Lecture 1 Galpaya
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Client Logo
Colombo12 July 2008
Lecture 1
MIS 001: Information PolicyMS/PGD in Information Systems Management
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1
C ontents
Introduction to the course
What is Policy
The policy process
Information Policy
In-class exercise
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Introduction to the C ourse
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Structure of the C ourse (Information Policy)
4 lecturers
Helani Galpaya
intro, policy, the process, theory, Sri Lankan Context (e-SL, e-Gov) ..
Chanuka Wattegama
Intl context, open access, censorship, regulation
Nilusha Kapugama
authenticity, trans-border data flow issues
Prathibha Mahanama
legal aspects (copyright, cybercrime, etc)
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Ev aluation
45%% for assignments done during the term
5% policy memo
20 % presentation/role playing
10 % white paper
10 % legal assignment (undecided)
5% for participating in class discussion
5 0% of end-of term (final) examination
You will need to use tools and concepts used/covered in class
But Not limited sectors/topics we discuss in class
Read outside of class, keep up with key issues in public policy online
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Learning Objecti v es
Appreciate the political, social, institutional context of information systems
Formulate, analyze and evaluate information policy options
Describe/understand how policy making is done in the real world
Write effectively for policy situations In the right language/tone
Short memos, position papers
Speak effectively for policy situations
Informal dialog (in class discussions)
Presentations
Make coherent arguments
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3 rules on speaking
Its a MUST
A cti v e participation in class discussions is important
5% of your grade given for this
If you dont talk, I will ask you questions, individually
So you cant hide
There is NO WRONG ANSWER
Its important to explain your (reasoning) answer than to get the right answer
Language is not a problem: express your views in any way you can
(you are NOT graded for the quality/accuracy of the spoken language in class)
Only the idea is important
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W riting : we will be more strict
You ARE graded on the quality of your writing
No grammar mistakes
Accuracy (punctuation, spelling) is important
Style matters Sentence structure
tone
No plagiarizing
Cite your sources
Dont copy off the internet
Data must be used to support the argument, as much as possible
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Presentations: style and tone are important
Professional slides
Same rules as writing: no mistakes, good formatting
Style of presenting is important
This is about policy
The image you project matters
Content is of course important
Coherent argument
Use data to support the argument
Pay attention to visual presentation of data
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W hat is Policy?
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W hat is Policy? A ttempting a Definition..
No single definition. But many that imply similar things
Oxford Dictionary:
A plan of action agreed or chosen by a political party, a business etc.
A principle that you believe in that influences how behave
American Heritage Dictionary
A plan or course of action as of a government, political party, or business designed toinfluence and determine decisions, actions and other matters
A course of action, guiding principle or procedure considered to be expedient, prudent, or advantageous
A set of guidelines A set of rules
Many Definitions. De v elop your own (richer) definition by the endof the course
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Policies are made at different le v els, by different entities. Theyimpact different people in different ways
E.g. Within a country
Every person actively seeking employment but unable to do so shall receive a SocialSecurity Payment of USD 4 00 per week , for a maximum of 18 months
Made by: head of the country, ratified by parliament/senate etc
Important to: recipients of SS, Govt. employees, Tax Payers
Across country borders (regional)
EU common agricultural policy: allocation mechanism for subsidies to persons engaged inselect forms of agriculture
Made by: EU countries
Important to: EU farmers, EU consumers, EU tax payers, people in other countries
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Within an organization
Example one
LIRNE asia : Open-source research, open data
Made by staff & management; Required by funders
Impacts all staff
Example two
Company X will allocate 10 days of paid annual leave for each employee. Eligibility starts 6 months after the first date of employment. For each completed year of employment, theemployee shall accrue 2 additional days of paid annual leave. ..etc..
Made by management, board of directors Affects employees, shareholders
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Policies ha v e Intended and Un-intended consequences
Unforeseen outcomes/results of a policy
Positive or negative
US introduction of penalties on driving under the influence of alcohol
Increase hit & run accidents, until adjusted
Levitt & Donahue: Impact of Legalized Abortion of Crime
Roe v. Wade decision; crime statistics (higher the abortion rate, lower the drop in crime;
Government subsidy for ethanol based bio fuels
Increased food prices?
Traffic ticket payment in Sri Lanka ?
US immigration produce prices
Tax example: high tax, up to a pointSource s: F re akan om i c s ( Stephe n L ev i tt); Wiki ped ia,, the E co nom ist
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Laffer Curve
Higher tax rates lead to lower tax revenue
Discourages industryexpansion
B oth Diag r a ms: f rom Wiki ped ia
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Policy v s. Law v s. Regulation v s..
policy, regulation, rules, code of conduct
Sometimes they may be the same thing. But not always
Regulate : a stricter term implying less room for interpretation
[American Heritage Dictionary] To control or direct according to a rule
To adjust to conformity to a specification or requirement
[Oxford Dictionary]
To control something by means of rules
Sometimes a set of rules, practiced over time, become formal policy
Code of Conduct: less formal. set of accepted behavior, practice, but often not law
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In our context, for something to become a policy:
some formalizing or legitimizing is needed
Formalized/adopted/enacted through
A policy paper/policy brief: to explain and recommend a policy, to put forth a position
A resulting law: adopting the policy into the legal system A gazette notification (in LK) : making it official
An amendment to the constitution
A regulation: set of practical workable set of rules to implement policy?
Policy first
Then regulate
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Ex ample # 1: Uni v ersal Ser v ice in Telecom: policy v s. regulation
Situation:
Current market conditions and technology provision of telephony to rural areas noteconomical. Companies chose not to lay wires there.
But, Principle = Everyone should have affordable access to telecommunication services
Policy Maker (a government/ministry) everyone shall have affordable access to basic telecom services.
Develop such a mechanism.
How? Many ways
Option 1: Create Universal Service Obligations for all telecom operators (Philippines)
Option 2: Create a USO Fund ( India, DoT)
Option 3 : Hold auctions and give a subsidy to the winner (Nepal)
Etc..
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Who administers this?
Often, the Telecom Regulator in a country
E.g. India: TR AI
The Regulator takes the Policy, then:
Drafts the necessary rules, circulars, ordinance Issues the rules to companies (imposes conditions on them).
Collects USO funds from the companies
Gives these funds to the government (or spends it as specified)
All of this may need:
Passing of new laws (who gives authority to Regulator to collect funds?) Agreement on accounting standards (i.e. rules on revenue recognition, costing etc)
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Information Policy
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W hat is Information Policy (as opposed to just Policy or PublicPolicy)
Policy = broad; Rules/principals applicable to any situation as defined earlier
Public Policy (as opposed to Company/Organization Policy)
Rules/principles/decisions by a public/government actor (or government entity)
generated or processed within the framework of go v t. procedures, influences and
organizations [Hogwood, Gunn]
Policies s that can call upon public resources and legal coercion in a way other policies cannot [Bridgman, David]
What government chooses to do or not do [TR Dye]
Information Policy
Rules/principles on the use, access to and a v ailability of information/data
Made at organizational national, regional or international level Covers various modes of information: the spoken word, written, stored (digitally or
physically), printed , broadcastetc
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Information Policies can be policies in themsel v es, or part of broader (public/corporate/institutional) policy
India: Right to Information Act
The US: The right to know what information the government has on you (the citizen)
EU vs. Europe: Opt in/Opt out online
Banks:
Among a lot of policies on lending, investment etc, have laws on privacy of information(Swiss)
Other examples from your organization(s)? LIRNE asia : open source research
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A dditional or Special Issues come into play W RT Information
Privacy:
What information is collected
Who has access to it? Can everyone see every other person data? Who as the right toinformation?
Security
How is the information protected to ensure only authorized persons access it?
Role of technology
Does it help or hinder?
Increase/decrease ability to keep information secure? To ensure privacy?
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F or discussion: an e x ample from e-SL/I C TA , with informationpolicy issues
eSL background
Regaining Sri Lanka, 200 3
ICT Agency
To implement it, agency that looks like a private company but is owned by govt.
Apex ICT policy making body
Project: Peoples Hub + related project
P IN at birth; tied to all other certifications (birth, death, marriage, national ID, etc)
Name, age, race, religion etc collected
Positions of stakeholders:
Donor
ICT A
Government organizations (registrar general, etc)
Technology Experts (from Private Sector, govt.)
Other
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The Policy Making Process
With some boring (but important) theory
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The Policy Making Process some steps
Agenda setting
Whats the issue? Whats not the issue? Framing the problem/question.
Stakeholder Analysis:
Who is affected (negatively or positively)? Who is interested in the outcomes? Who has toimplement it? What are their positions likely to be?
Evaluation of Alternatives
What other options are there?
Cost benefit analysis
What is benefit of the outcomes of the policy when compared to the cost
Answer this for each Alternative
After the policy has been implemented, a Policy Evaluation or Policy Analysis
To see what the benefits are, to see what went wrong, to see what can/needs to bechanged
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Policy Process: the classical v iew. A repeating cycle of.
Policy
decisionsImplementation
Performanceassessment
agenda setting(problem recognition)
decision-making(choice of a solution)
policy implementation(putting the solution into effect)
policy formulation(proposal of a solution)
policy evaluation(monitoring results)
B as ed on model s by C ole ba tch; H owlett & Ra me s h; B r i d g em an & Da v is etc
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Policyanalysis
Policyinstruments
Consultation
CoordinationDecision
Implementation
Evaluation
Identifyissues
C ole ba tch; H owlett & Ra me s h
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Issuefiltration
Issue definition
Forecasting
Setting objectivesand priorities
OptionsanalysisPolicy
implementation
Evaluationand review
Policymaintenance
Successionor termination
Issue search
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3 0
Policy Process: the Systems View
Adaptive system where
Inputs (political demands, public support etc)
are converted into
Outputs (decisions, actions)
Every policy option can be evaluated a causal chain:
ProcessInput Output Outcomes
Tasks ActivitiesStrategies
FundsStaffing
SkillsPhysical Facilities
ProductsServicesGoods
Documents
Longer term
Eas ton; Sh a r kansky
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3 1
So the overall process looks like:
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3 2
Policy Process: Incrementalism
Recognize that in reality, all options are not/cannot be evaluated
Bounded rationality
Analysis is not comprehensive. Limited
rule of thumb often used
Incrementalisms = policy is a emerges, through a succession of small changes, instead of asingle clear decision [Colebatch]
A good policy decision not necessarily one that achieves known objectives
People agree with the process by which policy is achieved
Lind blom
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Policy Making: Structured Interaction
Policy is an ongoing process with many participants
Most without formal recognized role in policy making
(ministers, advisers, academics, media, staff (blue/white collar)
Policy = the process of negotiating influence
Not about enacting formal statements
Policy = continuing work done by groups of policy actors who use a v ailable publicinstitutions to articulate and e x press the things they v alue
Nothing stays fixed. People, alliances, problems change
Continued interaction
Policy = someones next move?
C ole bl a tch; C onsi d ine; Sto ne
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Policy making is inherently political, difficult
Example: Resource allocation problems:
Allocating time in computer CPU for various programs
Allocating kidneys/blood
Often no right answer
Different people want different things
Attempt to influence
Calls for difficult choices
Cannot avoid values Influenced by social, religious, cultural, economic context
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A good policy maker.
Is able to understand the interests of others (stakeholder analysis)
Makes EV IDENCE B ASED policy using data. Not intuitive policy. Not based on gut feeling
Is guided by PR INC IPLES, not random whimsy
E.g. freedom of expression is a guiding principle of the US constitution. Policies (and lawsand regulations) based on that.
Is a good NEGOT I ATOR
Policy making involves many stakeholders with many competing interests.
No one gets what he/she wants 100 %
The trick is compromise/negotiate up the point that you can live with
Makes IMPLEM ANT ABLE policies: feasibility, costs of implementation taken into account
RE-EV ALU ATES the policy at regular intervals after implementation. Makes amendments
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3 6
The Policy Toolkit
Instruments to use; things to keep in mind
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3 7
Issue F raming
On what fundamental goals is the policy anchored on?
Equity?
Efficiency?
Security?
Other?
How is the problem/issue framed? From what angle?
Economics (cost-benefit)
Interests (sides, parties)
Victimization
Causes
Conspiracy Control?
Safety (risk-benefit)
Whats in, whats out in the policy debate
B roa dl y bas ed on TPP 101, Massa chu sett s Ins t i tute of T ech nology, Anna l isa Wi e g el lecture s
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3 8
Stakeholders, positions
Who cares about the issue?
What are their core beliefs and values?
How are they impacted (positively, negatively, now, in the future) by the policy
What are their (likely) positions on the issue?
What coalitions exist among them?
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3 9
Interaction of Policy with Technology
How does technology impact the policy?
Does it constrain it?
Enable it?
Give new options?
Requires deep understanding of technology
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4 0
Powers and Resources
Who has formal power to take action?
Who has informal power to take action?
How can people with power/influence/resources be mobilized?
How much of a trump card are resources (funds)?
How are those without power likely to react?
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4 1
W indows
Is there an optimal time to bring up an issue?
E.g. hazard warning policy
Are there institutional routines for moving an issue?
E.g. annual budget cycle that starts in month X.
Is there one/more events that help move a policy agenda?
Seasonality/cyclicality of issues, institutions
E.g. Rising oil pricespolicies on energy conservation
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4 2
F acts/data
Irrefutable data, to clarify a position
E.g. 2 3 .4% of the citizens of the country do not have health insurance. 5 0% of them die eachyear due to lack of healthcare. Government needs to provide free healthcare for them.
Telecom Tax example from L IRNE asia
http :// l i r ne asia.n et /2007/09/ the-c as e- agains t-pu ni t i ve-t axa t i on-of -mo bi le-u s er s -in-s r i -l anka
But
Use the right facts/data with the right audience
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E tc.
Inducements
Informal or formal incentives
E.g. tax holiday for those who hadnt paid before
Rules/Law
Telecom Regulator has power, under licensing conditions to
Rights
E.g. the right to free speech;
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In- C lass Ex ercise
Discussion of T AXin proposal (hand-out, 1 page)
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Group 1: Ministry of Finance
Group 2: Head (Director), The Department of Taxation
Group 3 : Employees of the Department of Taxation
Group 4 : Private Sector IT Solutions Providers
Group 5 : Large business holders/conglomerate
Group 6 : SMEs/Small businesses and individuals engaged in businesses
Group 7 : Anti-Bribery and Corruption Department
Group 8: Private Sector Employees (tax payers)
Group 9 : Public Sector employees (non-tax payers)
Group 10: IT Security Experts (academics)
Other
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A nalyze.
How is the issue framed?
Who has power to influence (stop or go)?
Who are the other stakeholders? What are their positions? What coalitions are they likely toform?
What data can be used to support your argument? What data can support your opponentsargument?
When should you act?
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4 7
A nother attempt at a definition of Policy
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4 8
W hat is policy.
Policy = What is left over after analysis cant tell you want to do?
The tough choices
No right answer
Policy = the art of getting things done
A continuum; the next move Working with stakeholders with multiple interests
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4 9
H ow to compromise? You negotiate
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5 0
W hen negotiating:
What is your (and your opponents) pay-off matrix?
Whats the best outcome? Whats second best? For each.
But not always possible to know, or to estimate.
What is the B ATN A (Best alternative to no agreement?)
Determines when you walk away
Who do you negotiate with?
Does the party you are negotiating with have the authority to make decisions?
He/she just a messenger?
Do you have the authority to make decisions on behalf of your organizations?
Goal = Pareto Optimal Solution/allocation of resources Situation where no one can be better off without making someone else worse off.
But not always possible. Therefore
Goal = something you can live with
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5 1
You will produce/take part in
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5 2
A policy memo
Memorandum to state a persons or organizations position on a proposed/existing policy
In Memo format:
Written by a particular person
Addresses a particular person (with cc: to others)
With clear policy recommendations including alternatives
Clear conclusion
Short ideally 1 page, usually 2
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A white paper
An authoritative report on a major issues/policy
An authoritative report issued by an organization
an official government report
report issued by a company
Longer, containing a lot more information than a memo
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C onsultations
Public Hearings
Public Consultation
Opportunity to get stakeholder input
And to make them feel included
Opportunity to understand the world
Policy maker has less information than those at the grass roots?
E.g. TR AI/DoT