Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 1 Unit Outline General Policy and Law Issues  Module 1: Introduction to Policy Module 2: Evolution of Policy Module 3: Psychology Module 4: Summary

Module 1 Introduction to Policy

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 3 Students should be able to: –Understand application of policy to different disciplines –Conceptualize the public policy cycle –Gain an understanding of policy terminology and introductory concepts Introduction to Policy Learning Objectives

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 4 Policy is: –A plan or course of action defined by an authoritative entity such as a government, political party, or business, intended to influence and determine decisions, actions, and other matters for achieving a perceived goal or set of goals. Introduction to Policy Definition

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 5 Policy is: –A dynamic process that occurs over time –Ideologically informed and culturally determined –Found at many organizational levels –Associated with the appearance of conflict –Dependent on language deployed as tactic –Informed by practice or technique Introduction to Policy Definition

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 6 Public Organizational Social Information Security Technical Monetary Insurance Introduction to Policy Types of Policies

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 7 Policy vehicles are different manifestations where policies can exist Some examples include: –Constitution –Legislation –Laws –Social Norms –Technical Standards Introduction to Policy Examples of Policy Vehicles

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 8 Introduction to Policy Public Policy Cycle Evaluation 5 Implementation 4 Budgeting 3 Formulation 2 Setting an Agenda 1 Source: Jones, C. (1984). An Introduction to the Study of Public Policy. Belmont, CA: Wadsworth.

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 9 An agenda is: –A plan of action, course or direction determined by short-term (critical) and long-term priorities based on values. Involves: –Assessing which priorities should be met based on resource capacity (time, energy, money) –Especially important when demand > capacity. –Determining tasks that will fulfill priorities –Setting tasks in terms of sequence –Defining complexity of tasks Introduction to Policy Setting an Agenda

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 10 Formulation –The development of effective and acceptable courses of action for addressing agenda items and is determined by agenda and problem definition Effective formulation (Analytical Aspect): –Valid –Efficient –Implementable Acceptable formulation (Political Aspect): –Likely to be authorized Introduction to Policy Formulation

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 11 Analytical Aspect –Involves finding the optimal solution to a problem Actors –Policy and technical analysts –Ideally informed & educated Based on objective policy and technical analysis –E.g. means, behavior, cost, implementation strategy, and potential consequences or results Process involves: –Data collection and analysis –Clear articulation of policy alternatives Introduction to Policy Formulation: Analytical Aspect

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 12 Political Aspect –Involves gaining authorization for policy Actors –Accountable decision makers –Ideally responsive and able to exercise sound judgment Use policy and technical analysis results to make judgments regarding: –Goals –Trade-offs –Value priorities –Weighing overall effects Process involves: –Compromise –Majority building Introduction to Policy Formulation: Political Aspect

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 13 A budget is a plan for expenditure and procurement of monetary funds Financial resources are necessary to implement policy i.e. –Employee time, equipment, and supplies. A budget is a limiting factor (constraint) –Forces decisions to be made based on values –Ideal policy optimizes the use of funds to obtain maximum results Introduction to Policy Budgeting

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 14 Implementation is: –Carrying out or putting into effect formulated policy –What occurs between the expectations of created policy and perceived results Process –Organization, Interpretation, & Application Approaches –Top-down: Authoritative and Elitist –Bottom-up: Democratic and Participatory Good implementation is imperative for success, but also depends on policy quality. Introduction to Policy Implementation

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 15 Sound Policy, Well Implemented  Success Examples: –Moon launch by NASA under Kennedy –Revenue sharing under Nixon –Head Start under Johnson –Energy conservation programs under Carter (although the rest of the energy policy failed). –The Reagan Revolution quite successfully shifted income and promoted growth as intended but ran up a monumental debt burden which threatens the long-term prognosis. Introduction to Policy Implementation: Sound Policy, Well Implemented

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 16 Sound Policy, Poorly Implemented  Failure  Examples: –Carter's energy resources program may have sensibly identified coal and gas as transitional fuels to a renewable age, but suffered from confused and contradictory implementation. –Operation Breakthrough may have been a sound housing technology policy initiated by Nixon, but could not be successfully implemented locally due to poor program definition, local building standards, labor strife, and inadequate funding. Introduction to Policy Implementation: Sound Policy, Poorly Implemented

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 17 Bad Policy, Well Implemented  Rare Success  Example: –Commissioner Robert Moses of New York was a genius at implementation, whether the policy was well formulated or not. He could build almost anything --- his way --- : highways, parks, housing, public buildings. Moses completely understood his mission and followed through doggedly and swiftly. He worked cagily with a general mandate, but was criticized as being unaccountable, especially to those left out or displaced by his physical development programs. But he got the job done and was not held accountable for side-effects. Introduction to Policy Implementation: Bad Policy, Well Implemented

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 18 Bad Policy, Poorly Implemented  Failure x2  Example: –The War on Poverty under President Johnson suffered just about every failure except budgetary deprivation. The administrator, Sergeant Shriver, was astonished at his nebulous mandate and sporadic executive support, given little idea as to what to do or how to do it. The policy foundered. –The Swine Flu epidemic led to a national inoculation policy by President Gerald Ford suffered the same fate, but at a much smaller scale. It turned out the epidemic was just overreaction. Introduction to Policy Implementation: Bad Policy, Poorly Implemented

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 19 Clarity and simplicity Theoretical soundness Clear delineation of duties and responsibilities Commitment of leadership to policy success Complementarity to overall mission Specification of technical and budgetary needs Evaluation and feedback throughout the implementation process at time intervals Established and respected deadlines Absence of conflicting or contradictory policies Introduction to Policy Implementation: Success Factors

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 20 Evaluation is the careful examination and judgment of the merits and weaknesses of a policy. Types: –Process Evaluation: Occurs when policy is being implemented and attempts to determine changes that can be made for improvement by implementation participants. –Summative Evaluation: Looks at overall effectiveness after the policy has been implemented. Introduction to Policy Evaluation

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 21 No Evaluation InformalEvaluation –Anecdotes or stories Substantive Evaluation –Careful, truth seeking feedback Formal Research Evaluation –Empirical, designed, and commissioned Scientific Research Evaluation –Statistical, comparative, and causal Introduction to Policy Evaluation: Methods

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 22 1.Specification: What are the goals? Criteria? Purposes? Upon what indicators is this policy, program, process to be evaluated? What is the bottom line? 2.Measurement: What information do we need by which to assess the objectives specified? Recognize that a single anecdote can carry more weight than a bunch of careful data. 3.Analysis: The use of data to draw conclusions. Can range from quantitative techniques, comparative studies, and carefully designed surveys. Care must be given when using opinion, impressions, and anecdotes. 4.Recommendations: What should be done next? Terminate? Replicate? Amplify? Adjust? Cut or expand? Evaluation research inevitably is called upon to be highly prescriptive. However, implementing changes is another matter. Introduction to Policy Evaluation: Formal Evaluation Steps

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 23 Was the policy adequately formulated? What were the goals? Was the underlying causal model (often unspecified, but may be glaringly revealed now) adequate? Was the implementation competent? Well organized? Effective? Timely? Coordinated? Well led? Was the budget adequate? Was the program cost effective? What were the units of goal indicator achieved per unit of budget? What are marginal returns: higher or lower? Is the program worth the expenditure? There should be a specific "client analysis": Who was helped? Identify and explain the client group. Were expectations of benefits met? Who is prepared to defend the program? Introduction to Policy Evaluation: Formal Evaluation Key Questions

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 24 Evaluation should be non-biased Feedback is necessary for evaluation to be useful –Should include participants from various levels of implementation Organizations should be adaptive, resilient, and responsive to effectively incorporate evaluation feedback Introduction to Policy Evaluation: Success Factors

Sanjay Goel, School of Business/Center for Information Forensics and Assurance University at Albany Proprietary Information 25 Policy is used to define courses of action based on values and mission of an authoritative entity. Policies are used in many different areas. The public policy cycle has 5 components: 1.Setting an Agenda: determining goals 2.Formulation: development of courses of action 3.Budgeting: defining constraints and resources 4.Implementation: carrying out the policy 5.Evaluation: examining implementation and modifying agenda Introduction to Policy Summary