Behavioural Approaches: How Nudges Lead to More Intelligent Policy Design

Curated on Posted on by Stefaan Verhulst

Paper by Peter John, Forthcoming in Contemporary Approaches to Public Policy, edited by Philippe Zittoun and B. Guy Peters : “This paper reviews the use of behavioural ideas to improve public policy. There needs to be a behavioural take on decision-making itself so that policies are designed in more effective ways. it recounts the beginnings of behavioural sciences as currently conceived and then setting out the massive expansion of interest that has come about since that time. It reports on how such ideas have had a large impact on governments at all levels across the world, but also noting how decision-making itself has been influenced by more policy-relevant ideas. The paper discusses the paradox that the very decision-makers themselves are subject to the same biases as the objects of behavioural economics, which might imply limitations in the choices of such interventions. Here the text of the chapter reengages with the classics of decision-making theory. The chapter notes how behavioural sciences need not depend on a top down approach but can incorporate citizen voice. The paper reviews how citizens and other groups can use behavioural cues to alter the behaviour of policy-makers in socially beneficial ways. The paper discusses how behaviourally informed measures could be integrated within the policy making process in ways that advance the effective use of evidence and nudge decision to make better policies….(More)“

Selected Readings on Data Governance

Curated on Posted on by Jos Berens

Jos Berens (Centre for Innovation, Leiden University) and Stefaan G. Verhulst (GovLab)

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of data governance was originally published in 2015.

Context
The field of Data Collaboratives is premised on the idea that sharing and opening-up private sector datasets has great – and yet untapped – potential for promoting social good. At the same time, the potential of data collaboratives depends on the level of societal trust in the exchange, analysis and use of the data exchanged. Strong data governance frameworks are essential to ensure responsible data use. Without such governance regimes, the emergent data ecosystem will be hampered and the (perceived) risks will dominate the (perceived) benefits. Further, without adopting a human-centered approach to the design of data governance frameworks, including iterative prototyping and careful consideration of the experience, the responses may fail to be flexible and targeted to real needs.

Selected Readings List (in alphabetical order)

Annotated Selected Readings List (in alphabetical order)

Better Place Lab, “Privacy, Transparency and Trust.” Mozilla, 2015. Available from: http://www.betterplace-lab.org/privacy-report.

  • This report looks specifically at the risks involved in the social sector having access to datasets, and the main risks development organizations should focus on to develop a responsible data use practice.
  • Focusing on five specific countries (Brazil, China, Germany, India and Indonesia), the report displays specific country profiles, followed by a comparative analysis centering around the topics of privacy, transparency, online behavior and trust.
  • Some of the key findings mentioned are:
    • A general concern on the importance of privacy, with cultural differences influencing conception of what privacy is.
    • Cultural differences determining how transparency is perceived, and how much value is attached to achieving it.
    • To build trust, individuals need to feel a personal connection or get a personal recommendation – it is hard to build trust regarding automated processes.

Montjoye, Yves Alexandre de; Kendall, Jake and; Kerry, Cameron F. “Enabling Humanitarian Use of Mobile Phone Data.” The Brookings Institution, 2015. Available from: http://www.brookings.edu/research/papers/2014/11/12-enabling-humanitarian-use-mobile-phone-data.

  • Focussing in particular on mobile phone data, this paper explores ways of mitigating privacy harms involved in using call detail records for social good.
  • Key takeaways are the following recommendations for using data for social good:
    • Engaging companies, NGOs, researchers, privacy experts, and governments to agree on a set of best practices for new privacy-conscientious metadata sharing models.
    • Accepting that no framework for maximizing data for the public good will offer perfect protection for privacy, but there must be a balanced application of privacy concerns against the potential for social good.
    • Establishing systems and processes for recognizing trusted third-parties and systems to manage datasets, enable detailed audits, and control the use of data so as to combat the potential for data abuse and re-identification of anonymous data.
    • Simplifying the process among developing governments in regards to the collection and use of mobile phone metadata data for research and public good purposes.

Centre for Democracy and Technology, “Health Big Data in the Commercial Context.” Centre for Democracy and Technology, 2015. Available from: https://cdt.org/insight/health-big-data-in-the-commercial-context/.

  • Focusing particularly on the privacy issues related to using data generated by individuals, this paper explores the overlap in privacy questions this field has with other data uses.
  • The authors note that although the Health Insurance Portability and Accountability Act (HIPAA) has proven a successful approach in ensuring accountability for health data, most of these standards do not apply to developers of the new technologies used to collect these new data sets.
  • For non-HIPAA covered, customer facing technologies, the paper bases an alternative framework for consideration of privacy issues. The framework is based on the Fair Information Practice Principles, and three rounds of stakeholder consultations.

Center for Information Policy Leadership, “A Risk-based Approach to Privacy: Improving Effectiveness in Practice.” Centre for Information Policy Leadership, Hunton & Williams LLP, 2015. Available from: https://www.informationpolicycentre.com/uploads/5/7/1/0/57104281/white_paper_1-a_risk_based_approach_to_privacy_improving_effectiveness_in_practice.pdf.

  • This white paper is part of a project aiming to explain what is often referred to as a new, risk-based approach to privacy, and the development of a privacy risk framework and methodology.
  • With the pace of technological progress often outstripping the capabilities of privacy officers to keep up, this method aims to offer the ability to approach privacy matters in a structured way, assessing privacy implications from the perspective of possible negative impact on individuals.
  • With the intended outcomes of the project being “materials to help policy-makers and legislators to identify desired outcomes and shape rules for the future which are more effective and less burdensome”, insights from this paper might also feed into the development of innovative governance mechanisms aimed specifically at preventing individual harm.

Centre for Information Policy Leadership, “Data Governance for the Evolving Digital Market Place”, Centre for Information Policy Leadership, Hunton & Williams LLP, 2011. Available from: http://www.huntonfiles.com/files/webupload/CIPL_Centre_Accountability_Data_Governance_Paper_2011.pdf.

  • This paper argues that as a result of the proliferation of large scale data analytics, new models governing data inferred from society will shift responsibility to the side of organizations deriving and creating value from that data.
  • It is noted that, with the reality of the challenge corporations face of enabling agile and innovative data use “In exchange for increased corporate responsibility, accountability [and the governance models it mandates, ed.] allows for more flexible use of data.”
  • Proposed as a means to shift responsibility to the side of data-users, the accountability principle has been researched by a worldwide group of policymakers. Tailing the history of the accountability principle, the paper argues that it “(…) requires that companies implement programs that foster compliance with data protection principles, and be able to describe how those programs provide the required protections for individuals.”
  • The following essential elements of accountability are listed:
    • Organisation commitment to accountability and adoption of internal policies consistent with external criteria
    • Mechanisms to put privacy policies into effect, including tools, training and education
    • Systems for internal, ongoing oversight and assurance reviews and external verification
    • Transparency and mechanisms for individual participation
    • Means of remediation and external enforcement

Crawford, Kate; Schulz, Jason. “Big Data and Due Process: Toward a Framework to Redress Predictive Privacy Harm.” NYU School of Law, 2014. Available from: http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2325784&download=yes.

  • Considering the privacy implications of large-scale analysis of numerous data sources, this paper proposes the implementation of a ‘procedural data due process’ mechanism to arm data subjects against potential privacy intrusions.
  • The authors acknowledge that some privacy protection structures already know similar mechanisms. However, due to the “inherent analytical assumptions and methodological biases” of big data systems, the authors argue for a more rigorous framework.

Letouze, Emmanuel, and; Vinck, Patrick. “The Ethics and Politics of Call Data Analytics”, DataPop Alliance, 2015. Available from: http://static1.squarespace.com/static/531a2b4be4b009ca7e474c05/t/54b97f82e4b0ff9569874fe9/1421442946517/WhitePaperCDRsEthicFrameworkDec10-2014Draft-2.pdf.

  • Focusing on the use of Call Detail Records (CDRs) for social good in development contexts, this whitepaper explores both the potential of these datasets – in part by detailing recent successful efforts in the space – and political and ethical constraints to their use.
  • Drawing from the Menlo Report Ethical Principles Guiding ICT Research, the paper explores how these principles might be unpacked to inform an ethics framework for the analysis of CDRs.

Data for Development External Ethics Panel, “Report of the External Ethics Review Panel.” Orange, 2015. Available from: http://www.d4d.orange.com/fr/content/download/43823/426571/version/2/file/D4D_Challenge_DEEP_Report_IBE.pdf.

  • This report presents the findings of the external expert panel overseeing the Orange Data for Development Challenge.
  • Several types of issues faced by the panel are described, along with the various ways in which the panel dealt with those issues.

Federal Trade Commission Staff Report, “Mobile Privacy Disclosures: Building Trust Through Transparency.” Federal Trade Commission, 2013. Available from: www.ftc.gov/os/2013/02/130201mobileprivacyreport.pdf.

  • This report looks at ways to address privacy concerns regarding mobile phone data use. Specific advise is provided for the following actors:
    • Platforms, or operating systems providers
    • App developers
    • Advertising networks and other third parties
    • App developer trade associations, along with academics, usability experts and privacy researchers

Mirani, Leo. “How to use mobile phone data for good without invading anyone’s privacy.” Quartz, 2015. Available from: http://qz.com/398257/how-to-use-mobile-phone-data-for-good-without-invading-anyones-privacy/.

  • This paper considers the privacy implications of using call detail records for social good, and ways to mitigate risks of privacy intrusion.
  • Taking example of the Orange D4D challenge and the anonymization strategy that was employed there, the paper describes how classic ‘anonymization’ is often not enough. The paper then lists further measures that can be taken to ensure adequate privacy protection.

Bernholz, Lucy. “Several Examples of Digital Ethics and Proposed Practices” Stanford Ethics of Data conference, 2014, Available from: http://www.scribd.com/doc/237527226/Several-Examples-of-Digital-Ethics-and-Proposed-Practices.

  • This list of readings prepared for Stanford’s Ethics of Data conference lists some of the leading available literature regarding ethical data use.

Abrams, Martin. “A Unified Ethical Frame for Big Data Analysis.” The Information Accountability Foundation, 2014. Available from: http://www.privacyconference2014.org/media/17388/Plenary5-Martin-Abrams-Ethics-Fundamental-Rights-and-BigData.pdf.

  • Going beyond privacy, this paper discusses the following elements as central to developing a broad framework for data analysis:
    • Beneficial
    • Progressive
    • Sustainable
    • Respectful
    • Fair

Lane, Julia; Stodden, Victoria; Bender, Stefan, and; Nissenbaum, Helen, “Privacy, Big Data and the Public Good”, Cambridge University Press, 2014. Available from: http://www.dataprivacybook.org.

  • This book treats the privacy issues surrounding the use of big data for promoting the public good.
  • The questions being asked include the following:
    • What are the ethical and legal requirements for scientists and government officials seeking to serve the public good without harming individual citizens?
    • What are the rules of engagement?
    • What are the best ways to provide access while protecting confidentiality?
    • Are there reasonable mechanisms to compensate citizens for privacy loss?

Richards, Neil M, and; King, Jonathan H. “Big Data Ethics”. Wake Forest Law Review, 2014. Available from: http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2384174.

  • This paper describes the growing impact of big data analytics on society, and argues that because of this impact, a set of ethical principles to guide data use is called for.
  • The four proposed themes are: privacy, confidentiality, transparency and identity.
  • Finally, the paper discusses how big data can be integrated into society, going into multiple facets of this integration, including the law, roles of institutions and ethical principles.

OECD, “OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data”. Available from: http://www.oecd.org/sti/ieconomy/oecdguidelinesontheprotectionofprivacyandtransborderflowsofpersonaldata.htm.

  • A globally used set of principles to inform thought about handling personal data, the OECD privacy guidelines serve as one the leading standards for informing privacy policies and data governance structures.
  • The basic principles of national application are the following:
    • Collection Limitation Principle
    • Data Quality Principle
    • Purpose Specification Principle
    • Use Limitation Principle
    • Security Safeguards Principle
    • Openness Principle
    • Individual Participation Principle
    • Accountability Principle

The White House Big Data and Privacy Working Group, “Big Data: Seizing Opportunities, Preserving Values”, White House, 2015. Available from: https://www.whitehouse.gov/sites/default/files/docs/big_data_privacy_report_5.1.14_final_print.pdf.

  • Documenting the findings of the White House big data and privacy working group, this report lists i.a. the following key recommendations regarding data governance:
    • Bringing greater transparency to the data services industry
    • Stimulating international conversation on big data, with multiple stakeholders
    • With regard to educational data: ensuring data is used for the purpose it is collected for
    • Paying attention to the potential for big data to facilitate discrimination, and expanding technical understanding to stop discrimination

William Hoffman, “Pathways for Progress” World Economic Forum, 2015. Available from: http://www3.weforum.org/docs/WEFUSA_DataDrivenDevelopment_Report2015.pdf.

  • This paper treats i.a. the lack of well-defined and balanced governance mechanisms as one of the key obstacles preventing particularly corporate sector data from being shared in a controlled space.
  • An approach that balances the benefits against the risks of large scale data usage in a development context, building trust among all stake holders in the data ecosystem, is viewed as key.
  • Furthermore, this whitepaper notes that new governance models are required not just by the growing amount of data and analytical capacity, and more refined methods for analysis. The current “super-structure” of information flows between institutions is also seen as one of the key reasons to develop alternatives to the current – outdated – approaches to data governance.

Social network targeting to maximise population behaviour change: a cluster randomised controlled trial

Curated on Posted on by Stefaan Verhulst

Paper by Prof. Nicholas A Christakis et al in The Lancet: “Information and behaviour can spread through interpersonal ties. By targeting influential individuals, health interventions that harness the distributive properties of social networks could be made more effective and efficient than those that do not. Our aim was to assess which targeting methods produce the greatest cascades or spillover effects and hence maximise population-level behaviour change…..Deployment of certain types of health interventions via network targeting, without increasing the number of individuals targeted or the resources used, could enhance the adoption and efficiency of those interventions, thereby improving population health….(More)

India asks its citizens: please digitise our files

Curated on Posted on by Stefaan Verhulst

Joshua Chambers in FutureGov: “India has asked its citizens to help digitise records so that it can move away from paper processes.

Using its crowdsourcing web site MyGov, the government wrote that “we cannot talk of Digital India and transforming India into a knowledge society if most of the transactions continue to be physical.”

It is “essential” that paper records are converted into machine readable digital versions, the government added, but “the cost of such digitisation is very large and existing budgetary constraints of government and many other organisations do not allow such lavish digitisation effort.”

Consequently, the government is asking citizens for advice on how to build a cheap content management system and tools that will allow it to crowdsource records transcriptions. Citizens would be rewarded for every word that they transcribe through a points system, which can then be recouped into cash prizes.

“The proposed platform will create earning and income generation opportunities for our literate rural and urban citizens, develop digital literacy and IT skills and include them in the making of Digital India,” the government added.

The announcement also noted the importance of privacy, suggesting that documents are split so that no portion gives any clue regarded the overall content of the document.

Instead, two people will be given the same words to transcribe, and the software will compare their statements to ensure accuracy. Only successful transcription will be rewarded with points….(More)”

Facebook’s Filter Study Raises Questions About Transparency

Curated on Posted on by Stefaan Verhulst

Will Knight in MIT Technology Review: “Facebook is an enormously valuable source of information about social interactions.

Facebook’s latest scientific research, about the way it shapes the political perspectives users are exposed to, has led some academics to call for the company to be more open about what it chooses to study and publish.

This week the company’s data science team published a paper in the prominent journal Science confirming what many had long suspected: that the network’s algorithms filter out some content that might challenge a person’s political leanings. However, the paper also suggested that the effect was fairly small, and less significant than a user’s own filtering behavior (see “Facebook Says You Filter News More Than Its Algorithm Does”).
Several academics have pointed to limitations of the study, such as the fact that the only people involved had indicated their political affiliation on their Facebook page. Critics point out that those users might behave in a different way from everyone else. But beyond that, a few academics have noted a potential tension between Facebook’s desire to explore the scientific value of its data and its own corporate interests….

In response to the controversy over that study, Facebook’s chief technology officer, Mike Schroepfer, wrote a Facebook post that acknowledged people’s concerns and described new guidelines for its scientific research. “We’ve created a panel including our most senior subject-area researchers, along with people from our engineering, research, legal, privacy and policy teams, that will review projects falling within these guidelines,” he wrote….(More)

Enhancing Social Accountability Through ICT: Success Factors and Challenges

Curated on Posted on by Stefaan Verhulst

Wakabi, Wairagala and  Grönlund, Åke for the International Conference for E-Democracy and Open Government 2015: “This paper examines the state of citizen participation in public accountability processes via Information and Communication Technologies (ICT). It draws on three projects that use ICT to report public service delivery failures in Uganda, mainly in the education, public health and the roads sectors. While presenting common factors hampering meaningful use of ICT for citizens’ monitoring of public services and eParticipation in general, the paper studies the factors that enabled successful whistle blowing using toll free calling, blogging, radio talk shows, SMS texting, and e-mailing. The paper displays examples of the positive impacts of whistle-blowing mechanisms and draws up a list of success factors applicable to these projects. It also outlines common challenges and drawbacks to initiatives that use ICT to enable citizen participation in social accountability. The paper provides pathways that could give ICT-for-participation and for-accountability initiatives in countries with characteristics similar to Uganda a good chance of achieving success. While focusing on Uganda, the paper may be of practical value to policy makers, development practitioners and academics in countries with similar socio-economic standings….(More)”

A new approach to measuring the impact of open data

Curated on Posted on by Stefaan Verhulst

 at SunLight Foundation: “Strong evidence on the long-term impact of open data initiatives is incredibly scarce. The lack of compelling proof is partly due to the relative novelty of the open government field, but also to the inherent difficulties in measuring good governance and social change. We know that much of the impact of policy advocacy, for instance, occurs even before a new law or policy is introduced, and is thus incredibly difficult to evaluate. At the same time, it is also very hard to detect the causality between a direct change in the legal environment and the specific activities of a policy advocacy group. Attribution is equally challenging when it comes to assessing behavioral changes – who gets to take credit for increased political engagement and greater participation in democratic processes?

Open government projects tend to operate in an environment where the contribution of other stakeholders and initiatives is essential to achieving sustainable change, making it even more difficult to show the causality between a project’s activities and the impact it strives to achieve. Therefore, these initiatives cannot be described through simple “cause and effect” relationships, as they mostly achieve changes through their contribution to outcomes produced by a complex ecosystem of stakeholders — including journalists, think tanks, civil society organizations, public officials and many more — making it even more challenging to measure their direct impact.

We at the Sunlight Foundation wanted to tackle some of the methodological challenges of the field through building an evidence base that can empower further generalizations and advocacy efforts, as well as developing a methodological framework to unpack theories of change and to evaluate the impact of open data and digital transparency initiatives. A few weeks ago, we presented our research at the Cartagena Data Festival, and today we are happy to launch the first edition of our paper, which you can read below or on Scribd.

The outputs of this research include:

  • A searchable repository of more than 100 examples on the outputs, outcomes and impacts of open data and digital technology projects;
  • Three distinctive theories of change for open data and digital transparency initiatives from the Global South;
  • A methodological framework to help develop more robust indicators of social and political change for the ecosystem of open data initiatives, by applying and revising the Outcome Mapping approach of IDRC to the field…(You can read the study at :The Social Impact of Open Data by juliakeseru)

Nepal Aid Workers Helped by Drones, Crowdsourcing

Curated on Posted on by Stefaan Verhulst
Shirley Wang et al in the Wall Street Journal: “….It is too early to gauge the exact impact of the technology in Nepal relief efforts, which have just begun amid chaos on the ground. Aid organizations have reported hospitals are overstretched, a shortage of capacity at Katmandu’s airport is crippling aid distribution and damaged roads and the mountainous country’s difficult terrain make reaching villages difficult.

Still, technology is playing an increasing role in the global response to humanitarian crises. Within hours of Saturday’s 7.8-magnitude temblor, U.S. giants such as Google Inc. and Facebook Inc. were offering their networks for use in verifying survivors and helping worried friends and relatives locate their loved ones.

Advances in online mapping—long used to calculate distances and plot driving routes—and the ability of camera-equipped drones are playing an increasingly important role in coordinating emergency responses at ground zero of any disaster.

A community of nonprofit groups uses satellite images, private images and open-source mapping technology to remap areas affected by the earthquake. They mark damaged buildings and roads so rescuers can identify the worst-hit areas and assess how accessible different areas are. The technology complements more traditional intelligence from aircraft.

Such crowdsourced real-time mapping technologies were first used in the 2010 Haiti earthquake, according to Chris Grundy, a professor in Geographical Information Systems at the London School of Hygiene and Tropical Medicine. The technology “has been advancing a little bit every time [every situation where it is used] as we start to see what works,” said Prof. Grundy.

The American Red Cross supplied its relief team on the Wednesday night flight to Nepal from Washington, D.C. with 50 digital maps and an inch-thick pile of paper maps that help identify where the needs are. The charity has a mapping project with the British Red Cross, Doctors Without Borders and the Humanitarian OpenStreetMap Team, a crowdsourced data-sharing group.

Almost a week after the Nepal earthquake, two more people have been pulled from the rubble in Katmandu by teams of international rescuers. But hope for finding more survivors is waning. Photo: Sean McLain/The Wall Street Journal.

Mapping efforts have grown substantially since Haiti, according to Dale Kunce, head of the geographic information systems team at the American Red Cross. In the two months after the Haiti temblor, 600 mapping contributors made 1.5 million edits, while in the first 48 hours after the Nepal earthquake, 2,000 mappers had already made three million edits, Mr. Kunce said.

Some 3,400 volunteers from around the world are now inspecting images of Nepal online to identify road networks and conditions, to assess the extent of damage and pinpoint open spaces where displaced persons tend to congregate, according to Nama Budhathoki, executive director of a nonprofit technology company called Katmandu Living Labs.

His group is operating from a cramped but largely undamaged meeting room in a central-Katmandu office building to help coordinate the global effort of various mapping organizations with the needs of agencies like Doctors Without Borders and the international Red Cross community.

In recent days the Nepal Red Cross and Nepalese army have requested and been supplied with updated maps of severely damaged districts, said Dr. Budhathoki….(More)”

Global Diseases, Collective Solutions

Curated on Posted on by Stefaan Verhulst

New paper by Ben Ramalingam: “Environmental disruption, mass urbanization and the runaway globalization of trade and transport have created ideal conditions for infectious diseases to emerge and spread around the world. Rapid spill-overs from local into regional and global crises reveal major gaps in the global system for dealing with infectious diseases.

A number of Global Solution Networks have emerged that address failures of systems, of institutions and of markets. At their most ambitious, they aim to change the rules of the global health game—opening up governance structures, sharing knowledge and science, developing new products, creating markets—all with the ultimate aim of preventing and treating diseases, and saving lives.

These networks have emerged in an ad-hoc and opportunistic fashion. More strategic thinking and investment is needed to build networking competencies and to identify opportunities for international institutions to best leverage new forms of collaboration and partnership. (Read the paper here).”

Urban Data Games: creating smart citizens for smart cities

Curated on Posted on by Stefaan Verhulst

Paper by Wolff, Annika; Kortuem, Gerd and Cavero, Jose: “A bottom-up approach to smart cities places citizens in an active role of contributing, analysing and interpreting data in pursuit of tackling local urban challenges and building a more sustainable future city. This vision can only be realised if citizens have sufficient data literacy skills and experience of large, complex, messy, ever expanding data sets. Schools typically focus on teaching data handling skills using small, personally collected data sets obtained through scientific experimentation, leading to a gap between what is being taught and what will be needed as big data and analytics become more prevalent. This paper proposes an approach to teaching data literacy in the context of urban innovation tasks, using an idea of Urban Data Games. These are supported by a set of training data and resources that will be used in school trials for exploring the problems people have when dealing with large data and trialling novel approaches for teaching data literacy….(More)”