What kind of Evidence Influences local officials? A great example from Guatemala


Paper  by Walter Flores: “Between 2007 and up to now, we have implemented five different methods for gathering evidence:

1) Surveys of health clinics with random sampling,

2) Surveys using tracers and convenience-based sampling,

3) Life histories of the users of health services,

4) User complaints submitted via text messages,

5) Video and photography documenting service delivery problems.

Each of these methods was deployed for a period of 2-3 years and accompanied by detailed monitoring to track its effects on two outcome variables:

1) the level of community participation in planning, data collection and analysis; and

2) the responsiveness of the authorities to the evidence presented.

Our initial intervention generated evidence by surveying a random sample of health clinics—widely considered to be a highly rigorous method for collecting evidence. As the surveys were long and technically complicated, participation from the community was close to zero. Yet our expectation was that, given its scientific rigor, authorities would be responsive to the evidence we presented. The government instead used technical methodological objections as a pretext to reject the service delivery problems we identified. It was clear that such arguments were an excuse and authorities did not want to act.

Flores fig 1Our next effort was to simplify the survey and involve communities in surveying, analysis, and report writing. However, as the table shows, participation was still “minimal,” as was the responsiveness of the authorities. Many community members still struggled to participate and the authorities rejected the evidence as unreliable, again citing methodological concerns. Together with community leaders, we decided to move away from surveys altogether, so authorities could no longer use technical arguments to disregard the evidence.

For our next method, we introduced collecting life-stories of real patients and users of health services. The decision about this new method was taken together with communities. Community members were trained to identify cases of poor service delivery, interview users, and write down their experiences. These testimonies vividly described the impact of poor health services: children unable to go to school because they needed to attend to sick relatives; sick parents unable to care for young children; breadwinners unable go to work, leaving families destitute.

This type of evidence changed the meetings between community leaders and authorities considerably, shifting from arguments over data to discussing the struggles real people faced due to nonresponsive services. After a year of responding to individual life-stories, however, authorities started to treat the information presented as “isolated cases” and became less responsive.

We regrouped again with community leaders to reflect on how to further boost community participation and achieve a response from authorities. We agreed that more agile and less burdensome methods for community volunteers to collect and disseminate evidence might increase the response from authorities. After reviewing different options, we agreed to build a complaint system that allowed users to send coded text messages to an open-access platform….(More)”.

Data Activism


Special Issue of Krisis: Journal of Contemporary Philosophy: “Digital data increasingly plays a central role in contemporary politics and public life. Citizen voices are increasingly mediated by proprietary social media platforms and are shaped by algorithmic ranking and re-ordering, but data informs how states act, too. This special issue wants to shift the focus of the conversation. Non-governmental organizations, hackers, and activists of all kinds provide a myriad of ‘alternative’ interventions, interpretations, and imaginaries of what data stands for and what can be done with it.

Jonathan Gray starts off this special issue by suggesting how data can be involved in providing horizons of intelligibility and organising social and political life. Helen Kennedy’s contribution advocates for a focus on emotions and everyday lived experiences with data. Lina Dencik puts forward the notion of ‘surveillance realism’ to explore the pervasiveness of contemporary surveillance and the emergence of alternative imaginaries. Stefan Baack investigates how data are used to facilitate civic engagement. Miren Gutiérrez explores how activists can make use of data infrastructures such as databases, servers, and algorithms. Finally, Leah Horgan and Paul Dourish critically engage with the notion of data activism by looking at everyday data work in a local administration. Further, this issue features an interview with Boris Groys by Thijs Lijster, whose work Über das Neue enjoys its 25th anniversary last year. Lastly, three book reviews illuminate key aspects of datafication. Patricia de Vries reviews Metahavens’ Black Transparency; Niels van Doorn writes on Platform Capitalism by Nick Srnicek and Jan Overwijk comments on The Entrepeneurial Self by Ulrich Bröckling….(More)”.

Policy experimentation: core concepts, political dynamics, governance and impacts


Article by Dave Huitema, Andrew Jordan, Stefania Munaretto and Mikael Hildén in Policy Sciences: “In the last two decades, many areas of the social sciences have embraced an ‘experimentalist turn’. It is well known for instance that experiments are a key ingredient in the emergence of behavioral economics, but they are also increasingly popular in sociology, political science, planning, and in architecture (see McDermott 2002). It seems that the potential advantages of experiments are better appreciated today than they were in the past.

But the turn towards experimentalism is not without its critics. In her passionate plea for more experimentation in political science for instance, McDermott (2002: 42) observes how many political scientists are hesitant: they are more interested in large-scale multiple regression work, lack training in experimentation, do not see how experiments could fit into a broader research strategy, and alternative movements in political science (such as constructivists and postmodernists) consider that experimental work is not able to capture complexities and nuances. Representing some of these criticisms, Howe (2004) suggests that experimentation is being oversold and highlights various complications, especially the trade-offs that exist between internal and external validity, the fact that causal inferences can be generated using many other research methods, and the difficulty of comparing governance interventions to new medications in medicine….(More)”.

The GovLab Selected Readings on Blockchain Technologies and the Governance of Extractives


Curation by Andrew Young, Anders Pedersen, and Stefaan G. Verhulst

Readings developed together with NRGI, within the context of our joint project on Blockchain technologies and the Governance of Extractives. Thanks to Joyce Zhang and Michelle Winowatan for research support.

We need your help! Please share any additional readings on the use of Blockchain Technologies in the Extractives Sector with [email protected].  

Introduction

By providing new ways to securely identify individuals and organizations, and record transactions of various types in a distributed manner, blockchain technologies have been heralded as a new tool to address information asymmetries, establish trust and improve governance – particularly around the extraction of oil, gas and other natural resources. At the same time, blockchain technologies are been experimented with to optimize certain parts of the extractives value chain – potentially decreasing transparency and accountability while making governance harder to implement.

Across the expansive and complex extractives sector, blockchain technologies are believed to have particular potential for improving governance in three key areas:  

  • Beneficial ownership and illicit flows screening: The identity of those who benefit, through ownership, from companies that extract natural resources is often hidden – potentially contributing to tax evasion, challenges to global sanction regimes, corruption and money laundering.
  • Land registration, licensing and contracting transparency: To ensure companies extract resources responsibly and comply with rules and fee requirements, effective governance and a process to determine who has the rights to extract natural resources, under what conditions, and who is entitled to the land is essential.
  • Commodity trading and supply chain transparency: The commodity trading sector is facing substantive challenges in assessing and verifying the authenticity of for example oil trades. Costly time is spent by commodity traders reviewing documentation of often poor quality. The expectation of the sector is firstly to eliminate time spent verifying the authenticity of traded goods and secondly to reduce the risk premium on trades. Transactions from resources and commodities trades are often opaque and secretive, allowing for governments and companies to conceal how much money they receive from trading, and leading to corruption and evasion of taxation.

In the below we provide a selection of the nascent but growing literature on Blockchain Technologies and Extractives across six categories:

Selected Readings 

Blockchain Technologies and Extractives – Promise and Current Potential

Adams, Richard, Beth Kewell, Glenn Parry. “Blockchain for Good? Digital Ledger Technology and Sustainable Development Goals.” Handbook of Sustainability and Social Science Research. October 27, 2017.

  • This chapter in the Handbook of Sustainability and Social Science Research seeks to reflect and explore the different ways Blockchain for Good (B4G) projects can provide social and environmental benefits under the UN’s Sustainable Goals framework
  • The authors describe the main categories in which blockchain can achieve social impact: mining/consensus algorithms that reward good behavior, benefits linked to currency use in the form of “colored coins,” innovations in supply chain, innovations in government, enabling the sharing economy, and fostering financial inclusion.
  • The chapter concludes that with B4G there is also inevitably “Blockchain for Bad.” There is already critique and failures of DLTs such as the DAO, and more research must be done to identify whether DLTs can provide a more decentralized, egalitarian society, or if they will ultimately be another tool for control and surveillance by organizations and government.

Cullinane, Bernadette, and Randy Wilson. “Transforming the Oil and Gas Industry through Blockchain.” Official Journal of the Australian Institute of Energy News, p 9-10, December 2017.

  • In this article, Cullinane and Wilson explore blockchain’s application in the oil and gas industry “presents a particularly compelling opportunity…due to the high transactional values, associated risks and relentless pressure to reduce costs.”
  • The authors elaborate four areas where blockchain can benefit play a role in transforming the oil and gas industry:
    • Supply chain management
    • Smart contracts
    • Record management
    • Cross-border payments

Da Silva, Filipe M., and Ankita Jaitly. “Blockchain in Natural Resources: Hedging Against Volatile Prices.” Tata Consultancy Services Ltd., 2018.

  • The authors of this white paper assess the readiness of natural resources industries for blockchain technology application, identify areas where blockchain can add value, and outline a strategic plan for its adoption.
  • In particular, they highlight the potential for blockchain in the oil and gas industry to simplify payments, where for example, gas can be delivered directly to consumer homes using a blockchain smart contracting application.

Halford-Thompson, Guy. “Powered by Blockchain: Reinventing Information Management in the Energy Space.” BTL, May 12, 2017.

  • According to Halford-Thompson, “oil and gas companies are exploring blockchain’s promise to revamp inefficient internal processes and achieve significant reductions in operating costs through the automation of record keeping and messaging, the digitization of the supply chain information flow, and the elimination of reconciliation, among many other data management use cases.”
  • The data reconciliation process, for one, is complex and can require significant time for completion. Blockchain technology could not only remove the need for some steps in the information reconciliation process, but also eliminate the need for reconciliation altogether in some instances.

Blockchain Technologies and the Governance of Extractives

(See also: Selected Readings of Blockchain Technologies and its Potential to Transform Governance)

Koeppen, Mark, David Shrier, and Morgan Bazilian. “Is Blockchain’s Future in Oil and Gas Transformative Or Transient? Deloitte, 2017.

  • In this report, the authors propose four areas that blockchain can improve for the oil and gas industry, which are:
    • Transparency and compliance: Employment of blockchain is predicted to significantly reduce cost related to compliance, since it securely makes information available to all parties involved in the supply chain.
    • Cyber threats and security: The industry faces constant digital security threat and blockchain provides a solution to address this issue.
    • Mid-volume trading/third party impacts: They argue that the “boundaries between asset classes will blur as cash, energy products and other commodities, from industrial components to apples could all become digital assets trading interoperably.”
    • Smart contract: Since the “sheer size and volume of contracts and transactions to execute capital projects in oil and gas have historically caused significant reconciliation and tracking issues among contractors, sub-contractors, and suppliers,” blockchain-enabled smart contracts could improve the process by executing automatically after all requirements are met, and boosting contract efficiency and protecting each party from volatile pricing.

Mawet, Pierre, and Michael Insogna. “Unlocking the Potential of Blockchain in Oil and Gas Supply Chains.” Accenture Energy Blog, November 21, 2016.

  • The authors propose three ways blockchain technology can boost productivity and efficiency in oil and gas industry:
    • “Greater process efficiency. Smart contracts, for example, can be held in a blockchain transaction with party compliance confirmed through follow-on transactions, reducing third-party supervision and paper-based contracting, thus helping reduce cost and overhead.”
    • “Compliance. Visibility is essential to improve supply chain performance. The immutable record of transactions can aid in product traceability and asset tracking.”
    • “Data transfer from IoT sensors. Blockchain could be used to track the unique history of a device, with the distributed ledger recording data transfer from multiple sensors. Data security in devices could be safeguarded by unique blockchain characteristics.”

Som, Indranil. “Blockchain: Radically Changing the Mining Paradigm.” Digitalist, September 27, 2017.

  • In this article, Som proposes three ways that the blockchain technology can “support leaner organizations and increased security” in the mining industry: improving cybersecurity, increasing transparency through smart contracts, and providing visibility into the supply chain.

Identity: Beneficial Ownership and Illicit Flows

(See also: Selected Readings on Blockchain Technologies and Identity).

de Jong, Julia, Alexander Meyer, and Jeffrey Owens. “Using blockchain for transparent beneficial ownership registers. International Tax Review, June 2017.

  • This paper discusses the features of blockchain and distributed ledger technology that can improve collection and distribution of information on beneficial ownership.
  • The FATF and OECD Global Forum regimes have identified a number of common problems related to beneficial ownership information across all jurisdictions, including:
    • “Insufficient accuracy and accessibility of company identification and ownership information;
    • Less rigorous implementation of customer due-diligence (CDD) measures by key gatekeepers such as lawyers, accountants, and trust and company service providers; and
    • Obstacles to information sharing such as data protection and privacy laws, which impede competent authorities from receiving timely access to adequate, accurate and up-to-date information on basic legal and beneficial ownership.”
  • The authors argue that the transparency, immutability, and security offered by blockchain makes it ideally suited for record-keeping, particularly with regards to the ownership of assets. Thus, blockchain can address many of the shortcomings in the current system as identified by the FATF and the OECD.
  • They go on to suggest that a global registry of beneficial ownership using blockchain technology would offer the following benefits:
    • Ensuring real-time accuracy and verification of ownership information
    • Increasing security and control over sensitive personal and commercial information
    • Enhancing audit transparency
    • Creating the potential for globally-linked registries
    • Reducing corruption and fraud, and increasing trust
    • Reducing compliance burden for regulate entities

Herian, Robert. “Trusteeship in a Post-Trust World: Property, Trusts Law and the Blockchain.” The Open University, 2016.

  • This working paper discusses the often overlooked topic of trusteeship and trusts law and the implications of blockchain technology in the space. 
  • “Smart trusts” on the blockchain will distribute trusteeship across a network and, in theory, remove the need for continuous human intervention in trust fund investments thus resolving key issues around accountability and the potential for any breach of trust.
  • Smart trusts can also increase efficiency and security of transactions, which could improve the overall performance of the investment strategy, thereby creating higher returns for beneficiaries.

Karsten, Jack and Darrell M. West (2018): “Venezuela’s “petro” undermines other cryptocurrencies – and international sanctions.” Brookings, Friday, March 9 2018,

  • This article discusses the Venezuelan government’s cryptocurrency, “petro,” which was launched as a solution to the country’s economic crisis and near-worthless currency, “bolívar”
  • Unlike the volatility of other cryptocurrencies such as Bitcoin and Litecoin, one petro’s price is pegged to the price of one barrel of Venezuelan oil – roughly $60
  • And rather than decentralizing control like most blockchain applications, the petro is subject to arbitrary discount factor adjustment, fluctuating oil prices, and a corrupt government known for manipulating its currency
  • The authors warn the petro will not stabilize the Venezuelan economy since only foreign investors funded the presale, yet (from the White Paper) only Venezuelan citizens can use the cryptocurrency to pay taxes, fees, and other expenses. Rather, they argue, the petro represents an attempt to create foreign capital out of “thin air,” which is not subject to traditional economic sanctions.  

Land Registration, Licensing and Contracting Transparency

Michael Graglia and Christopher Mellon. “Blockchain and Property in 2018: At the End of the Beginning.” 2018 World Bank Conference on Land and Poverty, March 19-23, 2018.

  • This paper claims “blockchain makes sense for real estate” because real estate transactions depend on a number of relationships, processes, and intermediaries that must reconcile all transactions and documents for an action to occur. Blockchain and smart contracts can reduce the time and cost of transactions while ensuring secure and transparent record-keeping systems.
  • The ease, efficiency, and security of transactions can also create an “international market for small real estate” in which individuals who cannot afford an entire plot of land can invest small amounts and receive their portion of rental payments automatically through smart contracts.
  • The authors describe seven prerequisites that land registries must fulfill before blockchain can be introduced successfully: accurate data, digitized records, an identity solution, multi-sig wallets, a private or hybrid blockchain, connectivity and a tech aware population, and a trained professional community
  • To achieve the goal of an efficient and secure property registry, the authors propose an 8-level progressive framework through which registries slowly integrate blockchain due to legal complexity of land administration, resulting inertia of existing processes, and high implementation costs.  
    • Level 0 – No Integration
    • Level 1 – Blockchain Recording
    • Level 2 – Smart Workflow
    • Level 3 – Smart Escrow
    • Level 4 – Blockchain Registry
    • Level 5 – Disaggregated Rights
    • Level 6 – Fractional Rights
    • Level 7 – Peer-to-Peer Transactions
    • Level 8 – Interoperability

Thomas, Rod. “Blockchain’s Incompatibility for Use as a Land Registry: Issues of Definition, Feasibility and Risk. European Property Law Journal, vol. 6, no. 3, May 2017.

  • Thomas argues that blockchain, as it is currently understood and defined, is unsuited for the transfer of real property rights because it fails to address the need for independent verification and control.
  • Under a blockchain-based system, coin holders would be in complete control of the recordation of the title interests of their land, and thus, it would be unlikely that they would report competing or contested claims.
  • Since land remains in the public domain, the risk of third party possessory title claims are likely to occur; and over time, these risks will only increase exponentially.
  • A blockchain-based land title represents interlinking and sequential transactions over many hundreds, if not thousands, of years, so given the misinformation that would compound over time, it would be difficult to trust the current title holder has a correctly recorded title
  • The author concludes that supporters of blockchain for land registries frequently overlook a registry’s primary function to provide an independent verification of the provenance of stored data.

Vos, Jacob, Christiaan Lemmen, and Bert Beentjes. “Blockchain-Based Land Registry: Panacea, Illusion or Something In Between? 2017 World Bank Conference on Land and Poverty, March 20-24, 2017.

  • The authors propose that blockchain is best suited for the following steps in land administration:
    • The issuance of titles
    • The archiving of transactions – specifically in countries that do not have a reliable electronic system of transfer of ownership
  • The step in between issuing titles and archiving transactions is the most complex – the registration of the transaction. This step includes complex relationships between the “triple” of land administration: rights (right in rem and/or personal rights), object (spatial unit), and subject (title holder). For the most part, this step is done manually by registrars, and it is questionable whether blockchain technology, in the form of smart contracts, will be able to process these complex transactions.
  • The authors conclude that one should not underestimate the complexity of the legal system related to land administration. The standardization of processes may be the threshold to success of blockchain-based land administration. The authors suggest instead of seeking to eliminate one party from the process, technologists should cooperate with legal and geodetic professionals to create a system of checks and balances to successfully implement blockchain for land administration.  
  • This paper also outlines five blockchain-based land administration projects launched in Ghana, Honduras, Sweden, Georgia, and Cook County, Illinois.

Commodity Trading and Supply Chain Transparency

Ahmed, Shabir. “Leveraging Blockchain to Revolutionise the Mining Industry.” SAP News, February 27, 2018.

  • In this article, Ahmed identifies seven key use cases for blockchain in the mining industry:
    • Automation of ore acquisition and transfer;
    • Automatic registration of mineral rights and IP;
    • Visibility of ore inventory at ports;
    • Automatic cargo hire process;
    • Process and secure large amounts of IoT data;
    • Reconciling amount produced and sent for processing;
    • Automatically execute procurement and other contracts.

Brooks, Michael. “Blockchain and the Fight Against Illicit Financial Flows.” The Policy Corner, February 19, 2018.

  • In this article, Brooks argues that, “Because of the inherent decentralization and immutability of data within blockchains, it offers a unique opportunity to bypass traditional tracking and transparency initiatives that require strong central governance and low levels of corruption. It could, to a significant extent, bypass the persistent issues of authority and corruption by democratizing information around data consensus, rather than official channels and occasional studies based off limited and often manipulated information. Within the framework of a coherent policy initiative that integrates all relevant stakeholders (states, transnational organizations, businesses, NGOs, other monitors and oversight bodies), a international supply chains supported by blockchain would decrease the ease with which resources can be hidden, numbers altered, and trade misinvoiced.”

Conflict Free Natural Resources.” Global Opportunity Report 2017. Global Opportunity Network, 2017.

  • In this entry from the Global Opportunity Report, and specifically toward the end of ensuring conflict-free natural resources, Blockchain is labeled as “well-suited for tracking objects and transactions, making it possible for virtually anything of value to be traced. This opportunity is about creating transparency and product traceability in supply chains.

Blockchain for Traceability in Minerals and Metals Supply Chains: Opportunities and Challenges.” RCS Global and ICMM, 2017.

  • This report is based on insights generated during the Materials Stewardship Round Table on the potential of BCTs for tracking and tracing metals and minerals supply chains, which subsequently informed an RCS Global research initiative on the topic.
  • Insight into two key areas is increasingly desired by downstream manufacturing companies from upstream producers of metals and minerals: provenance and production methods
  • In particular, the report offers five key potential advantages of using Blockchain for mineral and metal supply chain activities:
    • “Builds consensus and trust around responsible production standards between downstream and upstream companies.
    • The immutability of and decentralized control over a blockchain system minimizes the risk of fraud.
    • Defined datasets can be made accessible in real time to any third party, including downstream buyers, auditors, investors, etc. but at the same time encrypted so as to share a proof of fact rather than confidential information.
    • A blockchain system can be easily scaled to include other producers and supply chains beyond those initially involved.
    • Cost reduction due to the paperless nature of a blockchain-enabled CoC [Chain of Custody] system, the potential reduction of audits, and reduction in transaction costs.”

Van Bockstael, Steve. “The emergence of conflict-free, ethical, and Fair Trade mineral supply chain certification systems: A brief introduction.” The Extractives Industries and Society, vol. 5, issue 1, January 2018.

  • This introduction to a special section considers the emerging field of “‘conflict-free’, ‘fair’ and ‘transparently sourced and traded’ minerals” in global industry supply chains.
  • Van Bockstael describes three areas of practice aimed at increasing supply chain transparency:
    • “Initiatives that explicitly try to sever the links between mining or minerals trading and armed conflict of the funding thereof.”
    • “Initiatives, limited in number yet growing, that are explicitly linked to the internationally recognized ‘Fair Trade’ movement and whose aim it is to source artisanally mined minerals for the Western jewellry industry.”
    • “Initiatives that aim to provide consumers or consumer-facing industries with more ethical, transparent and fair supply chains (often using those concepts in fuzzy and interchangeable ways) that are not linked to the established Fair Trade movement” – including, among others, initiatives using Blockchain technology “to create tamper-proof supply chains.”

Global Governance, Standards and Disclosure Practices

Lafarre, Anne and Christoph Van der Elst. “Blockchain Technology for Corporate Governance and Shareholder Activism.” European Corporate Governance Institute (ECGI) – Law Working Paper No. 390/2018, March 8, 2018.

  • This working paper focuses on the potential benefits of leveraging Blockchain during functions involving shareholder and company decision making. Lafarre and Van der Elst argue that “Blockchain technology can lower shareholder voting costs and the organization costs for companies substantially. Moreover, blockchain technology can increase the speed of decision-making, facilitate fast and efficient involvement of shareholders.”
  • The authors argue that in the field of corporate governance, Blockchain offers two important elements: “transparency – via the verifiable way of recording transactions – and trust – via the immutability of these transactions.”
  • Smart contracting, in particular, is seen as a potential avenue for facilitating the ‘agency relationship’ between board members and the shareholders they represent in corporate decision-making processes.

Myung, San Jun. “Blockchain government – a next for of infrastructure for the twenty-first century.” Journal of Open Innovation: Technology, Market, and Complexity, December 2018.

  • This paper argues the idea that Blockchain represents a new form of infrastructure that, given its core consensus mechanism, could replace existing social apparatuses including bureaucracy.
  • Indeed, Myung argues that blockchain and bureaucracy share a number of attributes:
    • “First, both of them are defined by the rules and execute predetermined rules.
    • Second, both of them work as information processing machines for society.
    • Third, both of them work as trust machines for society.”  
  • The piece concludes with five principles for replacing bureaucracy with blockchain for social organization: “1) introducing Blockchain Statute law; 2) transparent disclosure of data and source code; 3) implementing autonomous executing administration; 4) building a governance system based on direct democracy; and 5) making Distributed Autonomous Government (DAG).  

Peters, Gareth and Vishnia, Guy (2016): “Blockchain Architectures for Electronic Exchange Reporting Requirements: EMIR, Dodd Frank, MiFID I/II, MiFIR, REMIT, Reg NMS and T2S.” University College London, August 31, 2016.

  • This paper offers a solution based on blockchain architectures to the regulations of financial exchanges around the world for trade processing and reporting for execution and clearing. In particular, the authors give a detailed overview of EMIR, Dodd Frank, MiFID I/II, MiFIR, REMIT, Reg NMS and T2S.
  • The authors suggest the increasing amount of data from transaction reporting start to be incorporated on a blockchain ledger in order to harness the built-in security and immutability features of the blockchain to support key regulatory features.
  • Specifically, the authors suggest 1) a permissioned blockchain controlled by a regulator or a consortium of market participants for the maintenance of identity data from market participants and 2) blockchain frameworks such as Enigma to be used to facilitate required transparency and reporting aspects related to identities when performing pre- and post-trade reporting as well as for auditing.

Blockchain Technology and Competition Policy – Issues paper by the Secretariat,” OECD, June 8, 2018.

  • This OECD issues paper poses two key questions about how blockchain technology might increase the relevance of new disclosures practices:
    • “Should competition agencies be given permission to access blockchains? This might enable them to monitor trading prices in real-time, spot suspicious trends, and, when investigating a merger, conduct or market have immediate access to the necessary data without needing to impose burdensome information requests on parties.”
    • “Similarly, easy access to the information on a blockchain for a firm’s owners and head offices would potentially improve the effectiveness of its oversight on its own subsidiaries and foreign holdings. Competition agencies may assume such oversight already exists, but by making it easier and cheaper, a blockchain might make it more effective, which might allow for more effective centralised compliance programmes.”

Michael Pisa and Matt Juden. “Blockchain and Economic Development: Hype vs. Reality.” Center for Global Development Policy Paper, 2017.

  • In this Center for Global Development Policy Paper, the authors examine blockchain’s potential to address four major development challenges: (1) facilitating faster and cheaper international payments, (2) providing a secure digital infrastructure for verifying identity, (3) securing property rights, and (4) making aid disbursement more secure and transparent.
  • The authors conclude that while blockchain may be well suited for certain use cases, the majority of constraints in blockchain-based projects fall outside the scope of technology. Common constraints such as data collection and privacy, governance, and operational resiliency must be addressed before blockchain can be successfully implemented as a solution.

Industry-Specific Case Studies

Chohan, Usman. “Blockchain and the Extractive Industries: Cobalt Case Study,” University of New South Wales, Canberra Discussion Paper Series: Notes on the 21st Century, 2018.

  • In this discussion paper, the author studies the pilot use of blockchain in cobalt mining industry in the Democratic Republic of Congo (DRC). The project tracked the movement of cobalt from artisanal mines through its installation in devices such as smartphones and electric cars.
  • The project records cobalt attributes – weights, dates, times, images, etc. – into the digital ledger to help ensure that cobalt purchases are not contributing to forced child labor or conflict minerals. 

Chohan, Usman. “Blockchain and the Extractive Industries #2: Diamonds Case Study,” University of New South Wales, Canberra Discussion Paper Series: Notes on the 21st Century, 2018.

  • The second case study from Chohan investigates the application of blockchain technology in the extractive industry by studying Anglo-American (AAL) diamond DeBeer’s unit and Everledger’s blockchain projects. 
  • In this study, the author finds that AAL uses blockchain to track gems (carat, color, certificate numbers), starting from extraction and onwards, including when the gems change hands in trade transaction.
  • Like the cobalt pilot, the AAL initiative aims to help avoid supporting conflicts and forced labor, and to improve trading accountability and transparency more generally.

Don’t Fight Regulation. Reprogram It


Article by Alison Kutler and Antonio Sweet: “Businesspeople too often assume that the relationship between government and the private sector is (and should be) adversarial. They imagine two opposing forces, each setting their bounds of control. But if you can envision government and business as platforms that interact with one other, it becomes apparent why the word code applies to both technology and law. A successful business leader works with regulation the way a successful app developer works with another company’s operating system: testing it, providing innovative ways to get results within the system’s constraints, and offering guidance, where possible, to help make the system more efficient, more fair, and more valuable to end-users.

Like the computer language of an operating system, legal and regulatory codes follow rules designed to make them widely recognizable to those who are appropriately trained. As legislators, regulators, and other officials write that code, they seek input from stakeholders through hearings and public-comment filings on proposed rules. Policymakers rely on constituents, public filings, and response analysis the way software designers use beta testers, crash reports, and developer feedback — to debug and validate code before deploying it across the entire system.

Unfortunately, policymakers and business leaders don’t always embrace what software developers know about collaborative innovation. Think about how much less a smartphone could do if its manufacturers never worked closely with people outside of their engineering department. When only a small subset of voices are involved, the final code only reflects the needs of the most vocal groups. As a result, the unengaged are stuck with a system that doesn’t take into account their needs, or worse, disables their product.

Policymakers may also benefit by emulating the kind of interoperability that makes software effective. When enterprise systems are too different from each other, people struggle with system unfamiliarity. They also run into interoperability issues when trying to function across multiple systems. A product development team can devote massive amounts of resources to designing and building something to work perfectly in one operating system domain, only to have it slow down or completely freeze in another…(More)”.

Information to Action: Strengthening EPA Citizen Science Partnerships for Environmental Protection


Report by the National Advisory Council for Environmental Policy and Technology: “Citizen science is catalyzing collaboration; new data and information brought about by greater public participation in environmental research are helping to drive a new era of environmental protection. As the body of citizen-generated data and information in the public realm continues to grow, EPA must develop a clear strategy to lead change and encourage action beyond the collection of data. EPA should recognize the variety of opportunities that it has to act as a conduit between the public and key partners, including state, territorial, tribal and local governments; nongovernmental organizations; and leading technology groups in the private sector. The Agency should build collaborations with new partners, identify opportunities to integrate equity into all relationships, and ensure that grassroots and community-based organizations are well supported and fairly resourced in funding strategies.

Key recommendations under this theme:

  • Recommendation 1. Catalyze action from citizen science data and information by providing guidance and leveraging collaboration.
  • Recommendation 2. Build inclusive and equitable partnerships by understanding partners’ diverse concerns and needs, including prioritizing better support for grassroots and community-based partnerships in EPA grantfunding strategies.

Increase state, territorial, tribal and local government engagement with citizen science

The Agency should reach out to tribes, states, territories and local governments throughout the country to understand the best practices and strategies for encouraging and incorporating citizen science in environmental protection. For states and territories looking for ways to engage in citizen science, EPA can help design strategies that recognize the community perspectives while building capacity in state and territorial governments. Recognizing the direct Executive Summary Information to Action: Strengthening EPA Citizen Science Partnerships for Environmental Protection connection between EPA and tribes, the Agency should seek tribal input and support tribes in using citizen science for environmental priorities. EPA should help to increase awareness for citizen science and where jurisdictional efforts already exist, assist in making citizen science accessible through local government agencies. EPA should more proactively listen to the voices of local stakeholders and encourage partners to embrace a vision for citizen science to accelerate the achievement of environmental goals. As part of this approach, EPA should find ways to define and communicate the Agency’s role as a resource in helping communities achieve environmental outcomes.

Key recommendations under this theme:

  • Recommendation 3. Provide EPA support and engage states and territories to better integrate citizen science into program goals.
  • Recommendation 4. Build on the unique strengths of EPA-tribal relationships.
  • Recommendation 5. Align EPA citizen science work to the priorities of local governments.

Leverage external organizations for expertise and project level support

Collaborations between communities and other external organizations—including educational institutions, civic organizations, and community-based organizations— are accelerating the growth of citizen science. Because EPA’s direct connection with members of the public often is limited, the Agency could benefit significantly by consulting with key external organizations to leverage citizen science efforts to provide the greatest benefit for the protection of human health and the environment. EPA should look to external organizations as vital connections to communities engaged in collaboratively led scientific investigation to address community-defined questions, referred to as community citizen science. External organizations can help EPA in assessing gaps in community-driven research and help the Agency to design effective support tools and best management practices for facilitating effective environmental citizen science programs….(More)”.

Most Maps of the New Ebola Outbreak Are Wrong


Ed Kong in The Atlantic: “Almost all the maps of the outbreak zone that have thus far been released contain mistakes of this kind. Different health organizations all seem to use their own maps, most of which contain significant discrepancies. Things are roughly in the right place, but their exact positions can be off by miles, as can the boundaries between different regions.

Sinai, a cartographer at UCLA, has been working with the Ministry of Health to improve the accuracy of the Congo’s maps, and flew over on Saturday at their request. For each health zone within the outbreak region, Sinai compiled a list of the constituent villages, plotted them using the most up-to-date sources of geographical data, and drew boundaries that include these places and no others. The maps at the top of this piece show the before (left) and after (right) images….

Consider Bikoro, the health zone where the outbreak may have originated, and where most cases are found. Sinai took a list of all Bikoro’s villages, plotted them using the most up-to-date sources of geographical data, and drew a boundary that includes these places and no others. This new shape is roughly similar to the one on current maps, but with critical differences. Notably, existing maps have the village of Ikoko Impenge—one of the epicenters of the outbreak—outside the Bikoro health zone, when it actually lies within the zone.

 “These visualizations are important for communicating the reality on the ground to all levels of the health hierarchy, and to international partners who don’t know the country,” says Mathias Mossoko, the head of disease surveillance data in DRC.

“It’s really important for the outbreak response to have real and accurate data,” adds Bernice Selo, who leads the cartographic work from the Ministry of Health’s command center in Kinshasa. “You need to know exactly where the villages are, where the health facilities are, where the transport routes and waterways are. All of this helps you understand where the outbreak is, where it’s moving, how it’s moving. You can see which villages have the highest risk.”

To be clear, there’s no evidence that these problems are hampering the response to the current outbreak. It’s not like doctors are showing up in the middle of the forest, wondering why they’re in the wrong place. “Everyone on the ground knows where the health zones start and end,” says Sinai. “I don’t think this will make or break the response. But you surely want the most accurate data.”

It feels unusual to not have this information readily at hand, especially in an era when digital maps are so omnipresent and so supposedly truthful. If you search for San Francisco on Google Maps, you can be pretty sure that what comes up is actually where San Francisco is. On Google Street View, you can even walk along a beach at the other end of the world….(More)”.

But the Congo is a massive country—a quarter the size of the United States with considerably fewer resources. Until very recently, they haven’t had the resources to get accurate geolocalized data. Instead, the boundaries of the health zones and their constituent “health areas,” as well as the position of specific villages, towns, rivers, hospitals, clinics, and other landmarks, are often based on local knowledge and hand-drawn maps. Here’s an example, which I saw when I visited the National Institute for Biomedical Research in March. It does the job, but it’s clearly not to scale.

This is your office on AI


Article by Jeffrey Brown at a Special Issue of the Wilson Quarterly on AI: “The future has arrived and it’s your first day at your new job. You step across the threshold sporting a nervous smile and harboring visions of virtual handshakes and brain-computer interfaces. After all, this is one of those newfangled, modern offices that science-fiction writers have been dreaming up for ages. Then you bump up against something with a thud. No, it’s not one of the ubiquitous glass walls, but the harsh reality of an office that, at first glance, doesn’t appear much different from what you’re accustomed to. Your new colleagues shuffle between meetings clutching phones and laptops. A kitchenette stocked with stale donuts lurks in the background. And, by the way, you were fifteen minutes late because the commute is still hell.

So where is the fabled “office of the future”? After all, many of us have only ever fantasized about the ways in which technology – and especially artificial intelligence – might transform our working lives for the better. In fact, the AI-enabled office will usher in far more than next-generation desk supplies. It’s only over subsequent weeks that you come to appreciate how the office of the future feels, operates, and yes, senses. It also slowly dawns on you that work itself has changed and that what it means to be a worker has undergone a similar retrofit.

With AI already deployed in everything from the fight against ISIS to the hunt for exoplanets and your cat’s Alexa-enabled Friskies order, its application to the office should come as no surprise. As workers pretty much everywhere can attest, today’s office has issues: It can’t intuitively crack a window when your officemate decides to microwave leftover catfish. It seems to willfully disregard your noise, temperature, light, and workflow preferences. And it certainly doesn’t tell its designers – or your manager – what you are really thinking as you plop down in your annoyingly stiff chair to sip your morning cup of mud.

Now, you may be thinking to yourself, “These seem like trivial issues that can be worked out simply by chatting with another human being, so why do we even need AI in my office?” If so, read on. In your lifetime, companies and workers will channel AI to unlock new value – and immense competitive advantage….(More)”.

Conversations Gone Awry: Detecting Early Signs of Conversational Failure


Paper by Justine Zhang et al: “One of the main challenges online social systems face is the prevalence of antisocial behavior, such as harassment and personal attacks. In this work, we introduce the task of predicting from the very start of a conversation whether it will get out of hand. As opposed to detecting undesirable behavior after the fact, this task aims to enable early, actionable prediction at a time when the conversation might still be salvaged.
To this end, we develop a framework for capturing pragmatic devices—such as politeness strategies and rhetorical prompts—used to start a conversation, and analyze their relation to its future trajectory. Applying this framework in a controlled setting, we demonstrate the feasibility of detecting early warning signs of antisocial behavior in online discussions…. (More)”.

CrowdLaw Manifesto


At the Rockefeller Foundation Bellagio Center this spring, assembled participants  met to discuss CrowdLaw, namely how to use technology to improve the quality and effectiveness of law and policymaking through greater public engagement. We put together and signed 12 principles to promote the use of CrowdLaw by local legislatures and national parliaments, calling for legislatures, technologists and the public to participate in creating more open and participatory lawmaking practices. We invite you to sign the Manifesto using the form below.

Draft dated May 29, 2018

  1. To improve public trust in democratic institutions, we must improve how we govern in the 21st century.
  2. CrowdLaw is any law, policy-making or public decision-making that offers a meaningful opportunity for the public to participate in one or multiples stages of decision-making, including but not limited to the processes of problem identification, solution identification, proposal drafting, ratification, implementation or evaluation.
  3. CrowdLaw draws on innovative processes and technologies and encompasses diverse forms of engagement among elected representatives, public officials, and those they represent.
  4. When designed well, CrowdLaw may help governing institutions obtain more relevant facts and knowledge as well as more diverse perspectives, opinions and ideas to inform governing at each stage and may help the public exercise political will.
  5. When designed well, CrowdLaw may help democratic institutions build trust and the public to play a more active role in their communities and strengthen both active citizenship and democratic culture.
  6. When designed well, CrowdLaw may enable engagement that is thoughtful, inclusive, informed but also efficient, manageable and sustainable.
  7. Therefore, governing institutions at every level should experiment and iterate with CrowdLaw initiatives in order to create formal processes for diverse members of society to participate in order to improve the legitimacy of decision-making, strengthen public trust and produce better outcomes.
  8. Governing institutions at every level should encourage research and learning about CrowdLaw and its impact on individuals, on institutions and on society.
  9. The public also has a responsibility to improve our democracy by demanding and creating opportunities to engage and then actively contributing expertise, experience, data and opinions.
  10. Technologists should work collaboratively across disciplines to develop, evaluate and iterate varied, ethical and secure CrowdLaw platforms and tools, keeping in mind that different participation mechanisms will achieve different goals.
  11. Governing institutions at every level should encourage collaboration across organizations and sectors to test what works and share good practices.
  12. Governing institutions at every level should create the legal and regulatory frameworks necessary to promote CrowdLaw and better forms of public engagement and usher in a new era of more open, participatory and effective governing.

The CrowdLaw Manifesto has been signed by the following individuals and organizations:

Individuals

  • Victoria Alsina, Senior Fellow at The GovLab and Faculty Associate at Harvard Kennedy School, Harvard University
  • Marta Poblet Balcell , Associate Professor, RMIT University
  • Robert Bjarnason — President & Co-founder, Citizens Foundation; Better Reykjavik
  • Pablo Collada — Former Executive Director, Fundación Ciudadano Inteligente
  • Mukelani Dimba — Co-chair, Open Government Partnership
  • Hélène Landemore, Associate Professor of Political Science, Yale University
  • Shu-Yang Lin, re:architect & co-founder, PDIS.tw
  • José Luis Martí , Vice-Rector for Innovation and Professor of Legal Philosophy, Pompeu Fabra University
  • Jessica Musila — Executive Director, Mzalendo
  • Sabine Romon — Chief Smart City Officer — General Secretariat, Paris City Council
  • Cristiano Ferri Faría — Director, Hacker Lab, Brazilian House of Representatives
  • Nicola Forster — President and Founder, Swiss Forum on Foreign Policy
  • Raffaele Lillo — Chief Data Officer, Digital Transformation Team, Government of Italy
  • Tarik Nesh-Nash — CEO & Co-founder, GovRight; Ashoka Fellow
  • Beth Simone Noveck, Director, The GovLab and Professor at New York University Tandon School of Engineering
  • Ehud Shapiro , Professor of Computer Science and Biology, Weizmann Institute of Science

Organizations

  • Citizens Foundation, Iceland
  • Fundación Ciudadano Inteligente, Chile
  • International School for Transparency, South Africa
  • Mzalendo, Kenya
  • Smart Cities, Paris City Council, Paris, France
  • Hacker Lab, Brazilian House of Representatives, Brazil
  • Swiss Forum on Foreign Policy, Switzerland
  • Digital Transformation Team, Government of Italy, Italy
  • The Governance Lab, New York, United States
  • GovRight, Morocco
  • ICT4Dev, Morocco