs . . .". If these durational forms ere also thought of as 
modifying discrete, bounded parts of the kind of place objects that are being 
discussed, then they too can be compared. For the phrase just mentioned, a part 
of the motional object that~wae across the yard could be compared to a part that 
vas up the stairs as being lees further along it. The same could be done to 
capate the parte involved with instantaneous reference. 
To sunuuarize3 the idea is to think of movement as a trace of the event over 
tb, vbich has an inherent orientation and which cah be predicated in part. 
We 
can now almost present our representation. We will first present a slightly 
incapleke proposal and then rwlse it. 
VII. 3 Semantic Structures for Motion 
Tentatively, we propose two different functions to produce parts from 
complete place objects. These are called SEGMENT and UNIT. - 
They will be used 
with durational and instantaneous references, respectively. The durational 
function can be taken as picking off bounded parts of a place object. The 
instantaneous function can be assumed to pick off part of the trace beginning at 
the earliest point, and going up to the point of change. Both functions will have 
the place object they accept identified by an S link and the produced space 
identified by a VALUE link. To distinguish the two outputs, the SEGMENTized 
place object will have a colon inserted, and the UNITized one a period. The 
I I 
segments will be shown as ordered through numeric" comparisdns. Pigcre 7.3 
therefore gives a tentative analysis for the sentence "The cat came across the 
yard up the stairs into the house". One SEGMJ3NT function picks out the motion 
across the yard while another picks out motion up the stairs. A UNIT function 
picks out motion into the house. The segments are all ordered by less-than-or- 
equal links. 
The temporal ordering of the partial traces is the one tentative part of the 
analysis. To have it be sensible, some scale of comparison must exist. The 
appropriate choice appears to be the temporal scale. - When the locations were 
achieved is, of course, what is being ordered. There must also be conventions on 
application of the comparison. This is because there must be a way to force the 
comparison on only the appropriate end points of segments. We might develop a 
way of making these conventions inherent, but I propose to make them explicit. 
C omlng 
the cat 
2' 
/ 
SEGMENT SEGMENT 
VALUE VALUE VALUE 
< 
- 
< 
- 
ACROSS UP l NTO 
'I the yard " 
6 
"the house" 
cl"7 
FIGURE 7.3 A tentative analysis of "The cat came across the 
1 I 
yard up the stairs into the house. 
Our final proposal for the structure of motional SR's is to include time 
parameters with the functions. In this way, both the end points of the segments 
and the temporal scale can be identified. 
For the SEGMENT function, two linkr, 
T1 and T2, will identify the times that initial and final points were occupied. 
- - 
For the UNIT function, one link, T, will identify the time the final position war 
achieved. These structures are shown in Figure 7.4 and 7.5. 
FIGURE 7.4 The motional elements in "John walked acreas the yard." 
FIGURE 7.5 The motional elements in "I hit the ball into the khair." 
FIGURE 7.6 The motion component of "John walked from his house to the cat.". 
I 
Now, in order to allow for multiple motional locative objects, two time 
instances can be related with a temporal relation, - LE, for less than or equal. 
This is done in Figure 7.6. 
An interesting aspect of the semantic structure of Figure 7.6 is the static 
representation of "from". It is to be understood as showing that up to some point 
in the journey the moving object was not away from the house, but that it 
eventually got to be away from it. 
"Out of" and "off of" are analyzed similarly. 
VII.4 
Static Spatial References Applying to Motional Events 
Besides the ,durational and instantaneoue predications of motion, there can 
be overall predications of moving objects. 
These come in two forms. Adjuncts in 
movement sentences place the entirety of motion: 
7.22 In Chicago, he walked around the downtown. 
7.23 John came to Chicago in a plane. 
One class of verbs, which allows both movement and non-movement locative objects, 
allows the moving object to be statically placed during movement: 
7.24 He carried the dog onto the bus in a box. 
7.25 He. brought John to Chicago in a plane. 
This class is the portability verbs left over from the last section. These verbs 
take causative analyses with a motional event/state as the caused event. In both 
of these kind of examples, the motional event must have its motional properties 
represented at the same time as its static properties. Instantaneous and 
dutational SR'S must be shown predicating special place objects which are parts 
of whole place objects. Therefore, we must show the over411 predication applying 
to different forms. these must be the complete place objects representing the 
entirety of motion. This is consistant with our other anlayees, as will shortly 
be seen in more detail. It .will also simplify the inference rules that bring down 
overall spatial predications from higher levels to the motional place objects. 
This analysis is seen in Figure 7.7 which essentially summarizes this section. 
We have introduced twd new functions and types of place objects. These have 
allowed for movement locative objects. 
We must, however, realize that there are 
other uses-for this analysis. 
We will see why in the next section. 
INSIDE 
the cat 
S 
T2 
VALUE V&LUE 
ACROSS UP l NTO 
FIGURE 7.7 The motional component of the "The cat was brought across the 
8 I 
yard up the stairs into the house. . 
VIXI . Extending the Motional Analysis to Other Spatial References 
The last section may have given the reader the impression that the analyses 
for motiopal SR's are really different from those given other SR1s. Motional 
place objects have been set out as a history of movement 
in space and time. 
Nomotional place objects are left as "just" the location of certain events and 
states of affairs. 
In this section, we argue that this should definitely not be 
assumed. The place object of nonmotional SR's must be seen to have the same 
space-time structure as motional place objects. 
These are several arguments for 
this point. 
Relative motion has been considered only for sentences with movement verbs, 
but relative motion and references to motion are common as adjuncts of "non- 
motional" sentences: 
8.1 John held the ice bag to his head in the moving car. 
8.2 Jane sat on her purse from New York to Los Angeles. 
In each of tlie above examples two objects are statically related, i.e., John and 
the ice bag, and Jane and her purse, respectively. However, all are moving. One 
pair moves but remains static with respect to a car. The other pair is moving and 
changing with respect to -two cities. Hence, motion must somehow be allowed for 
in these "nonmotional" analyses. Further , change of relative position must be 
allowed for in at least one. No hint was given of how this last problem is to be 
solved in any of our diacussions of nonmotional SR's. 
Even when motion is not overt, time may have to be considered with SR1s: 
8.3 He died in his car. 
As we have seen in the analyses of sentences like 8.3, the car is to be related to 
the event of the dying. 
Consider the fact that the car is moveable. 
If we were 
to check to see if this were true, we must have either a history of the car's 
location or have the ability to find its location at the time of death. 
In oher 
words, time must be available for even instantaneous events. 
Jane 
FROM TO -A<-") 
fi I 
FIGURE 8.1 "She sat on her purge from New York to Los Angeles. . 
The way to extend our analysis to cover these facts is to recognize the 
connection between moti'onal and nonmotional place objects. Motional events 
involve the location over time of moving objects. Ndnmotional events and states 
of affairs do not necessarily involve moving objects, but they can involve 
location over time. This location is the space of spaces occupied by an event or 
state of affairs during its holding. To analyze the case8 of relative motion and 
motion with nonmotional events and states of affairs, these locations-over-time 
must be taken as the locations bf the events and states of affairs. Note that 
this does not change of the analyses presented earlier, only the way they are 
understood. With the same tyw of place object in all SR's the problematic 
examples that began this section can be elegantiy alloved for with the use of the 
motional functions. This is shown for example 8.2 in Figure 8.. So in 
conclusion we propose an analysis that treats all SR's the same. 
IX. Interpreting the Representation 
The last several sections presented the "syntax" of our semantic analysis. 
The term syntax is appropriate since the form of the analysis was presented. 
The 
semantics or interpretation to be given the proposed structures was only in- 
formally discussed, as when the trace or path analogy for motion was introducld. 
We noted in Section I11 that semantic nets do not just allow for the syntactic 
aspect of meaning structures, but also for the representation of the interpre- 
tation or definition of the concepts used in these structures. In this section, 
this property will be used to help formalize an interpretation of our analyses. 
This is only one of many possible interpretations, but showing it will help 
clarify the semantic structures. The formaloism for the conceptual definitions is 
based on Brachman (1977). Again, many abbreviations of a complete formalism are 
used. 
The center of our previous discussions was the place objecc. This must also 
be true in discussing conceptual definitions. The nature of the place objects 
must first be defined, followed by the definition of everything that relates to 
place objects. ~ventlatates will be discussed first, then the SEGMENT and UNIT 
functions, and then the prepositional concepts. The definition of the WAY 
function wiil not be attempted. 
IX. 1 The Place Object 
Our interpretation of the place object wiil be based on a discrete repre- 
sentation of time. Time can be considered as composed of arbitrarily densely 
packed time instances. A place object can show the location of an event/atate at 
one time for instantaneous events/states, a set of consecutive instances for 
durations1 event/states, and any set of instances for intermittent event/states. 
Structurally, we can take a place object to be a set of what we can call 
Place Object 
0 
DATTR 
FIGURE 9.1 a) The definition of Place Object. 
b) The definition of Placelet. 
platelets, each of which is an ordered pair whose first element is a volume in 
space and whose second is an instant in time. 
This is formalized in Figures 9 .la 
and b. 
In Figure 9.la, the node labelled Place Object stands for the concept of a 
place object. An arc with the special label DATTR points to its one defining 
attribute. This attribute and a11 others in this section are shown by a special 
node shaped as a square. The fact that placelets are members of the set that 
compose place objects is the defining attribute of place objects, This node 
captures this by using an arc labelled ROLE to point to the special name Membe'r 
- 
and one labelled V-R for value-restriction to point to the restriction on any 
- 
member, namely that it must be a Pldcelet. In Figure 9.lb, the concept Placel* 
is defined. In this case, the concept has two defining attributes since a 
placelet must have a space and a time. The two attributes are shown accordingly 
with the one in the role restricted to be a SPACE and one in the role called - t 
being a - TIME. The concepts of SPACE and TIME will be treated as primitive, here. 
IX.2 Event/States and Place Objects 
The structure we defined for place objects will be referenced whenevel place 
objects are used. One reference will be in eventlstatea where place objects are 
involved with the case P. Hence, with the conceptual definition of every type of 
event/state that has a location, there will be a definingattribute with role P 
and value-restriction Place Object. 
It is also the case that with each event/state, there will be a way to ehaw 
how the place object fits in with the .definition of the event/state. Thig will 
include the way in which the place object will be related to the participants in 
the eventlstate and structural restrictions on the place object 
Consider the- 
abstract eventlstate GOING. GOING requires of its place object that the 
placelets showlwhe.re the moving object was at each instance during the movement., 
The placelets must refer to the time of the GOING. 
Since a discrete represen- 
tation -of time is used, placelets for successive instances of time during the 
movement must show an overlap in positions occupied. Further, since movement is 
FIGURE 9.2 Partial Definition of GOING. 
necessary at least two positions among the placelets must be different. All 
these facts will have to be shown in the definition of GOING. 
In order to show the flavor of eyent/state definition, we show in Figure 9.2 
the relation between moving object and place object for GOING. The definition 
shows that the event/state has three attributes corresponding to the cases, P, T, 
and 0. Names have been added to the attribute nodes to make this easier to see. 
The everitlstate also has a structure identified by a special 5-C link, tor 
- 
structural conditions, which is used to identify how the event/stete is struc- 
tured. The conditions for GOING are a set of conjuncts identified by the label in 
the diamond shaped node. This shape is an ald to the reader and indicates a 
logical operator. The structure necessary for the spatial relation is the 
leftmost of the conjuncta. It essentially takes the form of an implication 
statement eaying that for every placelet in the place object, the moving object, 
which is identified by the 0 role, will have a BEING-AT holding for the place and 
time in the placelet. 
The statement begins with a logic node, labelled EVERY, 
identifying a universal quantification. 
The domain of the quantified variable is 
shown by the link labelled - x. 
By po3nting to the appropriate attribute node, the 
restriction is to the set of placelets in the place object. 
The link labelled - P 
identif ies the proposition within the scope of the quantifiet which shows that 
for Cach placelet BEING-AT is the case for the entity in the 0 role at the place 
and time of that placelet. The representation of this last depends on the 
ability to focus in on attributes of entities being quantified over, for which 
see the FOCUS-SUBFOCUS mechanism in Brachman (1977). This ability is indicated 
here by the special representation of the P attribute. 
IX.3 The SEGMENT and UNIT Functions 
- 
Formalizing the definitions of the SEGMENT and UNIT functions is fairly 
straightforward. Both can merely identify subsets of sets of placelets. The 
structural conditions for both can be shown with the same function which can be 
called GENERATE-RANGE. It can be asstuned to apply to any set and to produce the 
subset that fits a range defined by two limits and a measure. Since the 
definitions are similar, only the UNIT function will be shown, see Figure 9.3. 
The GENERATE-RANGE function for the UNIT definition can take as its input, 
identified by the SOURCE link, the place object marked by the S link of the UNIT 
function. The scale for measurement can be established by reference to a special 
Temporal scale. and apply to the time values in the set of placelets being 
operated on. The boundaries of the subset to be generated can be shown by FROM 
- 
and - TO linke. 
The FROM value would be produced from the set of placelets by a 
special LOWEST function to produce the lowest time value from among the place- 
lets. The TO value can be a placelet with time specified by the T role in the 
UNIT function and unspecified space. The RESULT link can show that the generated 
value should be connected to the VALUE role of the UNIT function. 
SPACE 
Figure 9.3 Definition of the UNIT Function. 
IX,4 Pre~osi tions 
Prepositions are the final concepts whose xelation to place objects will be 
considered. It is always the case that prepositional concepts relate place 
objects which aFe locations over time to simple objects. The suggestion in the 
last section was that the locations of the place objects are related to the 
position of the referenced object at the times of the place object. The nature of 
this relationship depends on the source of the place object being predicated. 
Consider first predication of place objects which directly show the location 
9.1 In his new shoes, John walked through the barnyard. 
The above eqample asserts that at each instance during the walking, 
the walker 
was "in" with r@spect to the position of his shoes. Such examples require that 
the object's position at each instant during the eventlstate be compared to the 
location of the event at that instant. 
Ulowing for the preporititma]. concepts applying to place objects produced 
by the UNIT function must be done differently: 
9.2 John went into the car. 
Exaq4-e-9-2 ite of thia class with the eemantic structure showing concept Im 
relating a part of the going to the location of the car. Here the position of the 
aiqle object must again be compared at each instant of the place object to the 
location of the place object at that instant. Rowever, only at the last instant 
wt the relation be ehown as holding.* 
Repositions predicating place objecte produced by the SEGMENT function are 
are caplex: 
9.2 An ant is crawling up your arm. 
A s*le interpretation of the prepositional concept in the above may be 
problematic. 
Since your arm could be in motion, a stationary observer would 
include sare wtion attributable to your arm in the ant's path. Further, even if 
r wanted to take the position of the arm at erne one instant it is unclear wbich 
to take. These problems, however, dieappear with. the realization that the motion 
refereaced is not with respect to an arbitrary observer but to one on the am. 
For him, the SR can be treated as involving not a moving arm but one essentially 
static in space. This can be allowed for by requiring the conceptual definition 
of the prepositions to project the referenced objects' positions shown in the 
place object in. the P case onto the base object shown in the G case. This will be 
like taking the base as a static ground and the referenced object as a figure seen 
against it. 
*Since the change into the final state my be gradual and not dramatic, fuzzy 
relatioucl (~adeh, 1973) might be used. 
For instance, the degree of "into"' 
ednees could be quantified with the analysis showing that a certain degree 
was reached. 
V-R 
* 
Event / Stote 
FIGURE 9.4a The definition of ACROSS: higheat level. 
The conceptual level definition of the prepositional cmaept ACROSS is 
sketched in Figures 9.4a, b, and c. Here again, it should be remembered that we 
are not trying t~ show the entire meaning of the prepositional form, only its 
relation to the place object. Accordingly, a number of unanalyzed forme will be 
used. Perhaps the most curious one of the forms will be one labelled acroes , this 
can be seen as the physical part of the concept ACROSS. It would have to be the 
next form developed if we are analyzing the meaning of the preposition. 
The definition of ACROSS begins in Figure 9.4a with an indication of the F 
and G nodes. The structural condition again shows the required connection 
between these two elements. It has three a1 ternative opportunities for eatis- 
faction, one for direct predication, one for UNIT functions, and one for SEGMENT 
funf tions. 
The three choices are reflected by the three arcs projecting from the 
OR node. Which case applies should be shown by one of the two arcs projecting 
- 
from the corresponding AND node. 
The test for direct predication is identified 
by the object in the F role being pointed to by an Event/Statc.* This is shown by 
*It could just a8 well be pointed to by a WAY node. 
Thicl could be teetcd 
for with the addition of a disjunct. 
FIGURE 9.4b The definition of ACROSS: direct predication. 
across 
SPACE 
project m 
2 
FIGURE.9.4c The definition of ACROSS: SEGMENT predication. 
a test labelled with these names. The condition that muat hold if we do have 
direct predication is shorn in Figure 9.4b. It states that for every placelet 
the physical across must hold between the space of the placelet and the space of 
the place object of a BEING-AT which locates the object identified by the object 
in the role at the ti* shown in the placelet. The superscripts on nodes in the 
figure establish co-reference between the different parts of Figure 9.4. The 
structure for the UNIT case is fairly similar and not shown. For the SEGMENT 
case, the condition is based on one space being phy~ical across from another. 
This is shown in Figure 9.4~. Both spices are shown being produced by a s~ecial 
proieqtion function which takes the place object in the F role and the object in 
the G role and produces the projection, shown by an arc of that name, and an 
abstract space to compare it to, shown by the Abstraction arc. 
To summarize, the section has shown how conceptual level interpretation can 
be given the semantic structures proposed earlier in the paper. Any system that 
uses the semantic structures can also use the interpretations. Of course, the 
interpretations are baaed on one way of structuring plade objects. Since there 
are other ways, other interpretations are possible. 
X. Limitation, Summary, and Conclusions 
There are definite limits to the claims we wish to make. 
In this concluding 
section, we point out several half-solved and unsolved problems, one area where 
we could conceivably expand our claims, and then end with a summary and final 
defense. 
Metaphorical usages are i~lportant but difficult subjects for semantic 
representation. Things like "climbing the ladder of success" are far enough away 
from spatial reference to be ignorable. However, some SR phenomena appear to be 
metaphors: 
20.1 John yelled his greetings to John. 
In the above, an imaginary object, "his greetings", seems to be sent through 
space. In the.following, a hypothetical journey is referenced: 
10.2 The bridge goes from New York to New Jersey. 
Any direct representation of these phenomena using the definitions from the lasf 
section is unlikely since a non-instantaneous time interval must be present, 
while these sentences are basically instantaneous. My best suggestion is to 
represent these using the motional structures but to indicate by a function or 
operation applied to every appropriate foa that the actual sense is meta- 
phorical. 
Unfortunately, this leads to odious complexity. It is probably better 
to say our claims stop at this point. 
Many adverbial8 qan apply to modify SR'S or show spatial-like properties of 
events and states. We have no definite analyses for these, either. An 
incomplete study indicates that these may be analyzable within our model. For 
example, some forms can be shown as modifiers of a prepositional concept, such as 
in the following: 
-3 I put the ball completely under the car. 
Some seem to predicate place objects directly: 
10.4 I walked two miles. 
Others seem to coordinate with SR's: 
10.5 Go straight into the house. 
Here "straight" can be shown aa predicating the part of the journey up to the 
time the house was entered. However, I do not know how many other terms remain to 
be considered. 
Two problems remain completely unsolved. The first involves relative 
motion. 
10.6 The ant walked over the rising pile of dough. 
Now, it is actually possible that-10.6 can be true but that the dough changed 
during the walking. Since there is no one static pile of dough, this would make 
which 
problematic the use of the dough as the object into,,the motion of the ant is 
projected. Secondly, it appears that inferences vary in habitual sentences: 
10.7 He bought a present for her in New York. 
10.8 He always buys a present for her in New York. 
The last examples differ because the former says an event occurred in New York 
but the latter says that a certain type of event must occur when the person is in 
- 
New York. I have solutions for neither problem. We can only appeal to the fact 
that these phenomena do present problems in many other areas of semantics. 
Switching from difficult to promising areas, one strong possibility exists 
for expanding the analyeis and corroborating it. 
As the analysis was developing, 
time could be seen t-9 become more closely associated with place. 
In the end, time 
was claimed to fit it every place object. Perhaps with our place object, no 
separate time attribute needs to be associated with events or states of affairs. 
We may be able to claim that, to quote E. J. Lemon (19671, we can associate 
I I 
events with space-time zones" instead of times and spaces. 
How this would be 
done remains to be seen. 
However, if we have not already met our gdal of putting 
space on a par with tie, that would certainly do it. 
In suampry, this paper has ahown how the .emantic rtructure of 8pati.l 
reference8 can be shown as locating events and states of affairs. within a 
semantic net, this has the form of showing a location ae an attribute of 
event/state nodes. In line with this, the concept of a place object, showing 
where events and states of affairs held at instances of time, was developed. 
Several functions were developed for use in predicating locations. Inferencing 
of spatial facts, the use of prepositional-like concepts for showing spatial 
relatibnships, and the overall semantic structure of utterances was also dis- 
cussed. 
Throughout the paper, the main jus tif ication has been that the analysis 
handles phenomena that other analyses do not. However, there are other jurtifi- 
cations. Only one source for space simplifies the modeling of spatial phenomena. 
Using only static forms simplifies the interpretation of spatial terms. Also, 
the use of static forms fits in with proposals for state-based semantic represen- 
tations (~ercone and Schubert, 1975). Finally, we can see that the analysis of 
)I 
semantic structures, in general, fits in with deeper" analyses of semantic 
structure such as Schank (1973) and Norman and Rumelhart (1975). In sum, there 
appears to be a strong case for the analysis. 
Acknowledgements 
I wish to acknowledge the help of David Brown on an earlier draft of thia 
paper and the even earlier advice of Richard L. Venezky and Peter S. Schreiber 
who launched me into time and epace. 
d* Washington Report 71 
**+****+****+************************ 
rnemm Wwm 04 lnfarmd~an Processr@ Soc~ew, Inc , Sum 420,2100 L Street, N W , Washnglon, D C 20037 
202-296-0590 
Vol. 111, No. 9 
September, 1977 
WASHINGTON DEVELOPMENTS 
m, SENATE HOLD HEARINGS ON 'REORGANIZATION PLAN NO. 10P 1977' 
AFFECTING OTP, OSTP, ISETAP, PCST, FCCST 
% Home of Representatives and the Senate last month held hearings on 
Resident Carter's Reorganization PZan Jo. 1 of 1077, dealing with the 
reorganiaat ion of the Executive Office of the President (EOP) , including 
bodies dealing with telecommunications, computers and information policies. 
Reoqanizutia Ph No. I, submitted July 15th, is the first of a series 
of plans to be presented by the ?resident reorganizing the Executive 
Branch of Governutent. The proposals directly affect the organization of 
groups within EOP including the Office of Telecommmicatians Policy 
(UP) ; the 0fiice of Science and Technology Policy (OSTP) ; the Intergovernmental 
Science, Engineering, and Technology Advisory Panel (ISETAP) ; the President s 
Cmittee on Science and Technology (PCST) ; and the Federal Coordihating 
Cameil for Science, ~ngineeking and Technology (FCCST) . The plan 
becomes law unless vetoed by Congress in 60 days. 
Details of lReorganization Plan No. 1. In hearings hst month before 
both the Subconittee on Legislation and National Security of the House 
bittee oh Government Operations and the Senate Conunittee on Governmental 
Affairs, Office of Management and Budget (OMB) Director Bert Lance 
contended that the Reorganization would strengthen the Cabinet form of 
Government. Mr. Lance added that it would also insure that "interested 
individ~als~~ in the departments would be consulted early in the decisionmaking 
pmcess . 
In short the plan creates (in lieu of the present White Home Domestic 
Council) a "Domestic Policy Staff1' composed of ad hoc working groups of 
Cabinet and agency officials who, under the Vice President, are charged 
with setting priorities among the issues. 
Specifics of the plan as it affects telecomunications, computers and 
infmtion pol icies groups within the EOP are: 
It abolishes OTP. 
It transfers varkous functions of OTP to the President. 
It grants the Domestic Policy Staff authority, once associated with 
OTP, to review policy options requiring presidential decisions. 
- It delegates to OMB responsibility for establishing policy 
for Government procurement of telec~nicatias facilities 
and services, formerly a function of UI'P. 
- It transfers all other functions of OTP, including policy 
development and the allocation and regulation of frequency 
assignments, to the Department of Commerce. 
- 
It creates a new position of Assistant Secretary of Cbnmerce 
for Communicatfons and Information "to serve as spokesman for 
the Administration on telec~unicat ions issues , and [to] assume 
responsibility for the functions transferred from OTP and 
those of the Office of Telecomunications in Commerce,ff according 
to OMB Director Lance. 
- It retains OSTP but transfers all functions vested in the 
director of OSTP to the President, who may than redelegate 
various functions. 
- It abolishes ISETAP, PCST and FCCST [established. with OSTP 
through enactment of the NationuZ Science and TeehZogy IbZicy, 
UrganCsation, and Prioritis8 Ad of lg76), and transfers these 
organizations' functions to the President, who may then 
redelegate some or all of them. 
Criticism of 'Reorganization Plan No. 1.' Congressional criticism of 
heorganization PZun No. I, as it pertains to teletommunications, computers and 
infomation policies groups, centered on the creation of the new Assistanit 
Secretary of Commerce for Communications and Information. Sen. Abraham A. 
Ribicoff (D-Conn.), chairman of thd Senate Committee on Government Affairs, 
suggested there wi 11 be "a lack of coordinationv of telecommunications 
policies with the new Assistant Secretary of Commerce outside the White House. 
Sen. Ribicoff also expressed concern that the Assistant Secretary would 
"get lost in the shuffle." In addition, Rep. Jack Brooks (D-Tex.) , 
chairman of the House Committee on Government Operations, questioned how 
the Assistant Secretary-designate, 'hot the juiciest job in the United 
States," could coordinate Govermnent;wide policy. 
BILL REGULATING EFTS ImRODUCED IN HOUSE 
A bill that would extend Federal regulation to include control over 
electronic funds transfer systems (EFTS) was introduced in the House of 
~e~resentatives in July by Rep. Wary Rose maker (D-Ohio) . 
The bill, 
B.R. 8387 (#I, would expower the Comptroller of the Currency to oversee 
EFTS for national banks; the Federal Home Loan Bank Board to oversee 
EFTS for savings and loan associations; and the Federal Ekposit Insvrance 
Corporation, the Federal Reserve, and the Nadonal Credit Union Administration 
to oversee EFTS for their member institutions. 
The bill incorporates some of the legislative recommendations of the 
National Comission on Electronic Fund Transfers 
(NCEFT) conkained in 
the NCEFTWs Fehuary, 1977, interim report. (The final NGEFT report is 
due to be released next month.) H.R. 8387 was referred to the House 
Committee on Banking, Finance and Urban Affairs in July. 
SEPTEMBER, 1977 AFIPS WASHINGTON REPORT 
The Department of Justice, the Ad Hoc Tblecormnunications Users Committee, 
ATGT, IBM Corp., the Computer and Business Equipment Manufacturers 
Association (CBEMA) , the Computer Communications Industry Association 
(CCIAJ, and the Association of Data Processi'ng Service Organizations 
(ADAPSO) have all filed recent comments in the Federal Comrmmications 
Comiss i on ' s (FCC] Second Canputer Inquiry. 
The InquZq is considering 
the role of a regulated monopoly, ATBT, and otherregulated CQmon carriers 
in providing unregulated data processing services, generally torbidden 
by the FCC. 
In filings last May, the Justice Department opposed broad regulation by 
the Commission of unregulated firms which, though they may compete in 
certain areas with AT6T, are not now regulated by the FCC. Justice also 
said it "strongly supports the Commission' s intentions to base its rules 
on marketplace standards, rathet. than simply technolbgical standards." 
lle Ad Huc Telecommunications Users Committee (composed of 15 users 
companies such as the Ford Motor Co. and Sears, Roebuck & Co.) oppased 
"a prohibition against the usc of new technology for communications 
purposes." The Users Committee suggested that prohibitions against 
regulated carriers' entry into unregulated data processing activities 
should be confined to the lJpurpose and effect of the services provided," 
rather than be based an the processes or equipment used. 
ATET argued against anbwoverly restrictive viewff of "communications 
common carriage." IBM, CBESlA, CCIA and ADAPSO, however, supported a 
broad definition of data processing, leaving it unregulated, and opening 
the field to more competition, they said. 
FEDERAL MINICOMPUTER. TERMINAL STANDARDS TO BE ADOPTED BY NBS 
A new Federal interface standard, called '%S-XYZ;" is planned by the 
National Bureau of Standards (NBS) to replace the current RS-232C interface 
between terminals and computers (especially minicomputers) and data 
communications equipment. According to a June 27, 1977, article in 
ComputemorZd, the RS-XYZ standard should be implemented this month. In 
addition, an eight-bit ASCII code (in lieu of the usual seven-bit code), 
and protocols standardizing the user-terminal interface, are under 
consideration by NBS. The eight-bit ACII code could be implemented as a 
Federal standard early iq 1978. 
A Federal Basic standard is also expected 
for 1978. 
FIRST NATIONAL FACILITY FOR ELECTRONIC DEVICES RESEARCH ESTABLISHED AT 
CORNELL BY NSF 
The first national facility'for research on electronic devlces with 
dimensions of less than one micron is being established at Cornell 
University in, Ithaca, New York, with a five-year, five million dollar a 
grant from the National Science Foundat ion (NSF) . The faci li ty , known 
as the National Research and Resource Facility for sub-Micron structures, 
SEPTEMBER, 1977 3 
AFIPS WASHIKGTON REPORT 
74 
is designed to find better ways to produce tiny patterns that can be 
incorporated into various electronic devices. 
The technology, planned 
for development in the new facility, could allow researchers to increase 
the density of componengs in an integrated circuit by as much as 10 
times. 
SECOND ANNUAL REPORT OF THE PRESIDENT RELEASED ON 'FEDERAL PERSONAL DATA 
SYSTEMS SUBJECT TO THE PRIVACY ACT OF 1974' 
As required by the Privacy Act of 1074, President Carter in June submitted 
his Seaond Annuat Report of Fedem2 Personut Data Systsm Subject to tho 
Morn& Act of 1974. 
The teport covers personal data systems maintained 
by the Executive Branch in 97 agencies during calendar year 1976. The 
study concludes that there was no "significant change1' in the "scope and 
naturetf of Federal persoqal data systems, nor was there any "significant 
changew in the use of computers to process personal data. 
Specific findings include: (1) Ninety-seven agencies maintained 6,753 
personal data systems containing 3.85 billion individual records at the 
end of 1976, a net increase of 11 agencies and 30 systems, but a net 
decrease of 34 million individual records from 1975; and (2) at the end 
of 1976, 29 per cent of the personal data systems and 74 per cent of tho 
individual records were fully or partial.1~ computerized, as compared to 
27 per cent and 79 per cent, respectively, at the end of 1975. 
AFIPS IN WASHINGTON 
AFIPS ESTABLISHES PANEL TO COMMENT ON REORGANIZATION OF FEDERAL CNPUTER- 
RELATED GROUPS. SUBMITS RECOhDlENDATIONS TO OMB 
AFIPS has established a panel to comment on the reorganization of computer- 
related groups in the Federal government. Chaired by Dr. Stephen S. Yau, 
Northwestern University, the panel consists of 13 members who prepared a 
consensus document for submission to the Office of Management and Budget 
At the direction of the President to begin a "comprehensive review of 
the management of administrative services within the Federal government," 
OMB has solicited comments on a ucomprehensive-reexamination of Federal 
data proce~sing." Specifically, the OMB project is focusing on: (1) 
Improving productivity in the delivery of Government services through 
the application of computer technology; (2) improving the acquisition, 
management and use of these resources; and (3) eliminating duplication 
and overlap in agency jurisdictions dealing with computer issues. 
Dr. Yau and Washington Office Director Philip S. Nyborg .et August 11th 
with Mr. Walter W. Haase, OFlB deputy associate director and project 
leader for this area of the Reorganization, to present the AFIPS consensus 
document, As a result of AFIPS President Theodore J. Williams' letter 
to President Carter (Washington Report, 8/77, p. 3), in which Dr. Williams 
expressed concern about the Reorganization, Hr. Wayne T. Granquist, OMB 
associate director for Administrative Management, suggested the meeting 
SEPTEMBER, 1977 4 AFIPS WASHINGTON REPORT 
with Mr. Haase. 
The AFIPS panel recommendations are summarized verbatim from the consensus 
document : 
1. 
An independent agency should be established to have 
cognizance over all Federal procurement and management 
functions related to data processing and comunications; 
this, as explained below, should be the sole mission of 
the agency. 
2. The Office of Management and Budget (OW) should 
continue to provide Government-wide enforcement in this 
area, by exercising fiscal control. 
3. 
Responsibilities of the independent agency should include 
authority over -all other Government agencies concerning 
the following functions related to data processing and 
communications (except as noted): 
a. Management policy, procurement, technical support 
and standards development and implementation 
(Exceptions would be weapons systems computers and 
procurements below certain minimum cost?.) 
b. Inng range planning of data proccss~ ng and 
communicat i.ons operations as part of the reg111 ~r 
budget cycle 
c. Mandatory periodical total system performance 
evaluation and analysis of data proccssing and 
communications operations in all agencies 
d Providing technical consultants to other agencies 
e. Maintainancc of an inventory of well-documented 
software packages with the information on their 
performance 
f. Recommendat ions to the Civi 1 Service Commi ssion 
regarding: 
1) 
Adequate job categorization with particular 
emphasis on software personde1 
2) 
Provision for adequate coat inuing cd~lcot ion 
to enable personnel to remain abreast of 
rapid technological change 
4. The following questions are recommended for careful further 
study : 
a. Whether it is aesirablc to consolidate national policy 
functions, relating to computer and cornmunicatinns 
technologies, within 3 single group (i.c.. , in clther 
the proposed independent agency or within an exist~ng 
department 1 
SEPTEMBER, 1977 5 AF: 1 T'S WASH I NG'TON RE POK'I 
b. [As indicated, we recommend that an independent 
agency is esteblished, with the responsibilitirr 
outlined in item 3, above; however, if this 
rscomondation is not adopted): 
Wether this 
agency should be placed within th-rce Department 
ether there should be established, a Federal Data 
n strator responsible for analyzing and frcilltatinp =* BiXT 
the overall flow of Federal data 
Members of the AFIPS pans1 (and society affiliations) include: Mr. Isaac L. 
Auerbach, Auerbach Associates, Inc. (first IFIP president); Mr. Joseph 
Cunningham (past ACM executive director) ; Dr. N. P. Dwivedi (IEEE) ; John M. 
Egsr, Esq. ,B Lamb, Eastman 8 Keats (AFIPS) ; M. George R. Epgert (DPMA) ; 
Dr. Bruce Gilchrist, Columbia University (past AFIPS executive director); 
Dr. Herbert Grosch (ACM president) ; Mr. Wil limn 0. Groth, 
IBM Corp. [IEEE) ; 
Dr. Carl Hemmer, 'Univac Federal Systems (ACM); Mr. Thomas McConnell, 
Atlanta Public Schools (past AEDS prssldent) ; Dr. Wil liam Miller, Stanfotd 
Univeristy (SIAM); Philip S. Nyborg, Esq. (AFIPS Washington Office Director); 
Mr. H. Lewis Parker, Comsat LabratoriQs f~lh);'Dr, Anthony Ralston, State 
University of New York (past AFIPS pres idsnt 1, Dr. ~dgar Sibley , University 
of Maryland (ACM) ; Mr. Keith Uncapher, ~nf&nntion Sciences Inst ituts 
(past AFIPS president); Dr. Willis Ware, Rand Corp. (past AFIPS president); 
and Mr. Sidney Weinstein (ACM executive director). 
FIRST COPY OF AFIPS STUDY ON 'T!VORhLATION PROCESSING IN THE U.S.' PRESENTED 
PO WHITE HOUSE OFF ICE OF SCIENCE, AND TECHNOLOGY POLICY 
The first copy of a now AFIPS study, entitled Informtion P?wosecling in thr 
fisted Stutoe A QuantCtative Smry (see Wuehtngton Report, 4/77 p. 11, 
was presented in July to the White House Office of Science and Technology 
Policy (OSTP). The 8s-page report updates a previous AFIPS study, ha Sate 
of thu Computer Indue try in the United Statee, published in 1973. Accepting 
the report on behalf of Dr. Frank Press, OSTP director and Presidential 
science adviser, wcrc: Mr. Philip Smith. OSTP assistant director, and Mr. 
William Montgomery, OSTP executive officer. 
Incorporating some 34 figures and tables, the study includes previously 
unpublished and unosscmbled data on U.S. computer suppl~ars and users, 
personnel and educot ion in the information processing field, and significant 
trends for the computer area. Presenting the report. AFIPS Washington 
Officc Director Philip S. Nyborg noted that it is intended to provide summary 
data on the information processing field, establishing computer technology 
as 8 vnon-scarcc" national resource relevant to a broad range of policy 
questions. OSTP Assistant Director Smith described the study as "timely" 
and "very helpful .It 
In a letter accompanying the report, AFIPS President Theodore J. Williams 
wrote to Dr. Press: ''We can envision that you may have need of furthcr 
specific reports (or less formal input) on applications of computer science 
and technology to achieve national program goals and to solve national 
problems. As these needs arise, f urge you to regard the 110,000 men and 
wanen who constitute the 15 scientific and educational socicties within 
AFIPS, as a continuing source of experts and expertise from thc information 
SEPTEMBER, 1977 6 AFIPS WMMI NCTON REPORT 
processing field. 
We would welcome the opportunity to usefully contribute 
to the important work of your office." 
Mr. Nyborg, who co-edited the study, was accompanied by Research Associate 
Pendsr M. McCarter, co-editor and principal ingestigntor working on the 
report. Mr. William Erickson, co-editor, was also employed by AFIPS to 
participate in the project as a part-time, temporary research assistant. 
According to the study, world computer manufacturing and services revenues 
of U.S. firms are projected to double from $31.9 billion in 1976 t-o 
$64.0 billion in 1981, and world computer equipment shipments for U.S. 
firms arc also forecast to double from $15.9 billion in 1976 to $30.5 
billion in 1981. 
In addition, the report notes that, while the insurance 
and banking industries have the highest degrec of computer usage in 
tcrms of the proport ion of firms ;sing cornputor equipment or scrvices, 
the nanufiicturing sector is the biggest user in the U.S. in terms of 
total expenditures on computcr equipment and services. 
According to the 
study, the total computer labor force (i.e. , individuals having full- 
t ime employment in traJit ional computer-related occupatio~~s such as 
programmer or analyst) is placed at 853,000. Finally, the report stated 
that whi lc thc pcxcentagc of gross national product spent on computer 
usiigo in the U.S. is increasing driunsticnlly, the amount spent per capita 
is incrc;ising at an even faster ratc. 
I'ublic distribution of the study is scheduled this month by AFIPS at 
$6.00 per copy. Initial inquiries should bc directed to the Headquarters 
Of ficc in Montvul c, New Jcrsey, telephone (201) 391 -9810. 
NEWS BRIEFS 
-- 
Implementation of u computcrized switching system to transmit administrative 
messages between the National Crime Information Centor and the 
-- 
nnt ion1 s local ond stze law enforcement units is being reexmined 
by the IlcpartmanY of .Justice, - in view of Congrcssionnl opposition 
to the project. 
*he House  ohn nit tee on Science and Tachnolo last month convened hearings 
on the functions and operations + o the Congressional Off ice of 'Pechnology 
---... 
Asscssmcnt ((n'A) , reportedly considering omendmcnt 5 to the TeehnoZop~ 
Aoscusnent Ad, which established OTA in 1972; among othcr recent 
activities, M'A is examining the hosis for cstal~lishing a serics of 
01'A technology nssessrncrlts in the area of tclccommrlrlicotions, 
computers and iwfomat ion policies . 
A bill to make n cri~nc "thc frnudulclit or illegal usc of any cornput er 
owned or opcrntcd by thc I1 .S., ccrtitin f'iniincrul inst i tut ions, iind 
e11t itics affecting interstate comnrerce" was int roiluccd i 11 tho llousc 
in .July by Rep. Charles Rose 111 (1)-N.C.) and Rep. Rolwrt F. nrinon 
------- 
(D-Mas~.); the hill follows similir lcgislotion introduced in the 
Kte in .June (Wushi*rgto~z R~por*t. 8/77, p. 2). 
~ornp~Fer specialists are being sought by the Qrganizat ion of American States 
(OAS) for short and long-ten technical assistance missions to 
- 
merriments inLat i n Amcri c.,~ end t hc (:sribbc:ln; furthcr i nforrnrlt ion 
fs nvail;lhlc from tl~c Unit of Coopcrnl ion with Nonjiovcrnmcntiil 
Institutions, Offirr of 1ntcm.lt lonal Coopcrnt ion, OAS, W:~.;hington, 
11. (0. 20006, 
SEPTEMBER, 1977 
Al- 1 I'S WAS1 1 I NG'I'ON UIIIIOH'I' 
d% Washington Report 78 
Vol, 111. No. 10 October, 1977 
WASHINGTON DEVELOPMENTS 
PRESIDENT FILES AMENDMENTS TO 'REORGANIZATION PLAN NO. 1 ' CLARI FY ING 
TRANSFER OF OSTP FUNCTIONS TO NSF ; BROOKS ' COMITTEE REJECTS RESOLUTION 
DISAPPROVING 'PLAN NO, 1' 
The President last month filed amendments to his Reorganhation Pta 
NO. I of 1977 (W~shington Report, 9/77, p. 1) clarifying the transfer 
of certain functjons of the Office of Science and Technology Policy 
(OSTP) to the National Science Fowdation (NSF). The original Reorganiaatia 
PZan No. I transferred these functions to the President for later redelcgation 
to NSF; under the amendments, various OSTP functions are transferred directly 
to the director of NSF. These functions include production of a national 
research and dev~lopment assessment as well as a five-year outlook for 
science and technology, both alluded to in PZan No. 1. 
Brooks1 Committec ~esolution. On the day after the transmittal of the 
President Is amendments September 14th, the Subcommittee on Legislation 
and National Security of the House Committee on Government operat ions, 
chaired by Rep. Jack Brooks (D-Tex.) , rejected House ResoZutim 688 expressing 
disapproval of Plan No. I. The President1 s amendments appear to be responsive 
to earlier comments by Rep. Olin E. Teague (D-Tex.), chairman of the House 
Committee on Science and Technology, who (in a letter to Rep. Brooks1 Committee 
last August) criticized the ambiguity of the President's transfer of powers 
procedure. Rep. Teague called such redesignation of functions "unfortunate" 
because "it gives Congress no idea of their final disposition." 
Coordination with OM0 Study. The amendments also state that the Reorganization 
"shall become effective at such time or times on or before April, 1, 1978, 
as the president' shall specify, but not sooner than the earliest time allbwable," 
in this case 60 working days from July 15th (when the Pkn was presented to 
Congress), or October 15th (when the PZan becomes law, unless vetoed by 
Congress). The April I, 1978, date would coincide with the conclusion of 
an CMB reexamination of Federal data processing by six task teams under the 
supervision of Wayne T. Cranquist , CMB associate director for Administrative 
Management (see Wa8hington Report, 9/77, p. 4). 
CBEMA, CCIA Comments to OMB on OriginaI Plan. Last month, the Computer and 
Business Equipfient Manuf actureres Association (CBEMA) and the Computei. and 
Communications Industry Association (CCIA) filed differing recommendations 
with the OMB on Federal automatic data processing (ADP) procurement. CBEW 
criticized the General Services Administration (GSA) for overly strict enforce- 
ment of policy concerning agency ADP procurements, whereas CCIA favors further 
centralization of ADP procurement policy within GSA. 
PRIVACY, OTHER DATA PROCESSING LEGISLATION GIVEN LIMITED CHANCES FOR 
PASSAGE IN FIRST SESSION OF 95TH CONGRESS 
Following presentation of the Privacy Protection Study Commissionts 
final report in July (Washington Report, 8/77, p. I), chances for passage 
of privacy md DP legislation introduced in the first session of the 95th 
Congress appear to be limited, according to a survey of higher-level 
Congressional staff members conducted by AFrPS Wtzahington Report last 
month. Reasons for delay in consideration of legislation on DP and 
privacy include: uncertainty over adjournment (with estimates ranging 
from as early as this month to as late as Thanksgiving); receipt of 
Executive Branch comments on the Privacy Conunission's recommendations; 
and consideration of other business, ranging from the Lance investigation 
to energy, lobbying and anti child pornography legislation. 
In addition to the privacy legislation already introduced, new House 
legislation is expected concerning rccordkeeping among educational 
institutions. The Omnibue Privacy Act is also anticipated, incorporating 
previous legislation introduced -by Rep. Barry M. Goldwater (R-Calif.) 
and Rep. Edward I. Koch (D-N.Y.), as well as providing for a new Eederal 
entity overseeing implementation of privacy legislation. In the Senate, 
additional legislation covering all areas addressed in the Privacy 
Conunissionfs final report is expected from Senators Bayh, Heinz, Muskie, 
Percy, Proxmire, Ribicoff and Weicker. 
NBS PROPOSES REVISION TO 'COMPUTER X/O CHANNEL JNTERFACE' 
The National Bureau of Standards (NBS) last month published a proposed 
revision (t) to the NBS' Computer input/Output fI/O) Chunnez Interfaoe 
(Wuehington Report, 2/77, p. 4) to be adopted as a Federal Information 
Processing Standard (FIPS) . 
According to the announcement of the revision, Vol. 42, Federal Regiekr 
42242 (August 22, 1977), l~acquisition alternatives that comply with this 
standard shall be considered competitively with other alternatives so as 
to meet the Government's data processing requirements at least cost.1t 
Comments should be directed by October 2lst to the associate director 
for ADP Standards, Institute for Computer Sciences and Technology, NBS, 
Washington, D .C. 20234. 
CWISSION ON FEDERAL PAPERWORK EXPECTED TO RECOHEND NEW CABINET,-LEVEL 
~EPARWENT INCORPORATING FUNCTIONS OF GSAIS AUTOMATED DATA 0 TELECOMMUNICATIONS 
SERVICE; COMMISSION URGES COORDINATION OF INFORMATION POLICY OVERSIGHT-FUNCTIONS 
The Commission on Federal Paperwork, established two years ago by Congre3s, 
ir expected this month to announce some 750 recommendations for reducing 
paperwork which could rrlrult in annual ravings of $10 billion, AFIPS 
WarhCngton Report learned last month. 
At its final meeting in September, 
the Conuniss ion conditionally approved a recommendat ion er tablishing a 
Department of Administration that would combine the functions of the 
OCTOBER, 1977 
APIPS WASHINGTON REPORT 
Automated Data and 'l'elecommunications Service (ADTS) as well as the 
National Archives and Record Service, within the General Services Administration 
(GSA); and the Bureau of the Census, within tho Deparment of Commerce. 
Recommendations pertaining to data processing are incorporated in an 
ItInformation Managementt1 section of the final report. The Commission is 
expected to recommend consolidation of Itthe major paperwork, information 
and communications-related policy oversight functions pnd authoritiestt 
which it holds are "now dispersed and fragmentedI1 among: the Information 
Systems Division in the office of Management and Budget; ADTS within CSA; 
and the Office of 'I'elecommunications I'olicy, in the Executive Office of 
tho President. 
The Comn~ission on Pedcral Paperwork is also expected to favor improved 
ttcoord i riot ion of records and paperwork management programs and pol icies 
with related information policies such as statistics, ADP telecommunications, 
public-use reporting, and other similar activities." The complete 
report is scheduled for release corly this month. 
FIHS'L' MEETING OF OS'I'P AL)V ISORY GROUI' ON W111'E t1OUSE INFORMA'I'ION SYSTEMS 
- 
IDEWTFIES EOP INFORMATION NEEDS 
- --- 
'The first meeting of the Office of Scicncc and Technology Policy 
(OSTP] 
Advisory Croup on White House Information Systems was held August 24-25 
in Wash i ngton . 
'I'he Advisory Croup has been formed to identify informat ion 
systrrns neck which can be accommodated to support the "decision processesr' 
of the Write llouse and the Executive Office of the President (EOP) . 
Itigher-lcvcl EOP staff members appeared before the Group to identify their 
informat ion requirements. 
At the first meeting, opened by OSTP Director Dr. Frank Press, Stuart E. 
Eizenstat, assistant to the President for Domestic Affairs and Policy, 
told the Advisory Group that the Office of Domestic Affairs and Policy requires 
more sophisticated document tracking techniques. For example, Mr. Eizenstat 
noted that there are ttseveral hundredt1 legislative bills of interest to 
his off ice. In addit ion, ' council of Economic Advisers (CEO) Chairman 
Charles L. Schultze cited the need for "large scale data bases," also fcr 
document tracking. 
Advisory Group Chairman John Cosden of the Equitable Life Assurance 
Society solicits written- statements from all interested parties to 
assist the Group with its work. The next meeting of the Group is scheduled 
for October 4-5 in Washington to continue briefings by EOP staff on their 
information needs. Other Group members include : Dr. William cottenan, 
Georgia State University; Dr. Gerald Dinneen, Department of Defense; Dr. 
Vincent McRae, IBM Corp.; Mr. Jon Turner, Columbia University; and Dr. 
Russell Shank, UCLA. 
NASA, ILLINOIS INSI'IlUTE OF 'TECHNOLOGY SURVEY USER NEEDS FOR VLSCS 
- 
The Ames Research Center of the National Aeronautics and Space Administration 
(NASA] and the Illinois Institute of Technology last month began conducting 
OCTOBER, 1977 AF I PS' WASI-1INGTON REPORT 
a survey to detehaine projected user needs for very large scientific 
831 
computer systems (VLSCS) which might become available in the 1985-1990 
time period. 
Rewlts of the survey, which may assist in developing 
design requirements for future VLSCSs, are expected to be published at a 
future date. 
AFIPS IN WASHINGTON 
APIPS PANEL SUBMITS RECOMMENDATIONS FOR FIRST YEAR OTA PROGRAM IN TELE- 
~WNICATIONS, COFlPUTERS AND INFOMlATJON POLICIES 
As a member of an Office of Technology.Assessmertt (OTA) iiorking Group 
(WushCngton Report, 6/77, p. 41, AFIPS last month provided comments on a 
first year OTA program in telecommunications, 
computers and information 
policy. The Working Group was first established to describe the issues, 
identify policy options, and define research strategy to be considered 
in such a program. 
In submitting the Federation's comments,-prepared by n panel representing 
the AFIPS societies (also including individwls who have served on previous 
MIPS panels), Washington Off ice Director Phi lip S. Nyborg wrote OTA 
Consultant br. Leland L. Johnson: 
"As is evident in our proj cct recommendations, 
there are numerous issues in tho telecommunications, computers and 
information policies area in which OTA could well serve its intended 
function of apprising the Congress of major technological change. 
For 
exaqple, in its next session Congress will likely consider legislation 
related to national telecommunications policy, electronic banking, 
electronic mail, privacy, computer and teleconununications security, 
computer crime, standards, and copyright protcction for computer programs. 
Clearly, these policy issues have major technological components, and 
the Congress will have substantial need for a credible, accurate and 
independent source of technical inf~rmation.~~ 
The AFIPS panel listed projects which it recommended for primary consideration, 
given anticipated budgetary constraints, and projects which should be 
considered, if additional funding becomes available. 
The pro j ect s recommended for primary considerat ion, given ant icipafed 
budgetary constraints were: (1) Assessment of the Impact and Operation 
of Federal Standards Activities; (2) Assessment of Technological and 
Economic Impact of Federal Legal Protection for Software and Data Bases; 
(3) Assessment of the Existence of Technological Problems Regarding 
Privacy and Security; (43 Assessment of Electronic Mail : Regulatory 
Aspects and Private Sector Rale; (5) Assessment of Electlronic Fund 
Transfer Systems (EFTS) : 
Privacy, Security and Regulatory Aspects ; (6) 
Alternative Approach to Projects 3, 4 and 5 ($. e. , a tise study approach 
considering privacy and security, the relationship of regulat~ry jurisdictit-ns, 
and private sector involvement as these subjects concern electronic mail 
ad EFTS);and (7) Assessment of Opportunities and Problems Resulting 
from New Applications and Techniques Arising Out of the Convergence of 
Computer and Communications Technologies. 
Projects recommended for 
OCTOBER, 1977 
AFIPS WASHINGTON REPORT 
82 
consideration if additional funding becomes available include: 
(1) 
Assessment of the Adequacy of Existing Computer Systems Audit and Control 
Techniques; (2) Assessment of Educational Technology: and (3) Assessment 
of Alternative Regulatory Approaches Regarding Offerings of Mixed 
Communications and Data Processing Services. 
Participants on the AFIPS panel were: 
for AIAA, Mr). H. Lewis Parker, 
COMSAT Laboratories; for ACM, Prof. Peter Lykos, Illinois Institute of 
Technology; for AEDS, Dr. Judy Edwards, Northwest Regional Educational 
Laboratories; for DPMA, Mr. Bruce Spiro, Defense Communications Agency; 
for ZEEE-Computer Society, Mr. Lynn Hopewell, Computer Sciences Corp.; 
for IIA, Mr. William E. Perry; for SIAM, Dr. Hans Oser, National Bureau 
of Standards; and from previous AFIPS panels, Prof. Vinton Cerf, Defense 
Advanced Research Projects Agency; Mr. Alex Curran, Bell-Northern Research, 
Inc.; and Mr. Frederic G. Withington, Arthur D. Little, Inc. Alternates 
included: for AIAA, Mr. Kenneth Hales, Boeing Aerospace Co.; and for 
AEDS, Mr. David R. Kniefel, New Jersey Educational Computer Network. 
AFIPS REVIEWERS COMMENT ON APPENDIX TO PRIVACY COMMISSION'S FINAL REPORT 
The Privacy Protection Study Commission last month released five appendices 
to its final report, Personal Privacy in an Information Society, sent to 
the President and Congress in July (Washington Report, 8/77, p. 1). At 
the request of the Privacy Conmission, AFIPS volunteers reviewed and filed 
comments to the Commission's appendix entitled Technology and Mvacy (#). 
AFIPS reviewers included: Mr. Paul Baran, Cabledata Associates, Inc.; 
Mr. Richard L. Bisbey and Mr. Dennis Hollingworth, Information Sciences 
Institute, University of Sourthern California; and Mr. Richard G. Mills, 
Citibank, N.A. 
NEWS BRIEFS 
Security procedures and controls for the Social Security Administration's 
(SSA) Data Acquisition and Response System, said to access personal 
information on millions of Americans, are deemed inadequate to 
prevent fraud and abuse, according to a recent report prepared by 
the audit agency of the Department of Health, Education and Welfare. 
The National Science Foundat ion' s (NSF) Research Applied to National 
Needs (RANN) program has been discontinued; according to an article 
in the September 5, 1977, issue of Chemical & mgineering News, - NSF 
Director Richard C. Atkinson abolished the program because he is 
said to favor distribution of RANN projects throughout the NSF. 
Total research and development spending in the United States is estimated 
to reach $40.8 billion in 1977, nine per cent above the 1976 level 
of $37.3.billion, according to a new study entitled NationuZ Patterns 
of R&D Resources: 1953-77, published by the National Science 
~oundat ion. 
- 
President Carter last month nominated Charles D. Ferris, general counsel 
to House Speaker Thomas P. O'Neill [D-Mass .) , to succeed Richard E. 
Wiley as chairman of the Federal Communications Commission (FCC); 
Mr. Wiley resigned early last month. 
OCTOBER, 1977 5 AF IPS WASHINGTON REPORT 
Philip S. Nyborg, Director 
Washington Office 
Pender M. McCarter, Editor 
d% Washington Report 83 
*t********'*************************i* 
nencan Federatron of Informatron Process~n'g Socrsties, lnc , Su~te 420,2100 L Street, N W, Washington, D C* 20037 
202-296-0590 
Vol. 111, No. 11 
November, 1977 
[~ote: 
Due to a printing error, the name of Pender M. McCarter, Editor, 
AFIPS Washington Report, was inadvertently omitted from the masthead of 
the October, 1977, Waehingtm ~ep~rt] 
WASH1 NGTON DEVELOPMENTS 
NCEFT RECOMMENDS LIMITED EFT REGULATION, ENCOURAGES EFT COMPETITION; 
FINAL REPORT DELIVERED TO PRESIDENT, CONGRESS AFTER TWO YEAR STUDY 
The National Commission on Electronic Fund Transfers (NCEFT) late last 
month released its final report to the President and Congress on electronic 
funds transfer systems (EFTS) . The NCEFT endorsed recommendations 
contained in last February's interim report (see Washington Repmt, 
3/77, p. 4) favoring limited EFTS regulation and encouraging wide EFTS 
competition. The final report s findings and recommendations, obtained 
last month by AFIPS Washington Report prior to their formal release, are 
divided into five "general areasv: (1) Consumer Interests; (2) Developmental 
Issues in EFT; (3) Technology; (4) Role of the Federal government; and 
(5) International Developments in EFT. 
NCEFT Recommendations r Governmental Issues. In regard to the role of 
government with Em, the Commission recommended that Federal and state 
~omnunications regulation should be limited to "the underlying communications 
transmission and distribution facilities used with EFT systems . . . , 1t 
and that regulated carriers should be permitted to provide EFT services 
on an untariffed (i. e. , unregulated) basis. Thus, under the Federal 
Connnunicat ion Commission1 s (FCC) First Computer Inquiry, distinguishing 
between data communications (a tariffed, regulated service) and data 
processing (an untariffed, unregulated service), regulated carriers 
could provide EFT as an untariffed, unregulated data processing service, 
through separate subsidiaries, 
However, WIT is forbidden in its 1956 Casent Decree with the Department 
of Justice from offering any data processing service (which could now 
include EFT) even through a separate subsidiary. The NCEFT does not 
comment on the advisability of this restriction, but notes that ATGT 
Itmay possess dominant market power which could be exercised in the 
unregulated EFT markets in a manner which would force other firms from . , . 
and preclude the entry of new firms into those markets." 
Apparently disregarding an earlier statement contained in its interim 
report that it may become appropriate to have a Governmental operational 
role in point-of-sale (POS) switching and clearing facilities to insure 
an effective national payments system, the Commission (in its final 
report) concluded that the Federal government should "not be involved 
84 
operationally, at present or in the forseeable futurev in POS switches. 
However, the NCEFT did recpmend that the Federal Reserve continue to 
provide "ACH-like services1! (i.e. , automated check clearing house services), 
also encouraging private sector development in the same area. 
Developmental Issues. 
In regard to developmental issues affecting EFT, 
the panel support nationwide deployment of EFT terminals with debit services 
(0-8. B POS devices) . 
However, it also encourages "gradual expansinnu of 
deposit -taking through terminals, an important economic issue with many 
financial institutions. 
POS/EFT systems can make money, the panel added. 
Technological Issues. 
In reference to techno logical issues concerning EFT, 
the Commission~is recommending that the FCC's registration program for 
interconnection of terminal devices to the public telephone network be 
extended to include EFT terminals. 
In addition, it suggests that communica- 
tions protocols which are inconsistent with American National Standards 
Institute (ANSI) standards should be published as soon as they are adopted 
for use by EFT equipment manufacturers. 
According to the NCEFT, ANSI should' 
"expedite the development of Standards for numbering systems, message formats 
. . , [as well as] standardize invoice and billing systems.11 
In the area of security, the Commission recommends joint state and Federal 
action to develop uniform security regulation and security supervision. 
The NCEFT, perhaps surprisingly, noted that "few breaches" were found in EFI' 
security. It added that "a balance will have to be achieved between the 
cost of security measures and the value of the losses they are designed to 
protect against. 
Consumer Issues. In the general area of consumer interests, the Commission 
recornended that the Government should have the right to access EFT financial 
information when "legitimate needs of law enforcement" are served. However, 
the NCEFT also said that a consumer's permission should be obtained before 
information concerning his EFT records- is released to a third party. Consumers 
should also have the right to correct inaccuracies in EFT records, the 
Commission held. In general, the panel found present legal safeguards for 
privacy of financial information as applied to EFT "inadequate ." 
In a finding that may disappoint some consumer groups, the NCEFT said it 
could uncover no evidence at present that would suggest a need to provide the 
equivalent of a paper-based stop order in EFT transactions. According to 
the Commission, such a stop order inhibits the guaranteed acceptance of 
payment achieved through EFTS at the point-of-sale. 
The NCEFT would require a monthly written statement for consumers whenever 
an EFT transaction occumed. However, it would place the burden of proof 
on consumers to report unauthorized uses of EFT services. In addition, the 
Commission does not recommend the $50.00 limit on a consumerts liability 
now provided with bank credit cards. Instead, under the panel's recommendations, 
a consumer could be liable for any loss when negligenqe is proven on his part, 
sag., carrying his personal identification number [PIN) with a debit card. 
NCEFT Background. The Commission was established three years ago by Congress 
to recommend action and legislation in connection with the development of 
public or private EFT systems. In 1975, President Ford appointed- 14 members. 
NOVEMBER, 1977 2 AFIPS WASHINGTON REPORT 
NSF TASK FORCE RECOEMENDS NEW RESEARCH PROGRAM 1N INFORMATION SCIENCE, 
 LIT^^ OR WF QIVISIcH OF SCIENCE INFORMATION 
In Sapta'kr, the National Science Foundation (NSF) Task Force on Science 
Information Activities recomnended to NSF Director Richard C. Atkinson : 
(1) that a new research pro- in information science should be created; 
d t2) the NSF's division of science infornetiun should be dissolved. 
Infomation science is defined as the theoretical study of infarmation as 
a -on; science information is said to include a11 elemmts in the 
pmeratim, storage, retrieval and dissemination ~f science material. 
The 
Tulr Force also recamended doubling of the current budget for information 
science .ad science information frm $5 million to approximately $11 million. 
SEE= STANDARD MEA,!UMMENT OF DATA CQMMUNICATICNS 
Thc Fedem1 Ctmunmications Commission (FCC) should develop standard measure- 
rat of the quality and reliability of data colmrmnications service provided 
by specialized cmon carriers, the Department of Commerce's Office of 
Telscaunicaticms (OT) said in an August filing to the FCC. 
According to 
6, custmrs presently experience difficulty in determining which data 
services are nost useful because tariffs do not always provide coaplete 
descriptions of service quality. OT endorses standard measurement of data 
carrmications services in lieu of the implementation of mandatory performance 
and design specifications which it feels inhibit innovation and competition. 
AEXANDER NAMED HRIS DIRECTOR, REEDER BECOMES DEPUTY DIRECTOR 
Boyd L. Alexander, acting director of the House of Representatives 
Information Systems (HRIS), has now been appointed HRIS director. Mr. 
Alexander is former director of Computer Services, Information System 
Division, Office of Management and Budget (OMB). He replaced Dr. Frank B. 
Ryan, who left' HRIS to become director of Athletics and lecturer in 
mathematics at Yale University Franklin S 
Reeder, also a member of the 
(MI Information Systems Division staff, has been named HRIS deputy director. 
FCC CHAIRMAN-DESIGNATE PROFILE: CHARLES D. FERRIS 
Charles D. Ferris, nominated in September by President 
Carter to WGGPM 
Richard E. Wiley as chairman of the Federal Communications Commissidn (FCC), 
is general counsel to House Speaker Thomas P. O'Neill (D. Mass .) . 
Prior to 
working with the speaker, Mr. Ferris was chief counselor to the Senate 
Majority Leader, general counsel to the $enate Policy Committee, and chief 
counsel for the Senate Majority. A physics graduate with a law degree 
from Boston College, the FCC chairman-designate also served as a trial attorney 
in the Civil Division of the Department of Justice. 
In addition, he holds 
a degree in Advancedknagement from the Graduate School of Business, Harvard 
University. 
Mr. Ferris has not worked in data processing, an aide told 
MIPS Waehington Report. 
[~d.. At press time, the nomination has been approved; 
and the new FCC chairman sworn in for a term ending June 30, 1984. ] 
NOVEMBER, 1977 
AFIPS WASHINGTON REPORT 
AFIPS IN WASHINGTON 
AFIPS RELEASES PRINTED VERS,ION OF ' INFORMATION PROCESSING IN THE U. S . , ' 
FEDERAL GOVERNMENT ST1 LL LARGEST SINGLE USER OF COMPUTERS IN U. S . : INSURANCE. 
AFIPS last month released to the public the printed version of Infmth 
Procescling in the United States A Quat3tattve Smary, an update of a 
similar 1973 report. A presentation copy of the 
study was delivered in 
July to the White House Office' of Science and Technology Policy (Waehingtmf' 
Report, 9/77, p. 6). Incorporating some 34 figures and tables, the SS-page 
report includes previously unpublished and unassembled data on U.S. suppliers 
of computer equipment and services, computer users 
(by government and industry 
sectors), personnel and education in tbe'information processing field, as well as 
significant trends. 
The study notes that the Federal governpent is still the largest single 
user of computers in the United States, accounting for approximately six 
per centof the total usage in the U.S. According to the report, the 
Department of Defense accounts, for almost half of all Federal computer usage. 
However, it added that Government usage is not increasing a$ fast as in 
the U.S. at large. As of last year, the Government was said to employ some 
9,600 computers. 
In 1976, the study noted, U.S. computer users (mainly institutions in 
business, all government and education) spent $38.4 billion including 
expendi tures on computer goods and services, related salaries and overhead. 
While the insurance and banking industries have the highest degree of 
computer usage in terms of the proportion of firms using computer equipment 
or services, the manufacturing sector is clearly the largest user in the 
U.S. in terms uf total expenditures on computer equipment and services, 
the report said. 
In 1974, according to the study, the total U.S. computer labor force 
(including traditional computer-related otcupations such as programer, 
systems analyst, maintenance technician and keypunch operator) numbered 
853,000. The manufacturing sector is iisted as the largest employer of 
the computer labor force in a given field, the Federal govement is the 
largest single employer of the computer labor force. 
The report said world revenues of U.S. computer manufacturing and services 
firms are projected to double from $31.9 billion in 1976 to $64 billion 
in 1981, and world shipments of U.S. computer equipment are also forecast 
to double from $15.9 billion in 1976 to $30.5 billion in 1981. 
Last year, qccording to the study, U.S. computer equipment manufacturers 
accounted for 87 per cent of the installed base of the world's computers, 
by value. However, the U.S. share of the world market is reported to be 
decreasing due to foreign competition (especially from Japan). By 1981, 
U.S. computer equipment manufacturers are expected to account for 81 per 
cent of the installed base of the world's computers by value, down six per 
cent from 1976. 
NOVEMBER, 1977 AFIPS WASHINGTON REPORT 
U.S. exports of computer equipment are said to exceed imports by a factor 
of 15 to one and will result in a trade surplus of $2.8 billion in 1977. 
At the present time, the study said, U.S. firms derive approximately 50 
per cent of their revenues from overseas sales. 
The AFIPS report is based largely on data provided by three major market 
research firms (;.e., 
Arthur D, Little, Inc.; Auerbach Associates, Inc.; 
and International Data COT.) as well as the Federal government. 
The study 
was edited by Philip S. Nyborg, Pender M. McCarter and William Erickson. 
Research for Chapters I, II,, and I11 was performed by Mr. McCarter with 
the assistance of Mr. Erickson. A '!Note on Future Trendsl'was drafted by 
T. B. Steel; Jr., member of the SILT Committee. SHARE, I~ic. The report was 
fom8lly briefed and presented at last month's meeting of the Interagency 
Committee for Automatic Data Processing, composed of some 50 representatives 
from Federal departments and agencies having significant computer usage. 
HOUSE LEGISLATION WOULD LIMIT POST-SERVICE ACTIVITIES OF FEDERAL EMPLOYEES 
INTERACTING WITH GOVERNMENT ON SCIENTIFIC, TECHNOLOGICAL MATTERS 
The Subcommittee on Administrative Law and Governmental Relations of the 
House Judiciary Committee last month held hearings on, 
favorably reported, and 
marked up H.R. I, legislation that would restrict the post-service activities 
of Federal employees, with exceptions in some areas for Itthe making of 
communications solely for the purpose of furnishing scientific or technological 
information under procedures acceptable to the [~ederal] agency concerned ." 
At press time, H.R. I is being marked up by the full Judiciary Committee. 
However, as the legislation is now written, it would (1) impose a lifetime 
ban on the post-service activities of Federal employees prohibiting them 
from acting- in matters in which they participated llpersonally and substantially" 
while with the Government; (2) impose a two-year banonthe post-sefvice 
activities of Federal employees prohibiting them from acting in 
the realm of their "official responsibility" while with the Government; and 
(3) impose a one-year ban on the post-service activities of higher-level 
Federal employees prohibiting them from acting in matters affecting the 
agency with which they were employed while with the Government. 
H.R. 1 would not prohibit former Federal employees "with outstanding 
scientific or technological qualifications" from acting in scientific or 
technological matters'with a Government 
agency, provided that "the national 
interest would be served1' by such actionsand it has approval of the agency 
head. In addition, the legislation would exempt Federal employees who are 
classified in higher Federal pay grades from the ~ne-year ban on post-service 
activities (involving the department or agency with which they were formerly 
employed) provided that the agency determines no "undue infludencet? will 
be exerted by the former employee on "substantive agency action by yirtue 
of his or her former association with the agency." 
The AFIPS Washington Office has been consulting with both the Subcommittee 
on Adiminstrative Law and Governmental Relations and affected individuals 
in an attempt to formulate what are deemed approprinte cxccptions to the 
limits on post-service activities of Federal employees. 
The AFIPS proposals 
NOVEMBER, 1977 5 AFIPS WASHINGTON REPORT 
would broaden the exemptions far pos t-service activities of farmer Federal 
employe& adding, in addition to the exemption for the one-year ban on 
higher-level employees, an exemption for the two-year and lifetime bans on 
former Federal employees in circumstances where no Itundue influence1' will 
be exerted on "substantive agency action by virtue of the former employee's 
association with the agency ,I1 
NEWS BRIEFS 
A limited number of complimenary copies of Canputer Software kmgment 
A Primer for Project Nanagment and Quality Control is available from 
the National Bureau of Startaards (NBS): Computer Science Section, 
Technology A367, NBS, washington, D.C. 20234; also known as Special 
Publication 500-11, the document describes preferred methods of software 
development and includes recommendations for specification and testing 
of software. 
Computer Science and TechnoZogy Pub Zicatione , containing nirmerous National 
Bureauof Standards (NBS) listings as of June, 1977, is available from 
the Institute for Computer Sciences and Technology, NBS, Washington, D.C. 
20034. 
The 1977 Winter Simuktion Conference is scheduled at the National Bureau 
of Standards (NBS) in Gaithersburg, Mary land, December 5-7; the program 
will consider applications of computer simulation in such areas as - 
energy, criminal- just ice, behavioral science, agriculture, environment 
and health care. 
A call for papers has been issued for Trends and Applikatwns 1078, a 
symposium on distributed processing to be held at the National Bureau 
of Standards in Gaithersburg, Maryland, May 18, 1978; spohsored by 
the IEEE Computer Society, papers are sought describing practical 
experiences with distributed processing; further information is 
available through the Computer Society office in Silver Spring, Maryland, 
telephone (301) 439-7007, 
Vico E. ~enri~ues has been named president of the Computer and Business 
Equipment Clanufacturers Association (CBEMA) , re-placing Peter F. McClaskey, 
who has been appointed president of the Electronic Industry Association; 
. Henriques previously served as a CBEMA vice president. 
- 
Product ion assistance for the Washington Report is provided by Linda Martin. 
AFIPS societies have permission to use material in the newsletter for their 
own pub1 ications ; however, when an article appears with an aste-risk, clearance 
must be obtained from the AFIPS Washington Office. 
. 
- 
NOVEMBER, 1977 
AFI PS WASHINGTON REPORT 
SPECIAL REPORT 
SURVEY 01: COMPVIER TRADE ASSOCIATIbNS : PART I (ADAPSO) .. 
The AFIPS Washington Office has conducted a survey of computer trade 
associations to smmakize their positions on data processing issues before 
the Federal government. The survey, prepared by Research Associate Pender 
M. McCarter, is an attempt to review the issues which are perceived as 
important by indus try-orient ed groups in the infonnat ion processing field 
during the last two years. In this first of four installerments, 
the 
Association of Data Processing Service Organizations, Inc. (ADAPSO) is 
considered with respect to its membership, charter, organization and 
positions vis-a vis the Federal government. 
Membership. Established in 1961, ADAPSO is a trade association representing 
the computer services industry, i. e. , companies engaged in providing 
timesharing, facilities management, software systems and products, and 
data center services. Its 967 member units include large national computer 
service companies as well as smaller local, regional and sometimes specialty 
finns, located in the the U.S., with affiliates in Europe, 
Latin America 
and the Far East. 
Charter. ADAPSO was original ly chartered to provide information on 
management for its member companies. Thus, it sponsors national and 
regional conferences and workshops on accounting, sales management, 
advertising, law, data communications, privacy and security and other 
related topics. As a registered lobbyist, ADAPSO has become involved 
directly in influencing legislation that concerns its member companies 
(discussed more fully below) . 
Organization. With national headquarters in Montvale, New Jersey, the 
association consists of a professional staff directed by Mr. Jerome L. 
Dreyer, executive vice president, who is responsible for overall operat ions. 
In addition to an elected board of directors and elected officers, ADAPSO 
is supported by special counsel in the areas of law, taxation and public 
relations. It consists of three "operating sections" including: Software 
Industry Assn.; Data Center Section; and the Rpmote Processing Services Section 
(concerned with the technical , legislative, legal and operating factors 
of companies engaged in data communications and interactive computing). 
Positions. ADAPSOts p~s~tions on data processing issues before the 
Federal government during the last two years are summarized in various 
posit ion ~ papers provided- to AFIPS by ~r-. Dreyer : 
Resolving Antitwet Disputes," ADAPSO Poeition &per #lo, 
October 24, 1974. Congress would consider 'la responsible and logical 
approach to the resolution of antitrust claims against IBM incorporating 
mediation, arbitration and litigation, and avoiding unnecessary burdens, 
inconsistent results, duplication and waste to the maximum reasonable extent. tf 
NOVEMBER, 1977 7 AFIPS WASHINGTON REPORT 
- 
'Tho Right to Rh~~cy, PI ARAPSQ Position Paper #ll, Febnccny 12, 
1075. Congress, state legislatures, and "txecutive administrative agenciesu 
should require the preparation of a privacy impact statement for every mass 
data bank weighing the benefits of mass data banks against the detriments. 
- 
nC3uenaentuZ Cicem ing af Prof 8seimZ mP Peremel, tt Position 
Paper #12, Aprit 18, 1975. 'IComputer profes~ionals~~ should not be licensed 
through Federal, state or local certification. Licensing is not in "the 
public interest" because it ffinhibitsu free enterprise. 
- 
"State and Local Privacy Legislation, tt PoeitCim kp8r #Is, ApdZ 16, 
91875. State and local legislatures, councils, and "other governing bodies" 
should Ifwithhold action in the privacy area until the Federal Privacy Study 
Commission has completed its study .It 
.. 
"lsgiduti~e and Administmtivs EFTS Action, " Poettion Paper #l4, 
ApAZ 15, 1875. Federal, state and local officials, administrative agencies, 
legislatures, councils, "other government bodies ,I1 and the private sector 
should withhold action implementing major proposals for EFTS until the 
National Commission on Electronic Fund transfers (NCEFT) has completed its 
studies. 
- 
tWmbe~shipof NCEFT,rrPositionPape~ #13, November22, 1875. 
Congress should predicate extension of repotting times for the NCEFT on 
appointment by the President of a commissioner from "private life with special 
experience and qualifications in the computer industry ." 
- Tostat Repkztias," Position Paper #la, April 6, 1976. Congress 
should amend the United States Code to exclude data processing materials 
from consideration as letters which i subject^'^ them to U.S. Postal Service 
rates [bhether transmitted by independent carrier or th'e U.S. maill) and 
to the lfwell-known irregularities of the U.S. mail ." 
- 
'IConsume~ Commmicatiom Reform Act of 10 76, Sltly 21, 1976. 
Congress should oppose the Commer ~omwtunbatione Refon Act because it will 
eliminate competition; bring computers, station and terminal equipment under 
regulatory control by the* states; and grant antitrust immunity for future 
acquisitions by the telephone companies. 
Lth bh forcement Aeeietance Ach$n&t tmtion (LEAA) rnocurement 
Pzucticee, July 27, 1976. Computer service companies should be allowed 
to act as both a designer of a computer system as well as an "implement~r.~ 
- 
Fhcia: Accounting Stun&& Board Statement #2, October 15, 1978. 
The Financial Accounting Standards Board (FASB) should reevaluate FASB 
Statement #2 defining the development/manufacture of software sys tents as a 
'Icurrent period expense. " 
I Doto Privacy and Sedty, ApAZ 17, 1977. Data on a private 
citizen should be ffadequatelyIf protected from viewing, disclosure, or uses 
which ore Itnot socially desirable .I1 
[Ed.: Future reports in this series will deal with CBEMA, CCIA and IIA.] 
NOVEMBER, 1977 
AF IPS WASHINmON REPORT 
Philip 6. Nyborg, Dlrector 
Washington Off ice 
Pender M. McCarter, Editor 
d% Washington Report 91 
m 
***************************h********* 
merlca~Federat~on of Informallon Process~ng Socletles lnc , Sulte 420, 2100 L Street, N W. Wash~ngton, D C 20037 
202-296-0590 
Vol, 111, No. 12 
im~ DEVELOPMENTS 
December, 1977 
REORGANIZATION PLAN NO. 1 OF 1977' APPROVED BY CONGRESS; HENRY GELLER 
RECOMMENDED FOR NEW ASSISTANT SECRETARY BOSITION 
Reorganization Plan No. 1 of 
777, reorganizing the Executive Office of 
the President (EOP) , including bodies dealing with te~lecommunicat ions, 
computers and information policies, became effective October loth, with 
neither the Senate nor the Hor17e of Representatives adopting a resolution. 
of disapproval. 
~eorganization Plan No. 1, submitted to Congress by 
President Carter July 15th, is the first of a series of plans proposed 
by the President to reorganize the Executive Branch of the Government. 
The House and Senate held hearings on Plan No. 1 in August (~ashington 
Report, 9/77, p. 11, and Mr. Carter filed amendments to his original plan 
in September (Washington Report, 10/77, p. 1) . 
As approved by the Congress, the amended proposals, with reference to 
computer-oriented groups, specify: (1) abolition of the Office of Tele- 
communications Policy (OTP) ; (2) transfer of various OTP functions to 
the President and the Office of Maqagement and Budget (CMB) , including 
preparation of Presidential telecommunications palicy options, and 
transfer of other OTP functions, not specifically designated, to the 
Department of Commerce; (3) continuation of the role of the Office of 
Science and Technology Policy (OSTP), assisting the President and his 
advisers in making decisions about policy and budget issues in the area 
of science, engineering and technology; (4) transfer of responsibility' 
for preparing certain reports, including a five-year out look report on 
science and technology, to the National Science Foundat ion, the Inter- 
governmental Sci cnce , Engineering and Advi sory Panel, and the Federal 
Coordinating Counci 1 for Sci ence , Engineering and Technology; and (5) 
transfer of the functions of the latter two panels to the President. 
The Plan is expected to be fully implemented by April 1, 1978. 
There is some doubt regarding the functions and title of wl1a.t the Plan 
originally referred to as tho new Assistant Secretary of Commerce for 
Information and Communications. 
At press t ime , @IPS Washington Report 
has learned that an Executive Order is being circulated for comment. by 
OMB concerning the responsibilities of the new Assistant Secretary. 
1h 
October, the Commerce Department said that Secretary Juanita M. Kreps 
rerommended to President Carter appointment of Henry Gellet, a fellow at 
the Aspen Institute, to become what Commerce called the new "Assistant 
Secretary of Commerce for Te~ecomuni~ations.~~ Pending an announcement 
from the President and confirmation by the Senate, Mr. Geller occupies 
an office at OTP. 
CONGRESS, NATIONAL SECURITY COUNCI L STUDY FOREIGN RESTRICT1 WS ON TRANSBORDER 
DATA FLOW 
Both the Congress and tbe National Security Council are studying restrictions 
placed by foreign nation's on the exchange of information among countries, 
fa., transborder data flow. 
In conjunction with its hearings on revision 
of the Comnunications ~ct of 1934, the House Subcommittee on Communications 
considered U.S. policy on transborder data flow in early October. 
On 
October ZQth, a committee of the National Security Council, Executive 
Office of the President, met for the firpt time to consider policy 
implications of the same subject. 
Summarizing the implications of transborder data flow, Mr. G.R. Pipe 
wrote recently in the IFIPS Washington Report (3/77, p. 7). 'The emergence 
of international data transmission networks, coupled with the realization 
that national legislation is effective only for domestic processing, has 
resulted in demands for the creation of international standards for the 
treatment of personal information. 
While the objectives of these laws 
have been widely applauded, the consequences of imposing restrictions on 
the movement of data may run counter to traditional free flow of information1 
principles. Additionally, some U.S. computer manufacturers, 
services, and multinational users are troubled abdut possible xi:::, 
or shrinkage of markets, resulting from the rules adopted by various 
c~untries.~ 
Thirteen European countries are reportedly considering adopting laws 
which would restrict information flow to the country of origin. Two 
countries, Sweden and Germany, have already adopted privacy legislati611 
affecting the exchange of information. Eight other countries, including 
Austria, Belgium, France, Canada, Denmark, Luxembourg, Norway, Finland, 
and possibly the Netherlands, are expected to support similar legislation 
in the next year. 
At a recent meeting of the Organization for Economic Cooperation and 
Development, U.S. representatives opposed a precipitous international 
agreement restricting data flow. 
Representatives from Sweden, France, 
Austria and Germany supported an international accord standardizing 
conflicting national privacy laws. A French participant in the meeting 
expressed an inteiest in European development of its own data bases, 
independent of the U.S. 
COMPUTER AUDITING IN THE EXECUTIVE DEPARTMENTS 'INADEQUATE1: GAO 
Internal auditing of automatic data processing and controls has been 
I1inadequate" in some Federal agencies, according to a recent report of 
the General Accounting Office (GAO) . Entit led Computer Auditing in the 
Sxecutive Departments: Not Engough is Being Lbne, the study suggests 
DECEMBER, 1977 AFIPS WASHINGTON REPORT 
that audits be instigated in four areas : 
(1) systems design and development; 
(2) equipment acquisition; (3) specific applications; and (4) installation 
management. 
The GAO said, More work is needed by both Federal managers 
and internal auditors to make sure that audits adequately cover the four 
areas, and that computer-based information systems are better control led. " 
The complete report, Wer FGMSD-77-82 (dated September 28th), is 
available free-of-charge to non-profit organizations through the CAO directly 
at (202) 275-6241, or through the AFIPS Washington Office . 
The GAO has also recently released: 
(1) Millions in Savings Possible in 
Converting Programs, from One Computer to Another (FCMSD-77-34, September 15th) ; 
(2) Planning for Source Data Automation in Government Industrial Activities-- 
Coordination Needed (LCD-77-441, September 23rd); and [3) Responsibilities, 
Actions and Cmrdination of Federal Agencies in International Tcl ecommunica tions 
Services (CED-77-132, September 29th). 
NATIONAL SC I ENCE FOUNDAT1 ON RE LEASES ' GUIDE TO PROGRAMS ' 
The National Science Foundation (NSF) last month released its Guide to 
Program (#--enclose $2.20) reflecting NSF research projects for FY 1978. 
Within the Computer Science Section, programs in theoretical computer 
scienee, software, systems science, software engineering, intelligent 
systems, computer systems design, and special projects are described. 
The theoretcal computer science program encompasses the theory of computation, 
numerical analysis and computational mathematics , theory of formal 
languages, and analysis of algorithms. The software systems science 
program covers vYundamentalw quest ions of communicating with and control ling 
computer systems. 
The software engineering program includes the methods, tools and techniques 
for specifying, designing and implementing l'qualityfl software. 
The 
intelligent systems program covers computer-based systems which have 
such characteristics as pattern recognition, pattern generation and 
knowledge representation. 
The computer systems design program includes the principles of computer 
systems design such as : computer system architecture, performance, 
graphics, man-machine interaction and logic design. 
The special proj ects 
program encompasses research pioj ects, studies, workshops, and other 
activities which "might encourage the development of new fields of 
computer science research." 
Proposals will be assigned to the appropriate program within the Computer 
Science Section. 
DECEMBER, 1977 
AFT PS WASHINGTON REPORT 
APIPS BRIEFS I ACI ADP : 
' INFORMATION PROCESSING IN THE JNITED STATES' 
AFIPS made its public presentation of Information Processing in the 
United States: A Quantitative Summary at a briefing given to the Interagency 
Committee on Automatic Data Processing (IAC/ADP) during the Committee Is 
regular monthly meeting in Washington, D. C., October 11th. 
IAC/ADP is 
composed of some 50 representatives from Federal departments and agencies 
having signfficant computer usage, and is chaired by Ms. Roxanne Williams, 
director, Plans and Policy Division, Office of Automated Systems, Department 
of Agriculture. 
Rep. Charles G. Rose (D-N.C.) , chairman of the House Policy Group on 
Information and Computers, served as keynoter for the briefing. The 
major contributors of data for the report [including representatives 
from Arthur D. Little, Inc. (ADL) ; Auerbach Associates, Inc. (AM) ; and 
the International Data Corp. (IDC) ] acted as panelists. 
Introducing Rep. Rose to the Interagency Committee, AFIPS President Dr. 
Theodore J. Williams said, 'We are very proud of, this new study, and 
hope very much that you will find it useful and valuable in your work." 
Mr. Rose, who previous ly addressed the AFIPS National Computer Conference 
in New York City in 1975, stated in his keynote speech to the IAC/ADP 
that the "establishment of new information systems and computer technology 
[has enchanced the] relative power [of Congress in relation to the 
Executive and Judicial ~ranches] . l1 The North Carolina congressman was 
accompanied by Mr. Neal Gregory, staff director, Ad Hoc Subcommittee on 
Computers; and Mr. Boyd L. Alexander, recently appointed director of the 
House of Representatives Information Systems (HRIS) (Washington Report, 
11/77, p. 3). 
In the panel presentation that followed (chaired by AFIPS Washington 
Office Director Philip S. Nyborg), Mr. Robert E. Wallace, vice president, 
Commercial Industrial Division, AAI, considered the report's chapter on 
United States suppliers of computer equipment and services. 
As co- 
e'ditor of the study, Mr. Nyborg summarized the section on government and 
industrial users of computers for James Peacock, director/Publications, 
IDC, who was unable to attend the briefing. Mr. Neal H. Rosenthal, 
assistant chief, Division of Occupational Outlook, Bureau of Labor 
Statistics, Department of Labor, considered the chapter Qn personnel. 
Mr. Frederic C. Withington, senior staff member, ADL; joined T.B. Steel, 
Jr., marketing supervisor, ATIT; in discussing future trends and implications. 
In his talk on suppliers, Mr. Wallace noted that, "while the measures 
that the report uses are reasonable ones on which to judge the economic 
aggregates in the industry, they do not in any way reflect total computer 
power being delivered or available to the economies of the wor1d.l' 
DECEMBER, 1977 AFIPS WASHINGTON REPORT , 
According to the AAI executive, "A computer delivered today, for the 
same price as one delivered five years ago, obviously has many times the 
c~mputing power of the 1971 counterpart. l' 
Mr. Nyborg, in his pre~e~ntation on governmental and industrial users of 
computer equ'ipment and services, emphasized the trend toward mini and micrc- 
computers as we1 1 as the emergence of 
computers. 
Discussing the personnel section, Mr. Rosenthal stated that, with the 
exception of keypunch operators, computer-related occupations are Hgrowing 
very rapidly, maybe three or four times as fast as the economy as a 
whole." The Labor Department official also announced that the Bureau of 
Labor Statistics is initiating the llOccupational Employment Statistical 
Surveyu for more precise gathering of industry stwistics. 
Mr. Steel, who wrote the "Note on Future Trends" incorporated in the 
study, stated that, "The key problem [in the information processing 
fiell] is the development ~f software and the improvement of the productivity 
of the people who develop it." 
Finally, Mr. Withington, commenting on implications of the report for 
the Government, said if the study's forecasts arB all correct, "there 
will be a continuing and even an accelerating spread of small computer 
systems, intelligent terminals, word processing systems and the like 
throughout agencies of the Federal government, and evidently in the 
Legislative Branch as well as throughout the whole "structure." According 
to the ADL executive, "this proliferation of the resource will truly 
bring with it new management problems : in the attempt to control the 
budget as a whole; in the attempt to maintain standards; and [in] the 
attempt to maintain . . . communicative ability, even within an agency, 
much less across agencies." 
A short question and answer session followed the panel presentation. 
Others attending the meeting, and introduced by the AFIPS President, 
were Mr. Pender M. McCarter, co-editor of the study and research associate, 
AFIPS Washington Office; as well as Mr. William Erickson, co-editor, a 
formcr,temporary AFIPS employee. Also in attendance were other AFIPS 
officials, including Executive Direcbor Dr. Robert W. Rector. 
The 55-page report is available 5or $6.00 from AFIPS Press, 219 Summit 
Avenue, Montvale, New Jersey 07645, (208 391-9810. There is a $2.00 
postage and handling charge for the first copy, and a $1.00 charge for 
each additional copy, if the oraer is not accompanied by payment. 
A limited 
number of studies are available in the AFIPS Washington Office for sale 
in the Washington, D.C. area only. 
OTA PLANNING STUDY IN TELECOMMUNICATIONS, COMPUTERS AND INFORMATION POLICIES 
NEARING A PROJECT PROPOSAL TO OTTA BOARD 
As the Urns,,. C6ngress Office of Techdblogy Assessment (OTA) planning 
sttidy on telecomunications, computers and information policies approaches 
the submission. of a program proposal to the OTA Board, AFIPS has continued 
DECEMBER, 1977 
AFIPS WASHINGTON REPORT 
to work closely with the Congressional group in an effort to assist in 
the formulation of a technical agenda for the prospective program. 
AFIPS has worked with the planning study since its inception, earlier 
contributing a statement of critical issues in this policy area (Washington 
Report, 6/77, p. 4) and a formal set of program recommendations (Washington 
Report, 10/77, p. 4). 
A final decision on the telecommunicationss 
computers,and information 
policies program has been somewhat delayed by the appointment of a new 
director for OTA. There have been, for the past several months, careful 
and extensive procedures to identify the appropriate individual for this 
position. Dr. Russell W. Peterson, former governor of Delaware and former 
chairman of the White House Council on Environmental Quality [CEQ), 
has been offered the directorship by the Congressional Board which 
governs OTA. [EI.. 
At press time, Dr. Peterson has accepted the offer, 
and will take office January 16th.l 
The importance of the prospective (TrA program can be well appreciated by 
considering the volume of data processing-related legislation before the 
Congress at any given time. Equally important is the significance of 
computer and communications technologies as viewed by the Congress, 
itself. In this regard, the views of Senators Magnuson and Hollings are 
articulated in the following letter which argues the need for the 'prospective 
UI'A program. This letter merits a careful and thoughtful reading, 
particularly in its discussion of "new technologiesw (i.e., digital 
technology has been the driving force .in generating many if not most of 
the critical policy issues), "needs and interests of  consumer^,^ "industry 
 structure^,^' and "the quest ion of competition. These matters can and 
will, to a significant extent, shape the future of the information 
processing field. 
-- Philip S. Nyborg 
January 25, 1977 
The Honorable Edward M. Kennedy 
Uni ted S ta t es Senate 
Washington, D.C. 20510 
Oear Ted: 
We would like to raise with you an area of inquiry for OTA which we have 
been developing for some time and which we plan to propose at our February 
Board meeting . 
:The technological rev01 ution in telecommunications is here. 
It began a 
little over two decades ago. Now we find ourselves on the verge of 
major socia2 and economic changes as the introduction of 'these new. 
telecormnunica tions techno1 ogies become econ'omicall y feasible . 
1-n the 
view of many experts, these technologies change the very assumptions on 
DECEMBER, 1977 6 NIPS WASHINGTON REPORT 
which telecolnmunicatf ons policy should be based. 
Those responsible for 
policy formafion must understand the alternative social consequences 
compel led by competing technol ogi cal choices f n telecommunf cations. 
Further , they must identify iinpediments to the introduction of desirable 
technologies. 
Without this prior thought and planning, the technology 
will be in control rather than the people, 
The Cpmnunications Act, passed first in 1934, remains the prevailing 
governmental policy responsible for the shape, structure and function of 
the regulated communications industries. 
We are beginning to hear 
criticisms because technol ogi cal events have steamed by, leaving the 
govermnt policy to operate in the wake. 
The House ~onununications 
Subconunittee has announced plans to begin a total review of the 193 
Act. Further, the Senate Subcod ttee on Canmunications, which has 
oversight responsibiltiy for federal teleconununications policy, expects 
to begin a review of each major policy area, and the underlying economic 
and social relationships. Our desire is to reevaluate the assumptions 
made in 1934 in light of the new technologies. This reevaluation will 
help us to identify the benefits and problem these new technologies may 
present our society, and to recommend the appropriate federal role. The 
subcd ttees 
extensive agendas are fraught with technology assessment 
questions. 
We believe that a properly conceived OTA telecomunications 
project is essential to the success of these endeavors. 
For example, in the common carrier area, the technologies for erpanded 
services such as data processing, funds transfer, two-way visual communication, 
alarm systems and the like, are basically known and feasible. The feal 
question is which conbination of technglogies will best benefit societg. 
An assessment of the technologies, such as sate1 li te, microwave, coaxial 
cable, and dqta processing, the services they can provide, the needs and 
interests of consumers and the possible trade-offs in cost, industry 
structures and services to users, will assist the subcommittees as they 
look into the question of competition and how to encourage the maximum 
use of best available technol ogy . 
New wire transmission technologies, such as optical fiber, are upon us 
and the introduction into telephone, cable, computer and broadcast 
activities, will have significant consequences. 
An assessment of these 
technologies, the roles they can play as well 
as the social and economic 
implications, would be of great assistance. 
In the area of over-the-air transmission, technologies now offer substantial 
increases in the information capaci ty of the el ectromagnetic spectrum. 
These technologies may potentially change the whole premise of spectrum 
management and revolutionize mobile as well gs fixed-point radio services. 
An OTA study of their economic and technical feasibility, impediments to 
their widespread use, and the consumer consequences of alternative 
system designs would be very helpful. 
To cite examples, teleconferencing 
and interactive video systems have direct applications to government 
service delivery as well as to private sector specialized groups, such 
as the handicapped. 
Second, coding data into signals may offer economicially 
viable over-the-air services to specialized audiences currently without 
DECEMBER, 1977 
qFrPS WASHINGTON REPORT 
broadcast service, such as deaf people rural areas, dispersed classr~ 
and special categordes of consumer groups. SlmiZarly, the overall 
quality of general audience entertainment signals or specialized mile 
comnuni cations, such as citizens band and mobf 1 e telephone, can be 
greatly augmented by the introduction of cbmputar technology to recei wrs 
and transmi t t ers , 
The examples 
that we have cited are illustrative of the activities Mat 
a teleconaunfcatl ons project could and should undertake. 
Our staff is 
preparing a more precise proposal for Me February meeting and we would 
appreciate any input you would lfke to make. Technolog9 In the telecmmnicationa 
area is changing faster than in any other segment of our society. 
It 
has substantial implications on everyone's qudli ty of life. 
It has 
rendwed obsolete many of the previous distinctions betmen ccxmunicatfona 
and data processing, between postal and teleccmnunlcations servfce?s, and 
between broad-band and narrow-band electronic cconmunicrations. 
We can 
think of no other new undertaking by dA that can be as exciting or as 
imhtant to the Congress. 
Sincerely yours, 
Warren G . Magnuson/s/ 
Warren G, Magrruson 
Ernest .F. Hollings/s/ 
Ernest Fa HolSlng8 
- 
NEWS BRIEFS 
The Supreme Court recently refused to consider the U.S. Patent Office's 
claim that the "Regulator" program (Washington Report, 1/77, p. 3) 
- 
is not patentable; lv~egulatbr* adjusts priorities on computer 
programs, 
President Carter has signed into law legislation to extend the tern of 
the National Commission on New Technological Uses of Copyrighted 
Works (CONTU) through July 31, 1978. 
The Federal Commpnicati,onS Commission's (FCC) telephone equipment 
re~istration'program,allowing consumers to connect FCC-registered 
teiephone equipment to the national telephone network without 
carrier-supplied protective couplers, was implemelnted in October, 
following the Supreme Court's refusal to review the FCC program. 
In a recent report of the Department of Commerce, entitled Voluntary 
Standards and Testing Laboratory Accreditation, Corrmerce supported 
Senate bi 1 1, S. 82sr, creating an independent Government-f inanced 
standards board and an Institute of Standards and Accreditation 
within the National Bureau of Standards. 
Production assistance for the Washington Report is provided by Linda 
hartin. AFIPS societies have permission to use material in the newsletter 
for their own publications; however, when an article appears with an 
asterisk, clearance must first be obtained from the AFIPS Washington 
Office. Documents indicated by the symbol "(#)" are available on request 
to the Washington Office. Requests should specify the date(s) of the 
Washington Report in which the docment(s) appeared. 
Where price is 
noted, make checks payable to "AFIPS.'1 
, 
DECEMBER, 1977 AFIPS WASHINGTON REPORT 

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