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Draft of 14 January 2025
In preparation for a presentation on 7 February
2025 to the Program on
Australia India Joint Impact Assessment of #Critical
Technologies for Peace and Stability
Primarily adapted extracts from prior
works at
rogerclarke.com
© Xamax Consultancy Pty Ltd, 2025
Available under an AEShareNet licence or a Creative
Commons
licence.
This document is at http://rogerclarke.com/EC/TIAN.html
The accompanying
slide-set is at
http://rogerclarke.com/EC/TIAN.pdf
Technology Assessment is process whereby the consequences of technologies are examined, in order to provide guidance to policy-makers. This document first provides historical background and a working definition. It then distinguishes TA from other forms of assessment, and offers a preliminary discussion of methods to support effective TA.
I was invited to provide a short, introductory presentation on technology impact assessment to a virtual roundtable of the Australia India Cyber and Critical Technologies Partnership. After scanning the Project Brief and Reddy & Naik's 'A Framework for Governing Emerging Technologies' (2025), my next step was to remind myself of the considerable amount of prior work I've done on many forms of assessment during the last few decades. I then complemented that with insights from a few more recent sources, and summarised what I see as the current position.
A Note on Terminology: The term Technology Assessment (TA) has been in use since the mid-1960s. The more descriptive term Technology (Technological) Impact Assessment (TIA) has been less common until recently(e.g. Wikipedia redirects TIA to TA), but is applied in the work of the Australia India Cyber and Critical Technologies Partnership. Currently, I see no material difference in meaning between the two terms.
Since the mid-twentieth century, as organisations and nations have been confronted by rapid technologically-supported and -driven development, they have experimented with various techniques to identify, understand and evaluate the opportunities and threats. The notion and techniques of Technology Assessment emerged with the US Office of Technology Assessment (OTA) 1972-1995, and European OTAs from the early-to-mid 1980s. An early treatment of the Office's methods is in OTA (1977). See also Porter et al. (1980). A number of European countries created similar agencies from the 1980s onwards. Generally, OTAs do not have the power to ensure that the outcomes of TAs are acted upon. They operate as services to their relevant government and/or parliament.
TA is concerned with the evaluation of potential impacts and implications of a particular technical capability (OTA 1977, Garcia 1991, CRS 2020). The approach inherently reflects the needs of all parties involved, or at least many of them, and it inherently reflects values across all of social, economic, politic and environmental dimensions.
The establishment of the US OTA followed a period during which Rachel Carson's 'Silent Spring' had alerted the public to environmental impacts (in that case, to the insecticidal impacts of DDT) and Ralph Nader's 'Unsafe at Any Speed' had sounded the alarm bells about the design of cars. The US OTA was an organ of that nation's parliament, and reported to a Committee of Congress. During the 1990s, US politics changed. Endeavours to balance apparent economic progress against its consequences gave way to economic dominance over social goals; policy came to be defined substantially in terms of party-politics; corporate stategies became afflicted with short-termism; and corporations' growth in size, in trans-nationalism and in power resulted in government and regulation being downgraded to governance and 'self-regulation'. Considerable progress had been made with TA in the area of consequences for the physical environment; but the change in priorities resulted in the debasement of Environmental Impact Assessment to mere Environmental Impact Statements (EIS). and the disestablishment of OTA during the Reagan Administration, in 1995. In contrast, many European countries have sustained their OTAs long-term.
(This section comprises adapted extracts from Clarke 2009, Clarke 2024 and Clarke & Michael 2024).
The following provides a suitable basis for discussion (Banta 2009):
"[TA is] a form of policy research that examines short- and long-term consequences (for example, societal, economic, ethical, legal) of the application of technology ... to provide policy makers with information on policy alternatives"
Several further definitions that offer some value are in Appendix 1. If 'consequences' and 'impacts' are treated as synonyms, TA and TIA are equivalent terms.
Adopting a broad conception of TA/TIA, the following aspects are commonly encompassed, generally in something like the sequence shown:
A TA/TIA may be performed in a number of different modes:
A somewhat fuller set of notes on the notion of TA is in Appendix 2.
The term TIA is not formally defined in the Project Concept Brief, although some its dimensions are implied. Reddy & Naik (2025) addresses the broader topic of an 'emerging technology governance framework'. This extends beyond the assessment process, also encompassing aspects of the organisational infrastructure supporting it and the meta-language enabling it, including participating organisations, values, objectives and priorities among them, protocols for inter-organisational activities, and terminology.
Many different kinds of assessments are practised. It is useful to identify key examples, and compare and contrast them with TA/TIA. The following kinds are usefully distinguished:
The previous section makes clear that TA/TIA has the broadest scope of all kinds of assessment. As a result, care is needed with in relation to the policy proposals that arising from the process. For example:
To address those challenges, TA commonly features:
The large majority of established research techniques assume that relevant phenomena exhibit reasonable stability, and that they are capable of being observed. In the context of emergent technologies, neither is the case. Observational methods are infeasible, and survey and focus group methods are limited in their applicability. A number of methods exist for conducting 'futures studies', but they are challenging to undertake, and the results are subject to challenge. Appendix 3 provides a brief overview of methods used in research into alternative futures, and which are therefore relevant to TA/TIA.
Among the enormous assortment of definitions available in the literature, the following contain value.
From Grunwald (2009):
No consensual, unambiguous and selective definition of TA has yet been provided. ... Technology Assessment (TA) is the most common collective designation of the systematic methods used to scientifically investigate the conditions for and the consequences of technology and technicising and to denote their societal evaluation
From Banta (2009):
A form of policy research that examines short- and long-term consequences (for example, societal, economic, ethical, legal) of the application of technology ... to provide policy makers with information on policy alternatives
From EPTA (2017):
A scientific, interactive and communicative process, which aims to contribute to the formation of public and political opinion on societal aspects of science and technology
From O'Rourke et al. (2020), in the specific context of Health Technology Assessment (HTA):
Health Technology Assessment is a multidisciplinary process that uses explicit methods to determine the value of a health technology at different points in its lifecycle. The purpose is to inform decision-making in order to promote an equitable, efficient, and high-quality health system.
In the HTA context, it appears reasonable to assume that the term 'value' encompasses both benefits and harms, and that multiple stakeholders' perspectives on the technology's features are reflected in the valuation process.
TA's scope is generally defined in terms of one or more technologies, viewed as interventions into a particular, existing physical, social and/or economic context. The time-horizon may be short-term / tactical, but is more often long-term / strategic. The broader the scope and the longer the time-horizon, the greater the flexibility needed in the scope definition.
The deliverables from a TA process are generally expected to include information about:
The audience is generally defined as a Parliament or a society-at-large.
The purposes of a TA are generally:
It is infeasible for TA to be performed by or for an individual government agency, industry association or major corporation, or even a consortium of such organisations, because this would inevitably result in compromise of the requirements that it reflect multiple perspectives and be conducted openly. The vehicle may be:
TAs were conducted during the 1990s on such varied topics as biotechnologies, recombinant DNA, atmospheric pollutants including acid rain, environmental impact of chip production, electromagnetic radiation, waste and recycling, 'lie detectors' / polygraphs, databanks, electronic surveillance and intellectual property rights.
Aspects of the TA process are:
Because of the diversity of TA projects, it is challenging to specify a generic method, and instead it is normal for a process to be devised for each particular project.
The US Office of Technology Assessment (OTA) operated from 1972 to 1995. A number of European countries created OTA-like organisations during the 1980s, and, unlike the USA, most have sustained them. They report more or less directly to the national parliament, e.g. in France since 1983 (OPECST - Office Parlementaire d'Evaluation des Choix Scientifiques et Technologiques) and in Denmark since 1986 (the Danish Board of Technology). A European Parliamentary Technology Assessment (EPTA) network was formed in 1990, and links a dozen such organisations. The European Parliament has a Science and Technology Options Assessment (STOA) panel and bureau.
(This Appendix is an adapted extract from Clarke 2014).
Important research domains are sometimes characterised as embodying 'wicked problems' - a term that invites defeatism. A more constructive approach is to identify the domain's key features. These commonly include emergent phenomena, unstable phenomena, such a high degree of interdependency among elements that sub-setting and simplification of the problem-space is difficult or infeasible, large numbers of stakeholders with diverse perspectives, and value-conflicts.
Many futures research techniques have been formulated. Some techniques are primarily observational and lack the dynamic element. Others are limited to forecasting based on historical trends, and hence are incapable of coping with discontinuities. This section identifies key examples of techniques used in Futures Studies.
The discussion above contains no mention of ethics. The notion of ethics, as the term is used in moral philosophy, relates to the body of principles governing right and wrong. It has primary application to judgements about good and evil, usually ex post facto. The abstract and equivocal nature of ethical principles is such that they seldom have sufficient volitional or motivational power to influence actors' behaviour.
TA/TIA, on the other hand, is instrumentalist, seeking to achieve outcomes of a kind that deliver utility while limiting and mitigating harm. Ethical principles accordingly operate at a meta level in comparison with the practice of TA/TIA. They may guide and constrain individual participants, but they seldom playing a decisive role in the process.
(This Appendix comprises adapted extracts from Clarke 2014 from Clarke 2019a and Clarke 2022).
Banta D. (2009) 'What is technology assessment?' Int'l J of Technology Assessment in Health Care 25: Supplement 1 (2009) 7--9, at https://www.inbit.gr/wp-content/uploads/2019/06/2009-What-is-technology-assessment.pdf
Berleur J. & Drumm J. (Eds.) (1991) 'Information Technology Assessment' Proc. 4th IFIP-TC9 International Conference on Human Choice and Computers, Dublin, July 8-12, 1990, Elsevier Science Publishers (North-Holland), 1991
CRS (2020) 'The Office of Technology Assessment: History, Authorities, Issues, and Options' US Congressional Research Service, Version of 29 April 2020, at https://crsreports.congress.gov/product/pdf/R/R46327/6
EPTA (2017) 'What is Technology Assessment?' European Parliamentary Technology Assessment, 2017, at http://www.eptanetwork.org/about/what-is-ta
Garcia L. (1991) 'The U.S. Office of Technology Assessment' Chapter in Berleur J. & Drumm J. (eds.) 'Information Technology Assessment' North-Holland, 1991, at pp.177-180
Grunwald A. (2009) 'Technology Assessment: Concepts and Methods' Philosophy of Technology and Engineering Sciences, Handbook of the Philosophy of Science 2009, pp.1103-1146, at https://www.sciencedirect.com/science/article/abs/pii/B9780444516671500446
Manwaring K. (2019) 'Surfing the Third Wave of Computing: Consumer Contracting with eObjects in Australia' PhD Thesis, UNSW Faculty of Law, November 2019
O'Rourke B., Oortwijn W., Schuller T. & the International Joint Task Group (2020) 'The new definition of health technology assessment: A milestone in international collaboration' Int'l J of Technology Assessment in Health Care (2020) 1--4, at https://htasialink.com/index.php/files/13/Journal-Publications/10/Thenewdefinitionofhealthtechnology.pdf
OTA (1977) 'Technology Assessment in Business and Government' Office of Technology Assessment, NTIS order #PB-273164', January 1977, at http://www.princeton.edu/~ota/disk3/1977/7711_n.html
Porter A.L., Rossini F.A. & Carpenter S.R. (1980) 'A Guidebook for technology assessment and impact analysis' Elsevier, 1980
Reddy B. & Naik S. (2025) 'A Framework for Governing Emerging Technologies' Discussion Document No. 2025-02, The Takshashila Institution, January 2025, at https://static1.squarespace.com/static/618a55c4cb03246776b68559/t/6779243ac02ea76b123dc7b4/1735992393905/A+Framework+For+Governing+Emerging+Technologies+-+TDD+-+20250104+-+1.0.pdf
Clarke R. (2003) 'Scenario-Based Research' Xamax Consultancy Pty Ltd, June 2003, at http://www.xamax.com.au/Res/Scenarios.html
Clarke R. (2009) 'Privacy Impact Assessment: Its Origins and Development' Computer Law & Security Review 25, 2 (April 2009) 123-135, PrePrint at http://www.rogerclarke.com/DV/PIAHist-08.html
Clarke R. (2014) 'Approaches to Impact Assessment' Xamax Consultancy Pty Ltd, January 2014, at http://www.rogerclarke.com/SOS/IA-1401.html
Clarke R. (2019a) 'Risks Inherent in the Digital Surveillance Economy: A Research Agenda' Journal of Information Technology 34,1 (Mar 2019) 59-80, PrePrint at http://www.rogerclarke.com/EC/DSE.html
Clarke R. (2019b) 'Principles and Business Processes for Responsible AI' Computer Law & Security Review 35, 4 (2019) 410-422, PrePrint at http://www.rogerclarke.com/EC/AIP.html
Clarke R. (2019c) 'Regulatory Alternatives for AI' Computer Law & Security Review 35, 4 (2019) 398-409, PrePrint at http://www.rogerclarke.com/EC/AIR.html
Clarke R. (2021) 'A Simulation Model for COVID-19 Public Health Management: Design and Preliminary Evaluation' Proc. Bled eConference, 27-30 June 2021, PrePrint at http://rogerclarke.com/EC/CVMP.html
Clarke R. (2022) 'Future Studies: Of What, For Whom, and How? Examples from Research into the Surveillance Society' Xamax Consultancy Pty Ltd, August 2022, at http://rogerclarke.com/DV/FSSS.html#RT
Clarke R. (2024) 'Impact Assessment as a Part of Doing Business' Xamax Consultancy Pty Ltd, February 2024, PrePrint at http://rogerclarke.com/DV/IAA24.html
Clarke R. (2025) 'Principles for the Responsible Application of Generative AI' Xamax Consultancy Pty Ltd, January 2025, at http://rogerclarke.com/EC/RGAI-C.html
Clarke R. & Michael K. (2024) 'Multi-Stakeholder Risk Assessment of Socio-Technical System Projects' Proc. Australasian Conf Infor Syst, December 2024, PrePrint at http://rogerclarke.com/DV/MSRA-ACIS24.html
Roger Clarke is Principal of Xamax Consultancy Pty Ltd, Canberra. He is also a Visiting Professorial Fellow associated with UNSW Law & Justice, and a Visiting Professor in Computing in the College of Systems & Society at the Australian National University.
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