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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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    2

    Introduction to the C ourse

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    3

    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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    4

    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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    5

    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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    6

    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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    8

    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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    9

    W hat is Policy?

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    10

    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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    13

    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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    4 6

    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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    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