KAY 107 Science and Technology Policies

Slides for the 1st Midterm

Topics for the first KAY 107 midterm

• IT Policy• Coopey, Richard (2004).” Information Technology Policy: Competing for the Future”, In Richard

Coopey (Ed.s), IT Policy: An International History, Oxford: Oxford U. Press. (Electronic Resource)

• What is public policy? Basic concepts • Theodolou & Kofinis, pp. 22-34.

• Public policy analysis process & actors • Theodolou & Kofinis, pp. 36-76.

• Technology and its effects on public policy analysis• Turkish E-Government Strategy and Action-Plan, 2016-2019,

• http://www.edevlet.gov.tr/2016/07/25/2016-2019-ulusal-e-devlet-stratejisive-eylem-plani/

• Example 1• CQ Researcher, Domestic Drones-2013

• Example 2: • CQ Researcher, 3-D Printing-2012

KAY 107

WHAT IS PUBLIC POLICY?

Theodolou & Kofinis, 2004: 22-34.

DEFINITIONS OF PUBLIC POLICY (PP)

• A complex subject• No single simple universal definition• Competing definitions

• An action of government designed to serve a politically defined purpose

DEFINITIONS OF PUBLIC POLICY (PP)

• Thomas Dye: • Whatever government chooses to do or not to do (Role and impact of

government)

• Policy inaction is as important as policy action• Prefer non-involvement

• Example: Dogs on the streets

DEFINITIONS OF PP

• Actions of government and the intentions that determine those actions (Cochran and others- et al.)• An intentional course of action followed by a government institution or official for resolving

an issue of public concern

• No accidental action or result• Choosing among goals and alternatives

• Example: Decreasing domestic abuse or preserving the family unit?

• Manifested in laws, public statements, regulations, etc.

DEFINITIONS OF PP

• The sum of government activities, whether pursued directly or through agents… which have an influence on the lives of citizens (Peters)

• Externalities?• Example: Anti-smoking legislation???

• Drop in cigarette sales, drop in income for tobacco farmers

• Policy success and failure- problems of measurement

DEFINITIONS OF PP

• 3 separate levels of policy (Example: FATİH Project)

• Choices- Using more technology in classrooms• Made by an actor authorized to make a decision on public’s behalf

• Outputs- Smart screen and tablets in classes• A government action

• Impacts-Improved test scores in language, mathematics, etc. in PISA rankings• Direct and indirect impacts

DEFINITIONS OF PP

• “A relatively stable, purposive course of action followed by an actor or a set of actors in dealing with a problem or matter of concern (James Anderson)

• Government actors determine public policies• Non-governmental actors try to influence this behavior

CRITICAL COMPONENTS OF PP1. Represents both action and inaction

2. Involves both formal and informal players inside and outside government

3. Includes a variety of policy actions (example, school vouchers)

4. Intentional actions to achieve a (sometimes vague) goal

5. Leads to intentional and unintentional consequences

6. The process follows predicision, decision and post decision steps

Actions in PP

• Policy actions• Legislative

• Judicial

• Executive• Action:

• The US decision to drop an atom bomb to Japan during World War II

• Inaction:• The decision not to drop an atom bomb to Soviet Russia during the

Cold War

Inaction in PP

• Example: The decision to accept or not accept refugees to the European Union?• Do we want to change the economic, political, social status-quo?

• Do we need to change the status-quo?

• Once the status-quo changes, the consequences are unclear.• Potential consequences of action versus inaction

Inaction in PP

• For government• Is the status quo politically acceptable?

• What are the motivations to act?

• What are the justifications to act?

ACTION VERSUS INACTIONACCEPTABLE UNACCEPTABLE

ACTION

INACTION

ACTION VERSUS INACTIONPOLITICAL ECONOMIC SOCIAL ETHICAL

BENEFITS

COSTS

ACTORS & STAGES OF PPActors Policy

DesignPolicyAdoption

PolicyImplementation

Policy Evaluation

GovernmentNational Government

Local Government

Private Sector

Non-governmental Actors(Lobbyists, interest groups, citizen activists)

International Organizations

Media

FORMAL ACTORS

• Operate with constitutional & legal legitimacy in institutional arenas of policy• Executive, legislative and judiciary

• Elected and appointed officials• Politicians & bureaucrats

• Members of Parliament (MPs), mayors…

INFORMAL ACTORS/PLAYERS

• Experts and academics

• Lobbyists

• Citizen activists

• Political consultants

• Interest groups

• Media

• Think tanks

A Think Tank Report on Performance of Coalition Governments in Turkey

TYPES OF PUBLIC POLICIES

• Different typologies• Substantive versus procedural policies• Redistributive vs. distributive policies• Regulatory vs. self-regulatory policies• Material vs. symbolic policies

Substantive vs. Procedural Policies

• Substantive: • Definition: A tangible action, with benefits & costs, advantages and

disadvantages • Example: Constructing a nuclear plant

• Procedural• Definition: Arranging rules, conditions and actors for action

• Example: Preparing strategic plans

Redistributive vs. Distributive Policies

• Redistributive • Definition:Shift resources, material benefits, rights and privilidges among

various segments of the population

• Creates «winners» at the expense of «losers»• Example: Urban transformation

• Distributive:• Definition: Assignment of goods and services to target populations specified

by the government• Example: Agricultural subsidies, material aids to the poor, elderly etc.

Regulatory vs. Self-regulatory Policies

• Regulatory:• Definition: Governmentally mandated rules on

the actions of specific target populations• Example: Airline safety regulations, environmental

protection rules (Volkswagen case in lying about CO2 emissions)

• Self-regulatory• Definition: An attempt to self-manage rules

that restrict or control the behavior by the target population itself• Example: Professional standards, for attorneys,

doctors, etc.

Material vs. Symbolic Policies

• Material:• Definition: Provide tangible benefits or power to their beneficiaries, or

impose real disadvantages on affected parties• Example: Monetary support for parents, who would like to send their kids to private

schools (school vouchers)

• Symbolic:• Definition: Principally rhetorical and seek to inform or persuade populations

• Attempt to appeal to emotions• Example: Speech calling for World peace

Intended Actions & Unintended Consequences

• Intended Course of Action• Policy goals: Laws, services, taxes, etc.

• Examples: • Law 6284: Protect women from domestic violence or protect the

family unity?

• More employment opportunities for the disabled people

• Higher taxes on tobacco and alcohol consumption

Intended Actions & Unintended Consequences

• Unintended, Unforeseen Consequences• Externalities (Both positive & negative)

• Example: Protecting women from domestic violence means more divorces and more husbands seeing their children less

Policy Making Process Cycle

• Predecision Phase• Problem definition

• Agenda setting

• Policy formulation

• Decision Phase• Policy adoption

• Postdecision Phase• Policy implementation

• Policy evaluation

• Policy change or termination

WHAT IS PUBLIC POLICY?

• What governments choose to do or choose not to do (Thomas Dye)

• An analytical problem-solving and decision-making process

• Multi-disciplinary, multi-method, problem-focused andaction-oriented (Wayne Parsons)

• Minimize or Maximize something

• Decrease what is too much, increase what is too little.

• Speaking truth to power (Aaron Wildavsky)

• In pluralist democracies, speaking truths to powers

• Policy sciences of democracy (Harold Lasswell)

Nature of Public Policy Studies

• Interdisciplinary (multi-disciplinary)• Integrates knowledge from different disciplines

• Public adm., political science, sociology, psychology, economics & management

• Multi-method• Qualitative and quantitative

• Problem-focused, action-oriented• Analyzes public choices & decision-making

• We expect governments to have policy

Public Policy

• Problems• Public and private

• Public policy is about the solution of public problems.

• Types of Agendas• Systemic Agenda

• Institutional Agenda

CYCLICAL POLICY PROCESS

In the real world, there are no defined or distinct phases.

POLICY PROCESS

• What is it?• A cyclical problem-solving activity

• Analytical, legislative, budgetary and administrative steps

• Why is it complicated?• Diverse population, many stakeholders

• Frame the issues differently

• Special-interest groups; • Different priorities

• How to discover the collective will in diversity?

Where did public policy come from?-1

• Explanation 1: Since the emergence of organized societies• After the division of labor regarding the rulers and the ruled, rulers needed

advice.• Advisors beginning from ancient China, Egypt and India

• Wazir: the ones who help carry the load

• Oral and written advice.

• No real data collecton and analysis

• Mostly experience-based

Where did public policy come from?-2

• Explanation 2: Late 1700s, Early 1800s• French Revolution

• Enlightenment

• Industrial Revolution

• Migration to cities and urbanization• How to solve the problems of urbanization?

• Crime, education, health, infrastructure…

• Systematic data collection and simple data analysis

Where did public policy come from?-3

• Explanation 3- During and After the second World War, in the US and its allies• Systematic data collection and complicated data analysis

• Statistics, mathematical models, operations research…

• Uses spread into the civilian domain after the War

How did public policy emerge?Explanation Data Collection Data Analysis Policy is Based On

Explanation 1: Since theemergence of organized societies

Almost none Almost none Mostly experiencetransmission

Explanation 2: Since the IndustrialRevolution

Systematic data collection

No Complicatedanalysis

Scientific analysis

Explanation 3:During and Afterteh second World War, in the US andits allies

Systematic data collection

Statistics, mathematicalmodels, operationsresearch

Scientific analysis

Kay 107Policy-Making Actors

Theodolou & Kofinis, 2004: 55-75.

ACTORS OF THE POLICY PROCESS/GAME

• Government

• Private Sector

• 3rd Sector (NGOs, NPOs)

• Citizens

• International organizations

• Media (Traditional and new)

• Lobbyists

• Think tanks

POWER/INFLUENCE OF ACTORS

POWER/INFLUENCE POWER/INFLUENCE ON ISSUES

ONE ISSUE MULTIPLE ISSUES

POWER/INFLUENCE OVER PROCESS

ONE POINT IN THE POLICY PROCESS

ACTORS INFLUENTIAL ON ONE ISSUE AT ONE POINT

ACTORS INFLUENTIAL ON MANY ISSUES AT ONE POINT

MULTIPLE POINTS ACTORS INFLUENTIAL ON ONE ISSUE AT MULTIPLE POINTS

ACTORS INFLUENTIAL ON MULTIPLE ISSUES AT ONE POINT

Source: Theodolou & Kofinis, 2004: 55.

POWER/INFLUENCE OF ACTORS

STAGE OF POLICY PROCESS

INSTITUTIONAL ACTORS NON-INSTITUTIONAL ACTORS

Parliament President Prime Minister & the Cabinet

Courts Bureaucracy Public InterestGroups

Lobbyists Media Think Tanks

Problem Identification

AgendaSetting

PolicyFormulation

Policyadoption

Implementation

Evaluation

Policychange/ termination

Source: Theodolou & Kofinis, 2004: 56.

IDENTITY OF ACTORS

IDENTITY INSTITUTIONALITY

INSTITUTIONAL ACTORS NON-INSTITUTIONAL ACTORS

CONSTITUTIONALITY CONSTITUTIONAL ACTORS PARLIAMENTPRESIDENTMINISTRIESBUREAUCRACY

NON-CONSTITUTIONALACTORS

CITIZENSLOBBYISTSINTEREST GROUPSTHINK TANKS

Source: Theodolou & Kofinis, 2004: 55.

Government (Levels)

• Federal Systems (United States, Germany, Russia…)• Federal Government Level• State Government Level (California, Florida…)• Local Government Level

• Unitary Systems (Turkey, France…)• National Government Level• Local Government Level (Municipalities, villages)

• Systems with Regions (Spain…)• National Government Level• Regional Government Level (Catalonia, Basque Region…)• Local Government Level

Government (Separation of Powers)

• Legislature• One chamber (Turkish Parliament) vs. Two chambers (Senate and House of

Representatives in the US)

• Legislative Commitees

• Judiciary• Hierarchy of Norms

• Executive• President

• Prime Ministry and the Cabinet

Members of Parliament (MPs)

•Channels of effect on public policies• Law-making/legislative process

• Representation of their voters

• Oversight of government agencies• Through budgets

Parliamentary Commissions and Their Staff

• Experts helping the members of the Parliament

Roles of the President (Related to Legislation)

• To deliver, if he/she deems necessary, the opening address of the Turkish Grand National Assembly on the first day of the legislative year,

• To summon the Turkish Grand National Assembly to meet, when necessary,

• To promulgate laws,

• To return laws to the Turkish Grand National Assembly to be reconsidered,

• To submit to referendum, if he/she deems necessary, legislation regarding amendments to the Constitution,

• To appeal to the Constitutional Court for an annulment in part or entirety of certain provisions of laws having the force of law, and the Rules of Procedure of the Turkish Grand National Assembly on the grounds that they are unconstitutional in form or in content, and

• To call new elections for the Turkish Grand National Assembly.

Source: https://www.tccb.gov.tr/en/presidency/power/

Roles of the President (Related to the Executive)• To appoint the Prime Minister and to accept his resignation,

• To appoint and dismiss Ministers on the proposal of the Prime Minister,

• To preside over the Council of Ministers or to call the Council of Ministers to meet under his/her chairmanship whenever he/she deems it necessary,

• To accredit representatives of the Turkish State to foreign states and to receive the representatives of foreign states to the Republic of Turkey,

• To ratify and promulgate international treaties,

• To represent the Commander-in-Chief of the Turkish Armed Forces on behalf of the Turkish Grand National Assembly,

• To decide on the use of the Turkish Armed Forces,

• To appoint the Chief of General Staff,

• To call the National Security Council to meet,

• To preside over the National Security Council,

• To proclaim martial law or state of emergency, and to issue decrees having the force of law, in accordance with the decisions of the Council of Ministers convened under his/her chairmanship,

• To sign decrees,

• To remit, on grounds of chronic illness, disability or old age, all or part of the sentences imposed on certain individuals,

• To appoint the members and Chairman of the State Supervisory Council,

• To instruct the State Supervisory Council to carry out enquiries, investigations and inspections,

• To appoint the members of the Higher Education Council, and

• To appoint rectors of universities,

Roles of the President (Related to Judiciary)

• To appoint the members of the Constitutional Court, one-fourth of the members of the Council of State, the Chief Public Prosecutor and the Deputy Chief Public Prosecutor of the High Court of Appeals, the members of the Military High Court of Appeals, the members of the Supreme Military Administrative Court and the members of the Supreme Council of Judges and Public Prosecutors.

Influence of Lobbyists

• Elements of Lobbyists’ Influence• Experience

• Years in the advocacy profession

• Access• Close Professional and personal relationships with people

• Expertise• Level of knowledge and skill in understanding the policy process and develop winning

strategies

• Resources• Money and capabilities available to the lobbyist

• Character• Integrity of character?

Source: Theodolou & Kofinis, 2004: 70-71.

Media

• Importance: «Information is power»• Constant Access to citizens• Affecting/manipulating public opinion and agenda

• Closeness to the institutional actors• With or against• Ideological positions of media outlets

• Type of Media• Traditional Media

• Newspapers, radio and TV stations…

• New Media• Internet forums, blogs, social media platforms…

Think Tanks in Turkey

Source: https://en.wikipedia.org/wiki/Turkish_think_tanks, 10.20.2015

KAY 107

Information Technology Policy: Competing for the Future

Coopey, Richard (2004). «Information Technology Policy: Competing for the Future», In Richard Coopey (Ed.), IT Policy:

An International History, Oxford: Oxford U. Press, p. 1-23.

Information Technology Policy: Competing for the Future

• Industrialization

•Modernization

•Competition• Economic

• Military

• Political

IT Policy: Competing for the Future• Rise of science and technology

• Crises such as global warming• Due to fossil-based fuels

• Reconstruction efforts after wars• and use of technology in these efforts

• US

• Germany

• Japan

This sculpture in Berlin is called “Politicians discussing global warming.”

IT Policy: Competing for the Future

• Globalization vs. Regionalization• Alliances

• EU, NAFTA, ASEAN, MERCOSUR

• The role of innovation in competition

IT Policy: Competing for the Future

• Government’s sponsorship, support of technological innovation• Level of government intervention

• «Hands on» and «hands off» approaches

• National champions• R&D Firms: IBM, Google, Philips

• National Research Programs• Japan: MITI (Ministry of Technology)

• Turkey: TÜBA, TÜBİTAK

IT Policy: Competing for the Future

• Role of the military• Military policy and economic strength and ambitions

• The Role of Pentagon• Importance of military contracts for IT firms

• E.g. SpaceX Rocket Launch Contracts

President Erdoğan’s Speech in the Science and Technology Conference

October 3, 2016

http://www.milliyet.com.tr/cumhurbaskani-erdogan-konusuyor-siyaset-2320659/

https://www.youtube.com/watch?v=ounvUOhHudI

Turkey’s Objectives in Science and Technology

• Increase in exports

• Strengthening the culture of innovation

Specific Objectives

• Increasing the ratio of high tech products in exports to more than50%

• Establishing the culture of innovation both for individuals andorganizations

• Turkey having at least 10 global brands, as the first step• What are the global brands that came out of Turkey so far?

Benefits

• Technological independence• Example: Past problems with the US and Israel regarding drone purchases

(and maintenance)

Criteria

• Should we look at outcomes or impacts in science and technologypolicies?• Research and Development (R&D) share in GNDP- outcome or impact?

• Number of technopolises? - outcome or impact?

• Number of R&D centers- - outcome or impact?

Achievements

• Turkey managed to produce drones with and without ammunition.

• The number of technolpolises are increased from 2 to 63.

• The number of R&D centers has risen to 223.

• Turkey is able to produce strong armed personnel carriers.

Examples

• International• Tesla

• SolarCity

• SpaceX

• Google

• National• BAYKAR

• Bayraktar İHA/Drone

KAY 107STRATEGY-MAKING AND SCIENCE AND TECHNOLOGY POLICIES

E-Government Strategyand Action Plan

E-Government Strategy and Action Plan

E-Government Strategy and Action Plan

Kahraman ,C.; Çetin Demirel, Nihan &Demirel, T. (2007). «Prioritization of e-Government strategies using a SWOT-AHP analysis: The case of Turkey», European Journal of Information Systems , 16: 284–298i

STRATEGY AND SWOT (Strengts, Weaknesses, Opportunities and Threats) ANALYSIS

STRATEGY AND PUBLIC POLICY ANAYSIS CYCLE

Define the problem clearly:

Why are we preparing the strategy?

What are the solution alternatives?

1Do Nothing- Let the trendscontinue (Not preparing a strategy)

2. Prepare a strategy (but how?)

What are the criteria?

1. Cost

2. Feasability

3. Legality

4. Compatibility with the previous strategies

What are the positive and negativeexternalities?

1. Development of a national IT sector

2. Exporting It-related products and ideas toother countries

Make a decision

Implementation

What are the strategyimplementation problems ?

Evaluate the performance of he strategy

Success Factors in Strategy Implementation• Gulati, G.J. & Yates, D. J. (2011). «Strategy, competition and investment:

explaining the global divide in e-government implementation with policyvariables», Electronic Government, An International Journal, 8 (2/3): 124-143.

• Analysing the impact of national public policies on the UN’s Web Measure Index in 174 countries. • After controlling for economic, social and political development,

there is greater capacity for e-governance in countries that have • a national strategic plan and regulatory authority for telecommunications ,

• encourage competition in the telecommunication industries

• make a higher financial investment in ICT development

• better IT-experts/human resources

Success Factors

• Ask, A.; Hatakka, M.& Grönlund, Å. (2008). «The Örebro City Citizen-Oriented E-Government Strategy»International Journal of Electronic Government Research, 4(4): 69-88.

• Practices, opportunities, and challenges in local e-government project management• Seven “critical issues”

• political timing, • resource allocation, • political mandate, • distinction between administrative and political responsibilities,• coordination of departments, • dependence on providers,• use of standards

Use of IT in Strategy Preparation: Portals

Feedback section

Feedback through social media