Category Archives: Academic

New Paper – Mixed incentives: Adopting ICT innovations for transparency, accountability, and anti-corruption

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[Summary: critical questions to ask when planning, funding or working on ICTs for transparency and accountability]

Last year I posted some drafts of a paper I’ve been writing with Silvana Fumega at the invitation of the U4 Anti-Corruption Center, looking at the incentives for, and dynamics of, adoption of ICTs as anti-corruption tools. Last week the final paper was published in the U4 Issue series, and you can find it for download here.

In the final iteration of the paper we have sought to capture the core of the analysis in the form of a series of critical questions that funders, planners and implementers of anti-corruption ICTs can ask. These are included in the executive summary below, and elaborated more in the full paper.

Adopting ICT innovations for transparency, accountability, and anti-corruption – Executive Summary

Initiatives facilitated by information and communication technology (ICT) are playing an increasingly central role in discourses of transparency, accountability, and anti-corruption. Both advocacy and funding are being mobilised to encourage governments to adopt new technologies aimed at combating corruption. Advocates and funders need to ask critical questions about how innovations from one setting might be transferred to another, assessing how ICTs affect the flow of information, how incentives for their adoption shape implementation, and how citizen engagement and the local context affect the potential impacts of their use.

ICTs can be applied to anti-corruption efforts in many different ways. These technologies change the flow of information between governments and citizens, as well as between different actors within governments and within civil society. E?government ICTs often seek to address corruption by automating processes and restricting discretion of officials. However, many contemporary uses of ICTs place more emphasis on the concept of transparency as a key mechanism to address corruption. Here, a distinction can be made between technologies that support “upward transparency,” where the state gains greater ability to observe and hear from its citizens, or higher-up actors in the state gain greater ability to observe their subordinates, and “downward transparency,” in which “the ‘ruled’ can observe the conduct, behaviour, and/or ‘results’ of their ‘rulers’” (Heald 2006). Streamlined systems that citizens can use to report issues to government fall into the former category, while transparency portals and open data portals are examples of the latter. Transparency alone can only be a starting point for addressing corruption, however: change requires individuals, groups, and institutions who can access and respond to the information.

In any particular application of technology with anti-corruption potential, it is important to ask:

  • What is the direction of the information flow: from whom and to whom?
  • Who controls the flow of information, and at what stages?
  • Who needs to act on the information in order to address corruption?

Different incentives can drive government adoption of ICTs. The current wave of interest in ICT for anti-corruption is relatively new, and limited evidence exists to quantify the benefits that particular technologies can bring in a given context. However, this is not limiting enthusiasm for the idea that governments, particularly developing country governments, can adopt new technologies as part of open government and anti-corruption efforts. Many technologies are “sold” on the basis of multiple promised benefits, and governments respond to a range of different incentives. For example, governments may use ICTs to:

  • Improve information flow and government efficiency, creating more responsive public institutions, supporting coordination.
  • Provide open access to data to enable innovation and economic growth, responding to claims about the economic value of open data and its role as a resource for private enterprise.
  • Address principal-agent problems, allowing progressive and reformist actors within the state to better manage and regulate other parts of the state by detecting and addressing corruption through upward and downward transparency.
  • Respond to international pressure, following the trends in global conversations and pressure from donors and businesses, as well as the availability of funding for pilots and projects.
  • Respond to bottom-up pressure, both from established civil society and from an emerging global network of technology-focussed civil society actors. Governments may do this either as genuine engagement or to “domesticate” what might otherwise be seen as disruptive innovations.

In supporting ICTs for anti-corruption, advocates and donors should consider several key questions related to incentives:

  • What are the stated motivations of government for engaging with this ICT?
  • What other incentives and motivations may be underlying interest in this ICT?
  • Which incentives are strongest? Are any of the incentives in conflict?
  • Which incentives are important to securing anti-corruption outcomes from this ICT?
  • Who may be motivated to oppose or inhibit the anti-corruption applications of this ICT?

The impact of ICTs for anti-corruption is shaped by citizen engagement in a local context. Whether aimed at upward or downward transparency, the successful anti-corruption application of an ICT relies upon citizen engagement. Many factors affect which citizens can engage through technology to share reports with government or act upon information provided by government. ICTs that worked in one context might not achieve the same results in a different setting (McGee and Gaventa 2010). The following questions draw attention to key aspects of context:

  • Who has access to the relevant technologies? What barriers of connectivity, literacy, language, or culture might prevent a certain part of the population from engaging with an ICT innovation?
  • What alternative channels (SMS, offline outreach) might be required to increase the reach of this innovation?
  • How will the initiative close the feedback loop? Will citizens see visible outcomes over the short or long term that build rather than undermine trust?
  • Who are the potential intermediary groups and centralised users for ICTs that provide upward or downward transparency? Are both technical and social intermediaries present? Are they able to work together?

Towards sustainable and effective anti-corruption use of ICTs. As Strand (2010) argues, “While ICT is not a magic bullet when it comes to ensuring greater transparency and less corruption . . . it has a significant role to play as a tool in a number of important areas.” Although taking advantage of the multiple potential benefits of open data, transparency portals, or digitised communication with government can make it easier to start a project, funders and advocates should consider the incentives for ICT adoption and their likely impact on how the technology will be applied in practice. Each of the questions above is important to understanding the role a particular technology might play and the factors that affect how it is implemented and utilised in a particular country.

 

You can read the full paper here.

ICTs and Anti-Corruption: Uptake, use and impacts

[Summary: The forth section of our draft paper on ICTs and Anti-corruption looks at the evidence on uptake, use and impacts. We'd love your comments...

I’m currently posting draft sections of a report on ICTs and anti-corruption to invite comments before the final paper is written up in a few weeks time. If you’ve any comments on the draft, please do add them into the Google Doc draft or leave a note below. This forth and final section looks at uptake of anti-corruption ICTs in developing country contexts and issues concerning who uses these technologies.

4. UPTAKE, USE AND IMPACTS

Government incentives aside, it is important for advocates and funders of ICT-enabled anti-corruption activity to consider the factors that may affect the impact of these interventions in developing countries. As previously outlined, ICT-based reforms tend to focus on either transactions or transparency. Both rely upon the engagement of citizens. Citizens are crucial either to access and respond to information that is made available through transparency, or to originate and communicate to government their own experience through transactional channels. Therefore, it is important to ask what incentives and barriers citizens have for such engagement, and to explore what kinds of citizen engagement are important to the success of certain ICTs.

 

4.1 THE CITIZEN ROLE

Much of the limited evidence we do have on citizen engagement with transparency and accountability ICTs comes from cases where those tools/platforms have been deployed by civil society. Avila et. al. divide interventions into two kinds: push and pull transparency (Avila, Feigenblatt, Heacock, & Heller, 2011). In the former, citizens speak up, and communicate their experience of an issue; in the later, citizens ‘pull’ down information from an available pool and use it to act in some way. In practice, many interventions require both: citizens to access information, and citizens to act through exercising their voice and pushing issues onto the agenda (Avila, R. et al, 2009). An ICT intervention might be designed around the idea of citizens acting individually (e.g. in transactional citizen reporting channels), or around the idea of citizens acting collectively, as in the idea of that, on identifying corrupt activity through information on a transparency portal, or an open data catalogue, citizens speak out politically on the need for change. Citizen action in these cases may be direct, or mediated. In mediated cases, technical intermediaries, sometimes termed “infomediaries”, play a particularly important role in theories of change around how open data may be used by citizens (Steinberg, 2011).

 

4.2 WHICH CITIZENS?

The effort, as well as the skills, that each of these different models (push or pull; individual or collective action) demand from the citizens varies significantly across ICT interventions. Users can be passive consumers of information, accumulating it to use at some future point, such as when voting. Or, as Fung et al (2010) outline, they can be requested to act on information that they receive, drawing on a range of resources to make a change in their behaviour as a result of transparent information, for example in citizens’ reporting channel (from government or civil society) or in participatory budget exercises.

 

Differences emerge not only between the users of different models, also amongst users in each of them. The skills, resources and capacity to influence others are not the same between mass users (general public) and organized entities (such as NGOs, journalist, companies and public officials). According to Fung et. al. (2011) the interventions that aim to increase political accountability (understood as the demand over the “behaviour of political officials whose policies have more generalized effects”) generally rely upon centralized users (media, NGOs, among others) while the general public (decentralized actors) tend to be more inclined towards interventions designed to demand service accountability (ibid.). This distinction seems to present some sort of correlation with the assumption that people values information that is directly relevant to their well-being and they are interested in a few select political issues that are directly relevant to their lives.

 

Besides the incentives behind each user, there certainly is a disparity in terms of resources to disseminate the information and also regarding the capacity to channel demands through the appropriate institutional channels. Following Fung et. al. “political campaigns and candidates, for example, may be far more sensitive and responsive to the criticisms that journalists make than to the more diffuse, harder to discern views of mass voters” (Fung et al., 2011).

 

In terms of the characteristics of the mass users, there is limited analysis on the demographics of ICT-led transparency initiatives user. Some reports argue that poorer demographics are the most affected by corruption (Knox, 2009). Despite that, the analysis that does exist suggests that more educated, higher income and more technologically comfortable demographics of the population are more incline to engage with ICT-led interventions (Kuriyan, Bailur, Gigler, & Park, 2012). It is perhaps not surprising as these groups are the most likely to be online and to engage with Internet applications more frequently, as well as more likely to participate in politics. However, the implications of this for the design of technology for anti-corruption projects is offer an afterthought, rather than a key design consideration from the start. The fact that ICT-based innovations may primarily reach relatively predictable (and relatively affluent) proportions of the population (at least in the short term) may play a role in making such approaches appealing to governments who believe they can manage any input they may receive within existing institutional processes.

 

4.3 BARRIERS TO UPTAKE

According to figures on Internet penetration, in 2013 there is still a big gap in terms of users between developing and developed countries (ITU, 2013). These figures show a penetration of 70% approximately for developed countries while only a 30% for the developing ones.

 

Traditionally the digital divide has had a correlation with the difficulties to access (and use[1]) Internet connexion. Those difficulties could be related to access to old computers, high price connexions, among others. Some analysts (Gurstein, 2011) argue that some of these initiatives (open data initiatives, in particular) might present a new divide among the population. Together with the digital divide, the rapid development in ICT tools seems to add new barriers to entry.

 

Current discourses on ICT tools for transparency and accountability suggest (implicitly or sometimes explicitly) that with these new tools everybody can make use of the data and information provided as well as act upon them. However, there are numerous barriers that are not related only to the access to Internet or others technologies (digital divide) but also, as Gurstein mentioned, to the educational resources/skills which would allow for the effective use of those resources.

“…the lack of these foundational requirements means that the exciting new outcomes available from open data are available only to those who are already reasonably well provided for technologically and with other resources.” (Gurstein, 2011)

 

For the community of potential users to be able to interact with the project, they need the necessary skills to use digital technology as well as to manage, and assess information regarding public interest issues. That is, it is important to count with an ICT literate community. This is relevant for government project as well as civil society initiatives.

 “..the release of public sector information without a commensurate increase in data literacy will do little to empower the average citizen.” (Gigler, Custer, & Rahemtulla, 2011)

 

Furthermore, in developing contexts, not only ICT literacy is a key element for the success of a project but also language differences as well as the material factors such as access to low cost technologies (digital divide not only in terms of access to technology but also regarding the skills to effectively make use of those tools). As explained in the Ugandan context:

“A major constraint mentioned […] was funding shortages. This was followed by the high cost of accessing the tools, the capability to use (language and literacy) the mainly Internet or mobile based platforms.” (Kalemera, Nalwoga, & Wakabi, 2012)

 

In that sense, according to Courtney Tolmie, director at the Research for Development Institute, websites that allow reporting in the local languages, and that also receive high levels of publicity, and accept SMS texting (a much more accessible technology in many developing countries), should prove more successful (Dawson, 2012).

 

Even in the absence of some of the above-mentioned barriers, such as an ICT literacy community with an easy access to technology, there is not a guarantee of a robust citizen engagement.

“… increasing the availability of Internet based information does not necessarily mean that citizens will use it to demand greater accountability. The proportion of citizens who are prepared to be consistently engaged in the process of governance is relatively small. Even where there are high rates of Internet penetration, experience has shown that creating a good website or online portal does not guarantee its use” (Bhatnagar, 2003)

 

4.4 CONTEXT

All of the above-mentioned factors can provide insights in terms of user trends and pre-conditions for that uptake. However, when considering technological interventions it is important to consider the legal, policy and social context in which technology is introduced. In that sense, low engagement could also be a result of distrust or poor relationships with the intended users of disclosed information (government). Following Finnegan (2012) “Distrust, animosity and secrecy are commonly cited issues for technology projects working towards government accountability (Finnegan, 2012).

 

A clear example of that limitation to engage with the general public is shown by the experience of the civil society initiative, “Map Kibera”, a community-mapping project. The local mappers working on the project were originally met “with suspicion by residents, and questioned about their right to collect and record information. Some mappers were asked whether they were being paid for their work, or were asked for payment in return for the data they received” (Finnegan, 2012).

 

This poor relationship with government might be also related, among other reasons, to the frustration coming from the absence of institutional mechanisms to submit the input/demand/grievance from the community of users.

 

Even when those mechanisms are in place, the lack of a timely response (or the complete absence of feedback) can lead to apathy from the users. Clear evidence of the use of the data/input collected and their contribution in correcting and/or punishing wrongdoing could incentivize users to engage with anti-corruption ICT projects more in figure. For example, in Bangalore, Bhaskar Rao, the Transport Commissioner for the state of Karnataka, used the data collected on I Paid a Bribe to push through reforms in the motor vehicle department. As a result, and in order to avoid bribes, licenses are now applied for online (Strom, 2012), and citizens have seen an impact from their use of transactional ICTs to report corruption.

 

Anupama Dokeniya explains that “transparency policies will achieve little if the political system does not create the incentives for officials to be sanctioned when corruption is exposed, for service providers to be penalized when poor performance or absenteeism is revealed, or for safeguards or structural reforms to be adopted when evidence of systemic governance problems emerge”  (Dokeniya, 2012). The same logic can be applied to all the ICT-led projects we have surveyed. Technology just provides the tools for a greater number of citizens to access a large amount of information, but the pivotal driver of success in these initiatives are broadly the same as for any other transparency policy.

 

Furthermore, following Finnegan, in many cases, even when there is significant interest from communities of users, if the application or platform is unable to produce any change, the interest and support from those before-enthusiastic users start to fade. Conversely, when participants realize that their contribution could lead to any relevant outcome, the esteem for the tool increases (Finnegan, 2012).

 

4.5 INTERMEDIARIES

To lower those barriers (absence of an ICT literate community, lack of easy access to technology and/or high costs of accessing internet and other technologies), when a project is focused on government’s disclosure of public information (open data initiatives, transparency portals), it is important to count with the presence of intermediaries (centralized users) to amplify and simplify the disclosed data/information. To create awareness among citizens and to provide the tools for those citizens to later scrutinize, assess and hold governments accountable, intermediaries are key actors to engage users with that information, especially in political accountability initiatives as they translate the sometimes abstract ideas and data into simple messages and stories that other citizens can relate to.

 

Genuinely promoting transparency requires the hard work of doing investigative research, publishing reports, and promoting them to the media. Bubble 2.0 hype aside, the fanciest pop-up windows and Google Maps mashups won’t change that.” (Swartz, 2006)

 

Those intermediaries can be social or technical skilled groups. Some of the intermediaries may focus on creating applications to simplify the access and use of the raw data and some others may help with information distribution and citizens’ engagement to demand accountability. As previously mentioned, no every citizen is eager to engage with transparency initiatives (due to a lack of interest, skills or resources), therefore to intermediaries play a key role in the use of those provided ICT tools. The existence and capacity of technically skilled intermediaries is likely to be an important determining factor for the success of many ICT-led interventions, particularly open data interventions.

 

4.6 IMPACT

To present a clear idea about the above-mentioned questions on incentives and desired outcomes could help to the assessment of these interventions. There is no proper impact assessment without the presence of a theory of change.

 

Anecdotal evidence can be found about particular initiatives and some of the changes they produce, however, there is a lack of systematic assessments of these policies and their relationship to greater government transparency, accountability and participation in decision-making. In that sense, there are several recounts of individual initiatives but in terms of developing frameworks to assess each type of ICT initiative, there is a lack of academic research.

 

Moreover, in terms of initiatives related to the disclosure of information (transparency portals and Open Data Initiatives) the idea of counting visits to a website and/or the number of ‘downloads” of certain datasets or documents cannot be presented as indicators of usage, and much less, of impact of any of these policies. In many cases, these initiatives are compared to one another in terms of number of published documents and datasets as well as number of visits. However, these numbers could lead to wrong results, or partial ones at its best.

 

 

References

 

Avila, R., Feigenblatt, H., Heacock, R., & Heller, N. (2011). Global mapping of technology for transparency and accountability: New technologies.

Bhatnagar, S. (2003). E-government and access to information. In Global Corruption Report (pp. 24–32).

Dawson, S. (2012). Citizens wield web tools to combat petty bribery. Thomson Reuters Foundation.

Dimaggio, P., & Hargittai, E. (2001). From the “Digital Divide” to “Digital Inequality”: Studying Internet Use as Penetration Increases.

Dokeniya, A. (2012). #6 from 2012: Opening Government Data. But Why? People, Spaces, Deliberation World Bank Blog. Retrieved from http://blogs.worldbank.org/publicsphere/opening-government-data-why

Finnegan, S. (2012). Using technology for collaborative transparency?: Risks and opportunities. In GIS Watch 2012 (Vol. 8, pp. 29–33).

Fung, A., Gilman, H. R., & Shkabatur, J. (2011). Impact case studies from middle income and developing countries New technologies.

Gigler, B.-S., Custer, S., & Rahemtulla, H. (2011). Realizing the Vision of Open Government Data: Opportunities, Challenges and Pitfalls (Abridged Version).

Gurstein, M. (2011). Open data: Empowering the empowered or effective data use for everyone? First Monday, 16(2).

ITU. (2013). ICT Facts and Figures – The World in 2013.

Kalemera, A., Nalwoga, L., & Wakabi, W. (2012). How ICT tools are promoting citizen participation in Uganda.

Knox, C. (2009). Dealing with sectoral corruption in Bangladesh: Developing citizen involvement. Public Administration and Development, 29(2), 117–132. doi:10.1002/pad.523

Kuriyan, R., Bailur, S., Gigler, B.-S., & Park, K. R. (2012). Technologies for Transparency and Accountability. Washington DC.

Steinberg, T. (2011). Asking the wrong question about Data.gov. Premise (blog). Retrieved from http://steiny.typepad.com/premise/2011/04/asking-the-wrong-question-about-datagov.html

Strom, S. (2012, March 6). I Paid a Bribe and Similar Corruption-Exposing Sites Spread – NYTimes.com. New York Times. New York.

Swartz, A. (2006). Disinfecting the Sunlight Foundation. Aaron Swartz’s Raw Thoughs. Retrieved from http://www.aaronsw.com/weblog/dissunlight



[1] However, it is important that access and use are not necessarily synonymous. Some studies have shown that: “…more people have access than use it (NTIA 1998); and, second, that whereas resources drive access, demand drives intensity of use among people who have access” (Dimaggio & Hargittai, 2001)

 

Thoughts? Reflections? Add a comment on the draft by 23rd November.

ICTs and anti-corruption: exploring the incentives

[Summary: the third section from a draft U4 paper on exploring the incentives for adopting ICT innovation in the fight against corruption]

I’m currently posting draft sections of a report on ICTs and anti-corruption to invite comments before the final paper is written up in a few weeks time. If you’ve any comments on the draft, please do add them into the Google Doc draft or leave a note below. 

INCENTIVES AND ADOPTION

Although rigorous evidence for the efficacy of government-led ICTs for anti-corruption is limited (Mcgee & Gaventa, 2011) it is clear that (a) it is reasonable to expect that, well implemented and in the right context, ICTs can be an important asset in the fight against corruption; and (b) current evidence gaps concerning the role of ICT in anti-corruption are not damping enthusiasm for ICTs based anti-corruption actions by governments and civil society across the world.

By far the most common commitments made in the first round of Open Government Partnership National Action Plans were centred on e-government and open data. This provides further evidence of the extent to which transactional and transparency ICT based solutions have become a central part of the open government and anti-corruption narrative. It might also be argued that anti-corruption has also become a key part of the sales narrative for new ICTs and e-government.

The way in which ‘technology for transparency’ innovations are adopted has an impact on how effective they are likely to be, and the incentives driving adoption will inevitably shape how an innovation is applied in practice. David Heald (2006) has suggested that transparency can come in a number of forms: upwards (hierarchical relationships; when the superior can see the actions of the subordinate), downwards (when the ruled can see the behaviour/results of their rulers; agencies can see behaviour up the management chain); outwards (when agents inside an organisation can see what is happening outside it); and inwards (when those outside can observe what is happening inside the organisation). In is useful to consider for each of the different incentives that encourage a government to engage with ICTs for anti-corruption, which form of transparency it is most likely to lead to, and whether it will also enable other forms of transparency at the same time.

In the following paragraphs we consider at a broad level a range of different motivations that might drive governmental adoption of ICTs with an anti-corruption potential, with a particular focus on the incentives for developing country governments to engage. Our list is speculative, and more research is needed to fully survey and analyse the motivations and incentives driving a broad sample of developing country anti-corruption ICT adoption. This noted, amongst other reasons, governments may be motivated by:

  • An interest in the promise of e-government and open data to improve government efficiency;
  • An interest in the potential of open data as a resource for economic growth and innovation;
  • A desire to use technology to address specific principal-agent problems in the state;
  • Outside pressure from funders or the private sector, or competitive pressures to be seen to be part of a global trend;
  • Bottom-up pressure from citizens, or a desire to domesticate otherwise disruptive technologies;

These motivations are not mutually exclusive – and in many cases ICT driven open government initiatives are justified in relation to a number of these reasons at the same time. 

3.1 IMPROVING INFORMATION FLOW AND GOVERNMENT EFFICIENCY

The Open Government Partnership declaration states that it is seeking to make “governments more transparent, responsive, accountable, and effective.” The pairing of transparency with effectiveness is a common one, often based on the idea of horizontal (outwards/inwards) transparency. In other words, the use of transparency to increase the free flow of information between different agencies and partners of the state. For example, this model is evident in the International Aid Transparency Initiative (IATI) where a strong motivation for sharing structured open data is to support improved coordination and planning between different donor agencies. Vertical downward transparency (citizens of donor and recipient countries able to see where money is spent) is, to some extents, an attractive by-product of enabling more efficient exchange of data between aid agencies and governments.

Open data has particular value as a tool to break down organisational silos. Both the UK Government and World Bank have reported that many of the hits on their public-facing open data portals have been from their own staff, accessing data they, in theory, have previously had access to, but in practice had not been able to find, get hold of or use. Contrary to the design of many e-government systems, which implement layers of access control and permissions – the move towards open data allows government departments and their boundary partners (Earl, Carden, & Smutylo, 2001) of government to interact more efficiently through flows of data. Open data is also associated with processes of standardisation, often based on open standards (Fitzgerald & Pappalardo, 2009). When different departments, agencies and governments adopt common data standards then new ways of combining data across silos are facilitated – and a more competitive market for modular tools that work with the data can be stimulated, challenging patterns of vendor lock-in that can occur with large ICT systems (Dunleavy et. al., 2006; Dunleavy & Margetts, 2004).

Many contemporary arguments concerning the potential of ICTs and open data to improve government efficiency draw heavily on references to Silicon Valley start-ups and Internet firms. Projects developing ‘feedback loop’ citizen reporting channels in particular are likely to refer to examples such as ‘Trip Adviser’ where the private sector appears at first glance to have created effective information gathering from consumers. Policies that promise to bring to a country some of the glamour and success of Silicon Valley innovation can be very appealing for political leaders in both developed and developing countries alike. However, behind the talk of efficient and effective government through technology there may also lie another agenda. Bates has argued that the UK’s open data programme represents a tool of de-regulation and privatisation of public services, by making it easier for profit-seeking firms to take on roles of the state. In ‘Open Government: Collaboration, Transparency and Participation in Practice’, Tim O’Reilly (who popularised the phrase Web 2.0 to capture the interactive possibilities of the modern Web) writes about ‘Government as a Platform’, in which the state provides basic foundations on which private innovation takes place, delivering efficient and customised services to citizens (O’Reilly, 2010). Behind ‘efficiency’ incentives of certain ICT and open government processes, there may then also lie in some cases a profit motive, encouraging certain parties to ‘sell’ the benefits of opening data in ways that will enable them to enter markets for public service provision, and where the outcomes of this for levels of corruption are likely to be determined by local contextual factors.

3.2 ENABLING INNOVATION AND ECONOMIC GROWTH

A related promise that can draw governments’ attention to transparency related ICTs, and open data in particular, is the idea that government data provides a raw material for innovation and economic growth. Here, ICTs are not adopted for their anti-corruption potential, though it is possible that that can be a side-benefit, as information is made available and anti-corruption innovations are theoretically enabled alongside other profit-motivated innovation. In the main, the case that open data will bring about economic growth through stimulating new economic activity remains theoretical, rather than clearly evidenced (Dekkers, Poleman, te Velde, & de Vries, 2006; Hammell, Perricos, Branch, & Lewis, 2011; Newbery, Bently, & Pollock, 2008) although the size of the market for US Weather Data and Geo data (which have both been available openly for many years) are often cited. In discussing the potential of the Kenya Open Data Initiative, the then Permanent Secretary at the Ministry of ICT Dr Bitange N’Demo spoke of the potential of open data on trade to significantly stimulate better trading between African nations, leading to an economic boost for his region (Open Institute, 2012).

It has been argued that the existence of an economic argument for open data has helped sustain movements for open data following the global economic crisis, where a movement based only on transparency arguments would have stalled as governments cut back on spending (Weinstein & Goldstein, 2012). Regardless, it is important to explore whether the datasets relevant to stimulate economic activity are the same datasets that can support transparent and accountability government, and to pay close attention to how the envisaged uses for data will shape the ways in which it is provided. This issues has recently come to a head in the United Kingdom where the mechanism for engagement with government on open data release, the Open Data User Group has recently appointed a membership dominated by large private sector interests, rather than representatives of citizen groups.

Whilst these first two incentives have focussed primarily on open data, the following sections apply equally to all forms of transparency and transactional ICTs.

3.3 ADDRESSING PRINCIPLE-AGENT PROBLEMS

Principle-agent problems concern the challenge of one party (the principal) motivating and/or compelling some other party (the agent) to act in the interests of the principal, rather than in the agent’s self-interest (Eisenhardt, 1989). Principal-agent problems are the heart of many corruption situations (Azfar, 2002). For example, citizen (as principal) frequently struggle to get the government officials (as, in theory, the delegated agent of the citizens) to act in the citizen’s interest, rather than the official exploiting their power to act in their own interest and extract rents. Similarly, reforming officials inside government may struggle to control the action of their officials in the field. Transactional and transparency ICTs can all play a role in changing the balance of power within these principal-agent problems, and can offer reforming governments and officials a mechanism for addressing corrupt activity.

Governments are not monolithic. Corruption benefits certain actors in government, and not others. ICTs can be a resource that one area of government uses to secure the behaviour of another, through allowing parties outside of government to provide the scrutiny or political pressure needed to address an issue when government does not have the resource to provide that scrutiny for itself. For example, Brazilian officials recognised that they could not inspect whether funds sent to local government had reached every local area, but by publishing the information on funds allocated, they enabled citizens to act as an extra watchdog, helping them to detect potential corruption. Citizen reporting channels work on the same idea: by taking local officials out of the complaint or reporting process (where they may previously have simply ignored or lost reports of problems that would have affected their rent seeking) the principals in government are better able to control their agents.

This is perhaps the most positive anti-corruption incentive for ICT adoption. Reports on experiences in Georgia provide one example of corruption falling dramatically through state adoption of ICTs in this way, with a consequent increase in public and business confidence (Alam & Southworth, 2012). However, reformers cannot rely on ICT alone: political situations also need to be conducive to the use of the information that ICTs help to flow. The nature of ICTs introduced, and transparency mandates applied is also important to explore here. Transparency in one area of government can empower others in both positive and negative ways. For example, both the UK and China have sought to increase the transparency of local governments. This may increase citizen oversight of government, but it can also increase upwards transparency of the periphery to the centre, strengthening central government over and above local government in ways that may have political and policy consequences.

3.4 RESPONDING TO INTERNATIONAL PRESSURE AND FUNDING FLOWS

Doug Hadden of Freebalance has suggested that “transparency has become a competitive sport” (Hadden, 2013) with fragile states and emerging economies joining in a global race to adopt ICT-enabled transparency tools and platforms. The adoption of anti-corruption ICTs may then be seen as part of policy transfer and replication between states, supported by a strong global discourse. The current discourses around ICT enabled transparency and accountability may play a significant role in shaping the incentives of developing country governments. The availability of funding to invest in ICTs, the advocacy of global institutions such as the World Bank, and private philanthropists such as Omidyar Foundation, all combine to create an environment in which turning to technology is appealing, and comparatively likely to yield external funding as against some other kinds of reform. This may act to support progressive reformers inside governments, and may enable experimentation with ICTs as a useful tool in the anti-corruption toolbox.

However, the international discourse around technology for transparency also risks allowing a ‘fig leaf’ effect, in which, by introducing technology innovations, states can appear to be engaging with the transparency, accountability and anti-corruption agenda, whilst dodging substantive reforms. Publishing low-salience information with a large fanfare may be a good way for states to gain attention and initial credibility without actually facing high political costs, or actually addressing corruption. Similarly, in regimes with low state effectiveness, where corrupt activity isn’t captured in the data, or there are no balancing audit and reconciliation mechanisms such as exist in the Extractives Industry Transparency Initiative (EITI), then the potential credibility gain from developing a transparency initiative may outweigh the potential risks to established rent-seeking.

3.5 RESPONDING TO BOTTOM-UP PRESSURE, AND DOMESTICATING DISRUPTIVE INNOVATION

As with each of the incentives outlined, the last we will explore is two-edged. As we noted earlier, much of the ‘policy transfer’ around ICTs in anti-corruption has happened not at the level of states, but within civil society, and between networks of progressive technologists. Through ICT Hubs, online networks and global conferences, such as the Open Knowledge Foundation’s ‘OKFest’ and ‘Open Government Data Camp’ events, and with backing of philanthropists, such as investments enabling MySociety.org to internationalise their suite of citizen reporting channel tools such as Fix My Street, and supply their implementation in developing countries, independent actors and organised civil society have created ICT transparency tools in many developing countries (Avila, Feigenblatt, Heacock, & Heller, 2011). This has often supported the emergence of domestic campaigns for open data (albeit often centred on small groups of technologists). Established civil society groups, in some countries, have also called on governments to pursue transparency policies through portals and reporting channels.

Governments then may adopt ICTs in response to bottom up citizen and civil society pressure. This may take the form of delivering what citizens were seeking, in terms of access to information, data and feedback channels. It may also act to ‘domesticate’ the ‘disruptive innovations’ developed within civil society. For example, whilst civil society platforms for submitting RTI request such as Alaveteli make requests and replies public, government implemented online channels for RTI requests may offer less transparency. By providing a ‘competitor’ to the civil society platform, but one without certain ‘disruptive’ features of that outside tool, a states response to innovative ICTs may blunt their potential.

3.6 DO INCENTIVES MATTER?

In this section we have taken a fairly critical and sceptical stance towards the incentives that may drive state adoption of ICTs with an anti-corruption potential. In doing so, we do not suggest that advocates of ICT enabled open government have bad incentives. Many have the very best incentives and intents for their pursuit of technology, transparency and accountability. However, we do seek to draw attention to the presence of mixed incentives in many ICT projects, and to highlight the importance of identifying which interests and incentives are stronger in any situation. This has implications for funders in considering who they back, and how they promote ICT-related innovations, carefully managing the tensions of technologies that can have many impacts, not all of which inherently challenge corruption.

References

Alam, A., & Southworth, V. R. (2012). Fighting Corruption in Public Services Chronicling Georgia’ s Reforms. World Bank.

Avila, R., Feigenblatt, H., Heacock, R., & Heller, N. (2011). Global mapping of technology for transparency and accountability: New technologies.

Azfar, O. (2002). Disrupting Corruption. In A. Shah (Ed.), Performance Accountability and Combating Corruption (pp. 255–284). Washington, D.C.: World Bank.

Dekkers, M., Poleman, F., te Velde, R., & de Vries, M. (2006). MEPSIR Study – 2006.

Dunleavy, P., & Margetts, H. (2004). Government IT Performance and the Power of the IT Industry?: A Cross-National Analysis. In Annual Meeting of the American Political Science Association (pp. 1–42).

Dunleavy, P., Margetts, H., Bastow, S., & Tinkler, J. (2006). Digital era governance: IT corporations, the state, and E-government (p. 304). Oxford University Press, USA.

Earl, S., Carden, F., & Smutylo, T. (2001). Outcome mapping: building learning and reflection into development programmes. International Development Research Centre.

Eisenhardt, M. (1989). Agency Theory: an Assessment and Review. The Academy of Management Review, 14(1), 57–74.

Fitzgerald, A., & Pappalardo, K. (2009). Moving Towards Open Standards. In Unlocking IP (Vol. 6). New South Wales. doi:10.2966/scrip.060209.467

Hadden, D. (2013). Sustainable Public Financial Management – Top 7 Lessons Learned at FISC7. Freebalance Blog. Retrieved from http://www.freebalance.com/blog/?p=3625

Hammell, R., Perricos, C., Branch, D., & Lewis, H. (2011). Unlocking growth: How open data creates new opportunities for the UK. Growth (Lakeland). London, UK.

Heald, D. (2006). Transparency as an instrumental value (Vol. 135, p. 59).

Mcgee, R., & Gaventa, J. (2011). Shifting Power? Assessing the Impact of Transparency and Accountability Initiatives.

Newbery, D., Bently, L., & Pollock, R. (2008). Models of public sector information provision via trading funds.

O’Reilly, T. (2010). Government as a platform. In D. Lathrop & L. Ruma (Eds.), (1st ed.). O’Reilly Media.

Open Institute. (2012). Dr. Bitange Ndemo telling the Kenya Open Data Story on Vimeo. Kenya: Open Institute.

Weinstein, J., & Goldstein, J. (2012). The Benefits of a Big Tent: Opening Up Government in Developing Countries. UCLA Law Review Discourse, 38(2012), 38–48.

 

ICTs and Anti-Corruption: theory and examples

[Summary: draft section from U4 paper on exploring the incentives for adopting ICT innovation in the fight against corruption]

As mentioned a few days ago, I’ve currently got a paper online for comment which I’m working on with Silvana Fumega for the U4 anti-corruption centre. I’ll be blogging each of the sections here, and if you’ve comments on any element of it, please do drop in comments to the Google Doc draft. 

ICTS AND ANTI-CORRUPTION

Corruption involves the abuse of entrusted power for personal gain (Transparency International, 2009). Grönlund has identified a wide range of actions that can be taken with ICTs to try and combat corruption, from service automation and the creation of online and mobile phone based corruption-reporting channels to the online publication of government transparency information (Grönlund, 2010). In the diagram below we offer eight broad categories of ICTs interventions with a potential role in fighting corruption.

U4-Diagram

These different ICT interventions can be divided between transactional reforms and transparency reforms. Transactional reforms seek to reduce the space for corrupt activity by controlling and automating processes inside government, or seek to increase the detection of corruption by increasing the flow of information into existing government oversight and accountability mechanisms. Often these developments are framed as part of e-government. Transparency reforms, by contrast, focus on increasing external rather than internal control over government actors by making the actions of the state and its agents more visible to citizens, civil society and the private sector. In the diagram, categories of ICT intervention and related examples are positioned along a horizontal axis to indicate, in general, whether these initiatives have emerged as ‘citizen led’ or ‘government led’ projects, and along the vertical axis to indicate whether the focus of these activities is primarily on transactional reforms, or transparency. In practice, where any actual ICT intervention falls is a matter as much of the details of implementation as it is to do with the technology, although we find these archetypes useful to highlight the different emphasis and origins of different ICT-based approaches.

Many ICT innovations for transparency and accountability[1] have emerged from within civil society and the private sector, only later adopted by governments. In this paper our focus is specifically upon government adoption of innovations: when the government is taking the lead role in implementing some technology with an anti-corruption potential, albeit a technology that may have originally been developed elsewhere, and where similar instances of such technologies may still be deployed by groups outside government. For example, civil society groups in a number of jurisdictions have deployed the Alaveteli open source software[2] which brokers the filing of Right to Information act requests online, logging and making public requests to, and replies from, government. Some government agencies have responded by building their own direct portals for filing requests, which co-exist with the civil society run Alaveteli implementations. The question of concern for this paper is why government has chosen to adopt the innovation and provide its own RTI portals.

Although there are different theories of change underlying ICT enabled transactional and transparency reforms, the actual technologies involved can be highly inter-related. For example, digitising information about a public service as part of an e-government management process means that there is data about its performance that can be released through a data portal and subjected to public pressure and scrutiny. Without the back-office systems, no digital records are available to open (Thurston, 2012).

The connection between transactional e-government and anti-corruption has only relatively recently been explored. As Bhatnagar notes, most e-government reforms did not begin as anti-corruption measures. Instead, they were adopted for their promise to modernise government and make it more efficient (Bhatnagar, 2003). Bhatnagar explains that “…reduction of corruption opportunities has often been an incidental benefit, rather than an explicit objective of e-government”. A focus on the connection between e-government and transparency is more recent still. Kim et. al. (2009) note that “E-government’s potential to increase transparency and combat corruption in government administration is gaining popularity in communities of e-government practitioners and researchers…”, arguably as a result of increased Internet diffusion meaning that for the first time data and information from within government can, in theory, be made directly accessible to citizens through computers and mobile phones, without passing through intermediaries.

In any use of ICTs for anti-corruption, the technology itself is only one part of the picture. Legal frameworks, organisational processes, leadership and campaign strategies may all be necessary complements of digital tools in order to secure effective change. ICTs for accountability and anti-corruption have developed in a range of different sectors and in response to many different global trends. In the following paragraphs we survey in more depth the emergence and evolution of three kinds of ICTs with anti-corruption potential, looking at both the technologies and the contexts they are embedded within. 

2.1 TRANSPARENCY PORTALS

A transparency portal is a website where government agencies routinely publish defined sets of information. They are often concerned with financial information and might include details of laws and regulations alongside more dynamic information such as government debt, departmental budget allocations and government spending (Solana, 2004). They tend to have a specific focus, and are often backed by a legal mandate, or regulatory requirement, that information is published to them on an ongoing basis. National transparency portals have existed across Latin America since the early 2000s, developed by finance ministries following over 15 years investment in financial management capacity building in the region. Procurement portals have also become common, linked to efforts to make public procurement more efficient, and comply with regulations and good practice on public tenders.

More recently, a number of governments have mandated the creation of local government transparency portals, or the creation of dedicated transparency pages on local government websites. For example, in the United Kingdom, the Prime Minister requested that governments publish all public spending over £500 on their websites, whilst in the Philippines the Department of Interior and Local Government (DILG) has pushed the implementation of a Full Disclosure Policy requiring Local Government Units to post a summary of revenues collected, funds received, appropriations and disbursement of funds and procurement–related documents on their websites. The Government of the Philippines has also created an online portal to support local government units in publishing the documents demanded by the policy[3].

In focus: Peru Financial Transparency Portal A transparency portal is a website where government agencies routinely publish defined sets of information. They are often concerned with financial information and might include details of laws and regulations alongside more dynamic information such as government debt, departmental budget allocations and government spending.

Country: Peru

Responsible: Government of Peru- Ministry of Economic and Financial Affairs

Brief description: The Peruvian Government implemented a comprehensive transparency strategy in early 2000. That strategy comprised several initiatives (law on access to financial information, promotion of citizen involvement in transparency processes, among others). The Financial Transparency Portal was launched as one of the elements of that strategy. In that regard, Solanas (2003) suggests that the success of the portal is related to the existence of a comprehensive transparency strategy, in which the portal serves as a central element. The Portal (http://www.mef.gob.pe/) started to operate in 2001 and, at that time, it was praised as the most advanced in the region. Several substantial upgrades to the portal have taken place since the launch.

Current situation:

The portal presents several changes from its early days. In the beginning, the portal provided access to documents on economic and financial information. After more than a decade, it currently publishes datasets on several economic and financial topics, which are provided by each of the agencies in charge of producing or collecting the information. Those datasets are divided in 4 main modules: budget performance monitoring, implementation of investment projects, inquiry on transfers to national, local and regional governments, and domestic and external debt. The portal also includes links to request information, under the Peruvian FOI law, as well as track the status of the request.

Sources:

http://www.politikaperu.org/directorio/ficha.asp?id=355

http://www.egov4dev.org/transparency/case/laportals.shtml

http://www.worldbank.org/socialaccountability_sourcebook/Regional%20database/Case%20 studies/Latin%20America%20&%20Caribbean/TOL-V.pdf#page=71

In general, financial transparency portals have focussed on making government records available: often hosting image file version of printed, signed and scanned documents which mean that anyone wanting to analyse the information from across multiple reports must re-type it into spreadsheets or other software. Although a number of aid and budget transparency portals are linked directly to financial management systems, it is only recently that a small number of portals have started to add features giving direct access to datasets on budget and spending.

Some of the most data-centric transparency portals can be found in the International Aid field, where Aid Transparency Portals have been built on top of Aid Management Platforms used by aid-recipient governments to track their donor-funded projects and budgets. Built with funding and support from International donors, aid transparency portals such as those in Timor Leste and Nepal offer search features across a database of projects. In Nepal, donors have funded the geocoding of project information, allowing a visual map of where funding flows are going to be displayed.

Central to the hypothesis underlying the role of transparency portals in anti-corruption is the idea that citizens and civil society will demand and access information from the portals, and will use it to hold authorities to account (Solana, 2004). In many contexts whilst transparency portals have become well-established, direct demand from citizens and civil society for the information they contain remains, as Alves and Heller put it in relation to Brazil’s fiscal transparency, “frustratingly low” (in Khagram, Fung, & Renzio, 2013). However, transparency portals may also be used by the media and other intermediaries, providing an alternative more indirect theory of change in which coverage of episodes of corruption creates electoral pressures (in functioning democracies at least) against corruption. Though, Power and Taylor’s work on democracy and corruption in Brazil suggests that whilst such mechanisms can have impacts, they are often confounded in practice by other non-corruption related factors that influence voters preferences, and a wide range of contingencies, from electoral cycles to political party structures and electoral math (Power & Taylor, 2011).

2.2 OPEN DATA PORTALS

Where transparency portals focus on the publication of specific kinds of information (financial; aid; government projects etc.), open data portals act as a hub for bringing together diverse datasets published by different government departments.

Open data involves the publication of structured machine-readable data files online with explicit permission granted for anyone to re-use the data in any way. This can be contrasted with examples where transparency portals may publish scanned documents that cannot be loaded into data analysis software, or under copyright restrictions that deny citizens or businesses right to re-use the data.  Open data has risen to prominence over the last five years, spurred on by the 2009 Memorandum on Transparency and Open Government from US President Obama (Obama, 2010) which led to the creation of thedata.gov portal, bringing together US government datasets. This built on principles of Open Government Data elaborated in 2007 by a group of activists meeting in Sebastopol California, calling for government to provide data online that was complete, primary (I.e. not edited or interpreted by government before publication), timely, machine-readable, standardised and openly licensed (Malmud & O’Reilly, 2007)

In focus: Kenya Open Data Initiative (KODI) Open data involves the publication of structured machine-readable data files online with explicit permission granted for anyone to re-use the data in any way. Open data portals act as a hub for bringing together diverse datasets published by different government departments. One of those platforms is: Kenya Open Data Initiative (opendata.go.ke)

Country: Kenya

Responsible: Government of Kenya

Brief description:

Around 2008, projects from Ushahidi to M-PESA put Kenya on the map of ICT innovation. Kenyan government – in particular, then-PS Ndemo of the Ministry of Information and Communications – eager to promote and to encourage that market, started to analyze the idea of publishing government datasets for this community of ICT experts to use.  In that quest, he received support from actors outside of the government such as the World Bank, Google and Ushahidi. Adding to that context, in 2010 a new constitution, recognizing the right to access to information by citizens, was enacted in Kenya (however, a FOI law is still a pending task for the Kenyan government). On July 8 2011, President Mwai Kibaki launched the Kenya Open Data Initiative, making government datasets available to the public through a web portal: opendata.go.ke

Current situation:

Several activist and analyst are starting to write about the lack of updates and updated information of the Kenya Open Data Initiative. The portal has not been updated in several months, and its traffic has slowed down significantly.

Sources:

http://www.scribd.com/doc/75642393/Open-Data-Kenya-Long-Version

http://blog.openingparliament.org/post/63629369190/why-kenyas-open-data-portal-is-failing-and-why-it

http://www.code4kenya.org/?p=469

http://www.ict.go.ke/index.php/hot-topic/416-kenya-open-data

http://www.theguardian.com/global-development/poverty-matters/2011/jul/13/kenya-open-data-initiative

Open data portals have caught on as a policy intervention, with hundreds now online across the world, including an increasing number in developing countries. Brazil, India and Kenya all have national open government data portals, and Edo State in Nigeria recently launched one of the first sub-national open data portals on the continent, expressing a hope that it would “become a platform for improving transparency, catalyzing innovation, and enabling social and economic development”[4]. However, a number of open data portals have already turned out to be short-lived, with the Thai governments open data portal launched[5] in 2011, already defunct and offline at the time of writing.

The data hosted on open data portals varies widely: ranging from information on the locations of public services, and government service performance statistics, to public transport timetables, government budgets, and environmental monitoring data gathered by government research institutions. Not all of this data is useful for anti-corruption work: although the availability of information as structured data makes it far easier to third-parties to analyse a wide range of government datasets not traditionally associated with anti-corruption work to look for patterns and issues that might point to causes for concern. In general, theories of change around open data for anti-corruption assume that skilled intermediaries will access, interpret and work with the datasets published, as portals are generally designed with a technical audience in mind.

Data portals can act as both a catalyst of data publication, providing a focal point that encourages departments to publish data that was not otherwise available, and as an entry-point helping actors outside government to locate datasets that are available. At their best they provide a space for engagement between government and citizens, although few currently incorporate strong community features (De Cindio, 2012).

Recently, transparency and open data efforts have also started to focus on the importance of cross-cutting data standards, that can be used to link up data published in different data portals, and to solicit the publication of sectoral data. Again the aid sector has provided a lead here, with the development the International Aid Transparency Initiative (IATI) data standard, and a data portal collating all the information on aid projects published by donors to this standard[6]. New efforts are seeking to build on experiences from IATI with data standards for contracts information in the Open Contracting initiative, which not only targets information from governments, but also potentially disclosure of contract information in the private sector[7].

2.3 CITIZEN REPORTING CHANNELS

Transparency and open data portals primarily focus on the flow of information from government to citizen. Many efforts to challenge corruption require a flow of information the other way: citizens reporting instances of corruption or providing the information agents of government need to identify and address corrupt behaviour. When reports are filed on paper, or to local officials, it can be hard for central governments to ensure reports are adequately addressed. By contrast, with platforms like the E-Grievance Portal in the Indian State of Orissa[8], when reports are submitted they can be tracked, meaning that where there is will to challenge corruption, citizen reports can be better handled.

Many online channels for citizen reporting have in fact grown up outside of government. Platforms like FixMyStreet in the UK, and the many similar platforms across the world, have been launched by civil society groups frustrated at having to deal with government through seemingly antiquated paper processes. FixMyStreet allows citizens to point out on a map where civil infrastructure requires fixing and forward the citizen reports to the relevant level of government. Government agents are invited to report back to the site when the issue is fixed, giving a trackable and transparent record of government responsiveness. In some areas, governments have responded to these platforms by building their own alternative citizen reporting channels, though often without the transparency of the civil society platforms (reports simply go to the public authority; no open tracking is provided), or, in other cases, by working to integrate the civil society provided solution with their own systems.

In focus: I Paid a BribeMany online channels for citizen reporting have been developed outside of government. One of those platforms is “I Paid a Bribe”, and Indian website aimed at collating bribe’s stories and prices from citizens across the country and then use it to present a snapshot of trends in bribery.

Country: India

Responsible: Janaagraha (www.janaagraha.org) a Bangalore based not-for-profit organizatio

Brief description:

The initiative was first launched on August 15, 2010 (India’s Independence Day), and the website became fully functional a month later. I Paid a Bribe aims to understand the role of bribery in public service delivery by transforming the data collected from the reports into knowledge to inform the government about gaps in public transactions and in strengthening citizen engagement to improve the quality of service delivery. For example, in Bangalore, Bhaskar Rao, the Transport Commissioner for the state of Karnataka, used the data collected on I Paid a Bribe to push through reforms in the motor vehicle department. As a result, and in order to avoid bribes, licenses are now applied for online (Strom, 2012).

Current situation: Trying to reach a greater audience, ipaidabribe.com launched, in mid 2013, “Maine Rishwat Di”, the Hindi language version of the website: http://hindi.ipaidabribe.com/ At the same time, they launched Mobile Apps and SMS services in order to make bribe reporting easier and more accessible to citizens all across India. “I paid a Bribe” has also been replicated with partners in a number of other countries such as Pakistan, Kenya,Morocco and Greece, among others.

Sources: https://www.ipaidabribe.com/about-us

http://southasia.oneworld.net/Files/ict_facilitated_access_to_information_innovations.pdf/at_download/file

http://www.firstpost.com/india/after-reporting-bribes-now-report-rishwats-hindi-version-of-i-paid-a-bribe-launched-1022627.html

http://www.ipaidabribe.com/comment-pieces/“maine-rishwat-di”-hindi-language-version-ipaidabribecom-launched-shankar-mahadevan

Strom, Stephanie (2012) Web Sites Shine Light on Petty Bribery Worldwide. The New York Times. March 6th. Available:  http://www.nytimes.com/2012/03/07/business/web-sites-shine-light-on-petty-bribery-worldwide.html

References

Bhatnagar, S. (2003). Transparency and Corruption?: Does E-Government Help??, 1–9.

De Cindio, F. (2012, April 4). Guidelines for Designing Deliberative Digital Habitats: Learning from e-Participation for Open Data Initiatives. The Journal of Community Informatics.

Fox, J. (2007). The uncertain relationship between transparency and accountability. Development in Practice, 17(4-5), 663–671. doi:10.1080/09614520701469955

Grönlund, Å. (2010). Using ICT to combat corruption – tools, methods and results. In C. Strand (Ed.), Increasing transparency and fighting corruption through ICT: empowering people and communities (pp. 7–26). SPIDER.

Khagram, S., Fung, A., & Renzio, P. de. (2013). Open Budgets: The Political Economy of Transparency, Participation, and Accountability (p. 264). Brookings Institution Press.

Kim, S., Kim, H. J., & Lee, H. (2009). An institutional analysis of an e-government system for anti-corruption: The case of OPEN. Government Information Quarterly, 26(1), 42–50. doi:10.1016/j.giq.2008.09.002

Malmud, C., & O’Reilly, T. (2007, December). 8 Principles of Open Government Data. Retrieved June 01, 2010, from http://resource.org/8_principles.html

Obama, B. (2010). Memo from President Obama on Transparency and Open Government (in Open Government: Collaboration, Transparency and Participation in Practice. In D. Lathrop & L. Ruma (Eds.), .

Power, T. J., & Taylor, M. M. (2011). Corruption and Democracy in Brazil: The struggle for accountability. University of Notre Dame.

Solana, M. (2004). Transparency Portals: Delivering public financial information to Citizens in Latin America. In K. Bain, I. Franka Braun, N. John-Abraham, & M. Peñuela (Eds.), Thinking Out Loud V: Innovative Case Studies on Participatory Instruments (pp. 71–80). World Bank.

Thurston, A. C. (2012). Trustworthy Records and Open Data. The Journal of Community Informatics, 8(2).

Transparency International. (2009). The Anti-Corruption Plain Language Guide.


[1] It is important to clarify that transparency does not necessarily lead to accountability. Transparency, understood as the disclosure of information that sheds light on institutional behavior, can be also defined as answerability. However, accountability (or “hard accountability” according to Fox, 2007) not only implies answerability but also the possibility of sanctions (Fox, 2007).

[2] http://www.alaveteli.org/about/where-has-alaveteli-been-installed/

[4] http://data.edostate.gov.ng/ Accessed 10th October 2013

[8] http://cmgcorissa.gov.in

Exploring the incentives for adopting ICT innovation in the fight against corruption

[Summary: Invite for comments on a new draft report exploring incentives for ICT use in the fight against corruption]

Back in January, in response to a blog post by Doug Hadden, I wrote down a few reflections on the incentives for technology for transparency in developing countries. That led to a conversation with Silvana Fumega and the U4 Anti-Corruption Resource Centre about a possible briefing note on the topic, which quickly turned into a full paper – designed to scope out issues for donors and governments to consider in looking at supporting ICT-based anti-corruption efforts, particularly in developing countries. Together with Silvana, I’ve been working on a draft over the last few months – and we’ve just placed a copy online for comments.

I’ll be blogging sections of the draft over the coming week, and you can find the full draft as a Google Document with comments enabled (until 18th November 2013) here.

Here’s the introduction, setting out the focus of the paper:

Information and Communication Technology (ICT) driven initiatives are playing an increasingly central role in discourses of transparency, accountability and anti-corruption. The Internet and mobile phones are widely hailed as powerful tools in the fight against corruption. From mobile phone based corruption crowd-sourcing platforms, to open government data portals providing citizens with access to state datasets, technology-centric interventions are increasingly attracting both political attention and donor funding flows. The Open Government Partnership (OGP) declaration, launched in 2011, commits the 60 OGP member states to “…seizing this moment to strengthen our commitments to promote transparency, fight corruption, empower citizens, and harness the power of new technologies to make government more effective and accountable” (Open Government Partnership, 2011). In an analysis of the first action plans published by OGP members (Global Integrity, 2012), e-government and open data related commitments were markedly the most common made, illustrating the prominence given to ICTs in creating more open and accountable government.

However, the ‘sales pitch’ for governments to adopt ICTs is far broader than their anti-corruption applications, and the fact that a government adopts some particular technology innovation does not necessarily mean that its potential corruption-reducing role will be realised. Criticisms have already been levelled at open data portals that give an initial appearance of government transparency, whilst either omitting any politically sensitive content, or remaining, in practice, inaccessible to the vast majority of the population; and there are numerous examples to be found of crowd-sourcing platforms designed to source citizen feedback on public services, or corruption reports, languishing with just a handful of reports, or no submissions made for months on end (Bailard et. al., 2012; Brown, 2013) Yet, as Strand argues, “while ICT is not a magic bullet when it comes to ensuring greater transparency and less corruption…it has a significant role to play as a tool in a number of important areas” (Strand, 2010). The challenge is neither to suppose that ICTs will inevitably drive positive change, nor to ignore them as merely high-tech distractions. Rather, there is a need to look in detail at the motivations for ICT adoption, and the context in which ICTs are being deployed, seeking to understand the ways in which strategic and sustainable investments can be made that promote the integrity of public services, and the capacity of officials, citizens and other stakeholders to secure effective and accountable governments.

In this issue paper we consider the reasons that may lead governments to adopt anti-corruption related ICT innovations, and we look at the evidence on how the uptake and use of these ICTs may affect their impacts. In doing so, we draw upon literature from a range of fields, including open government, transparency and anti-corruption, e-government and technology for transparency, and we draw in speculation from our observations of the open government field over the last five years. To ground our argument, we offer a range of illustrative case studies that show some of the different kinds of ICT interventions that governments are engaging with.

Comments? Questions? Add your notes on the Google Doc version of this draft here.

References

Bailard, C., Baker, R., Hindman, M., Livingston, S., & Meier, P. (2012). Mapping the Maps: A meta-level analysis of Ushahidi and Crowdmap.

Brown, G. (2013). Why Kenya’s open data portal is failing — and why it can still succeed | Opening Parliament Blog Post. Retrieved from http://blog.openingparliament.org/post/63629369190/why-kenyas-open-data-portal-is-failing-and-why-it

Global Integrity. (2012). So What’s In Those OGP Action Plans, Anyway? Global Integrity Blog. Retrieved from http://globalintegrity.org/blog/whats-in-OGP-action-plans

Open Government Partnership. (2011). Open Government Declaration (pp. 1–2).

Strand, C. (2010). Introduction. In C. Strand (Ed.), Increasing transparency and fighting corruption through ICT: empowering people and communities (Vol. 8). SPIDER. doi:10.1016/0083-6656(66)90013-4

New paper: Connecting people, sharing knowledge, increasing transparency

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[Summary: Linking to a short conference paper exploring the impact of the web on land governance]

After a few contributions I made to their online dialogue, the lovely folk at The Land Portal invited me to help them writing up the dialogue and putting together a paper for the upcoming World Bank Conference on Land and Poverty. They’ve just published the result over here (also accessible via this direct PDF link).

The paper itself was a rather rapid creation between the end of the online dialogue and the end of February deadline, but aims to weave together a number of strands important to thinking about how digital technology is changing the landscape for advocacy and work on land governance. It has a particular focus on women’s land rights, which, in the Land Portal’s online dialogue, stimulated lots of interesting discussions about the potentially gendered nature of digital technologies. In it we survey how the Web has evolved from Web 1 (documents), to Web 2 (communities) and onwards towards a possible Web 3 of open and linked open data.

The Land Portal team, since getting involved in last years Open Knowledge Festival, have been really exploring what open data and open development might mean for them – and the Portal is definitely a space to watch to see how ideas of open development might be put into practice in the very grounded and wide-reaching field of land governance.

How might open data contribute to good governance?

[Summary: sharing an introductory article on open data and governance]

Thanks to an invite via the the great folk at CYEC, earlier this year I was asked to write a contribution for the Commonwealth Governance Handbook around emerging technology trends, so I put down a few thoughts on how open data might contribute to good governance in a Commonwealth context. The book isn’t quite out yet, but as I’m preparing for the next few days I’ll be spending at an IDRC Information and Networks workshop with lots of open access advocates, talking about open data and governance, I thought I should at least get a pre-print uploaded. So here is the PDF for download.

The article starts:

Access to information is increasingly recognised as a fundamental component of good governance. Citizens need access to information on the decision-making processes of government, and on the performance of the state to be able to hold governments to account.

And ends by saying:

Whether open data initiatives will fully live up to high expectations many have for them remains to be seen. However, it is likely that open data will come to play a part in the governance landscape across many Commonwealth countries in coming years, and indeed, could provide a much needed tool to increase the transparency of Commonwealth institutions. Good governance, pro-social and civic outcomes of open data are not inevitable, but with critical attention they can be realised?.

The bit in-between tries to provide a short introduction to open data for beginners, and to consider some of the ways open data and governance meet, drawing particular on examples from the Commonwealth.

Comments and feedback welcome.

Download paper: PDF (128Kb)

Participation, enterprise, legitimacy and power: reflections from the Dyroy Seminar

[Summary: Links and reflections from a day live-blogging with Web Scientists in North Norway]

The Dyroy context
Web Science Students (with the socks we were given on arrival to keep us warm inside the Arctic Circle)I’ve spent the last few days with a group of Web Science students in the community of Dyroy, in Northern Norway, about two hours by boat from the regional capital Tromso, and located around 69 degrees North – inside the arctic circle. Dyroy, like many rural areas, is facing a tough challenges to maintain a vibrant community as opportunities for employment draw young people away towards the cities, and as old industries and trade decline. Yet, as we heard from the Norwegian Minister for the Regions at today’s Dyroy Seminar, the area is not one to simply shrug and let decline set in – but is an area where citizens have come together to find new ways to sustain and develop the community. Although electricity only reached much of Dyroy in the 1950s, the Old Trading Post where we were staying brought a phone line into the area in the mid 1800′s, and the modern development of Dyroy relies heavily on high-speed Internet connectivity (hence the Web Science connection…).

One of the ways the community comes together is through a bi-annual conference, exploring topics of interest to the local community. This year’s seminar focussed on youth – looking at issues of youth participation, as well as exploring questions of identity and sustainable entrepreneurship and employment. As Web Science students we were present to explore how the web could be used to amplify some of the discussions from the first day of the seminar, and to build new online connections between ideas from Dryoy and the wider world. The day before the seminar, we spent time with students at the local school, running a number of workshops, including one exploring how social media could be used to campaign on key issues.

You can find a wealth of live-blogging and social reporting from the seminar here, and on the Dyroy Seminar website you will find a number of Norwegian reports about our projects. However in this post I wanted to draw out just a few reflections about some of the key youth participation themes of the last two days, in a way that I hope will be helpful both for those who took part in Dryoy, and for the wider readership of this blog.

Participation, politics and power
The room with English translation - and our social reporting hubI was hopeful that in Norway, the first county to establish a Children’s Rights Ombudsman, that when I asked a group of 13 – 15 year old students if they were aware of their right to participate under Article 12 of the UN Convention on the Rights of the Child that every hand would go up. However, translation issues aside, both in the school where we worked, and the seminar, ideas of participation did not appear to be explicitly rooted in the human rights of children and young people to have their views heard in matters that affect them. Building on a rights-based foundation is important to highlight (a) that children and young people’s participation needs to be about having an individual say, for example, in home life – as well as having a collective voice on community issues; (b) to recognise that all young people have participation rights, not just those who shout loudest or who get involved in formal structures.

Forms of participation that involve an individual expression of views can sit alongside participation in more formal politics: where debates are often concerned with the allocation of scarce resources. However, as a number of youth councillors, and young political party members debated during the seminar, it is important for young people engaged in political participation structures to be aware of the dangers of pursuing power for it’s own sake.

Structures, shared values and shared challenges
Much of the morning of the seminar involved discussion of how Norway is well on the way to having a Youth Council in every municipality, with the possibility of legislation to require Youth Council’s to be established. There was some debate over whether national requirements for youth representation would lead to an over-prescriptive set of structures, and whether instead flexibility was needed for each local area to develop it’s own youth participation approaches. The importance of handing over real power to youth fora was discussed, including mention of youth-led grant making (such as existed at scale in the UK with the, now sadly much rarer, Youth Opportunity Funds and Youth Capital Funds, and as still exists in other youth led grant making globally), or youth involvement in budgeting (or perhaps budget monitoring and advocacy, as a number of global youth participation projects are exploring).

In my experience of working on youth participation structures in the UK, when approaches are formalised it is important to recognise that there is no single structure that can support effective participation and representation, or that provides a suitable means of engagement for all young people. Rather, good participation involves a spread of interlinked approaches, from good complaint and feedback systems, through one-off-events and activities, to regular and structured representative structures. With the right design and active facilitation, online social media tools are potentially very effective to ‘bridge the gap’ between forms of one-off engagement, and more sustained engagement in local decision making.

Even with a good mix of approaches to youth participation, and many channels through which young people can get involve – without ‘shared values‘ being clearly articulated, and a wide shared understanding in the community that children and young people are equal citizens – participation of all forms risks becoming tokenism.

One of the peculiar properties of youth participation structures over other participation structures, is the relatively rapid turnover of membership. By definition, one can only be a member of a youth council for quite a short period of time compared perhaps to the main council. This leads to a need for both shared values, and participation structures, to be regularly revisited, revived and regenerated. It can also lead to a structural disadvantage for young people seeking to express their views – as they have to spend comparatively longer picking up the background knowledge needed to engage in particular debates, or may have less access to prior experience that could support them to secure the outcomes they want.

I’ve long been interested in the potential of the web to create a stronger institutional memory for youth campaigns: with social reporting and regular online reporting of youth activities generating an open record that future young participants can pick up – able to benefit from the experience of their predecessors. However, although it is often claimed that the Internet never forgets, in practice, keeping content updated and discoverable over many years turns out to be very challenging. For example, content from the Youth Council Website I developed and maintained over 10 years ago is now only available in the Internet Archive, where you would only find it if you knew where to look, and the archive of Oxford’s Social Responsible Investment campaign is scattered across a number of sites. Even if it was easy to deposit content from youth participation on the web as part of a long-term archive, we need better approaches to curate it so that future generations of youth representatives and campaigners can quickly find the intelligence they need to strengthen their hands.

Shared challenges
Having drawn on a rather oppositional idea of youth participation above: with the need to strengthen the voices of young people in contrast to those of adults, I want to step back and example whether that opposition is useful. There is a common platitude in youth participation events to talk about ‘young people as the future’. This is often met with the reply from young people that ‘we are part of the present too’, which is a very fair response. However, what concerns me more in this claim is that it often covers up an implied abdication of responsibility on the part of adults. By saying ‘we need the innovative ideas of young people to sort out future problems’, adults can be letting themselves off the hook for also being part of creating those innovative solutions. It can be a way of pushing the solving of the problem off into the future, perpetuating the generational injustice that has seen those currently in power create environmental problems, burden states with debt, and enable vastly unequal development (an accusation I target more at political leaders in the UK than Norway here).

In many cases the challenge is not to listen to the voice of youth, but to find ways for people to be involved in shared problem solving, regardless of age or background.

Entrepreneurship and legitimacy
Anders Waage Nilsen took us away from participation structures in his presentation to the seminar, highlighting how, particularly with the web, it is possible for people of all ages to self-organise, bringing an entrepreneurial spirit to problem solving. This approach, rooted in an impatience and desire to see change, suggests that young people should not wait around to have access to formal decision making power from which they can call for alternative models of economic and environmental development – but suggests that young people should use their networks to actively create the sorts of future they want.

The forms of ad-hoc social innovation enable by the web, by new practices and emerging norms of self-organising truly offer great opportunities to attack persistent social challenges, but when they become one of our primary modes of acting they also raise challenges of legitimacy. How far can, and should, communities (from local communities like Dyroy, to national communities like Norway) exercise collective self-determination over what happens amongst them? When the ability to take advantage of technologies to self-organise is not conditioned only by access to technology, but also by wider access to social and financial capital, how can a community avoid those with money and networks over-dominating the shape of local development by simply getting on with what they want to do outside of representative structures?

I’m not at all suggesting here that social innovation should be curtailed, and I would generally celebrate the forms of entrepreneurial social action Nilsen described. Yet, the most that ‘political action’ is conducted through ad-hoc actions, the more we need to find new ways to respond to it. To some extent our representative structures are about striking a balance of power, and as power shifts in the network society, we may need to develop new ways to regulate it’s legitimate exercise.

Web Science reflections: bridging with artifacts and agency
I’ve already mentioned a few ways the web might impact upon youth participation: from helping maintain an institutional memory for youth fora, to supporting new models of social action and problem solving.

In our workshop with students yesterday, we used the Social Media Game (with some extra cards made specially for this workshop), to explore how students might use the web to campaign on issues that affected them – from the poor quality of some roads, to a lack of activities, and issues relating to drugs and crime. A number of the strategies for using the web the young people put together involved strong use of online and offline channels – recognising that, for example, the support gathered on a Facebook page might need to be expressed through a letter to a politician to get their attention, or nothing that out-and-about exploration of problems with potholes could be taken online through videos and shared to raise awareness of the problem.

As we have also been exploring acting as social reporters today, bridging involves a mix of technical artifacts (tweets, blog posts, video clips and so-on), digital networks, and human connections. Understanding how these interact, and the different dynamics that affect each (from the design of content and messages, to the structure of digital networks, and the social psychology of sharing content) should be an important part of the contribution Web Science makes to thinking about participation.

Where next in a social reporting cycle?

For many of the Web Science DTC students, today was a first taste of live blogging and social reporting. Even for a single track conference, live blogging and social reporting generate a lot of content. Unlike events such as the Internet Governance Forum, where social reporting may be part of facilitating engagement in the live event, in the case of the Dyroy seminar, our social reporting has served more to amplify and create a record of the event. Working out sustainable ways to create a legacy out of this content is a challenge. For me, a first reflective blog post is a way to draw out some themes to reflect on more – that might emerge into future writing. However, with such a wealth of content generated through today – we do need to think more about how we might curate elements of it to further share ideas and debates from today’s event.

PhD and Practice

[Summary: study as part of practice]

This week was my first as a full-time PhD student with the Web Science Doctoral Training Centre and the Social Science department at Southampton University. It’s just under a year since I put in an application to start, and the start-date has pretty much fallen in one of the busiest month I’ve known: in part as I’ve tried (and failed) to sequence projects to finish before I started, and as a number of exciting events, projects and deadlines with the Internet Governance Forum, and International Aid Transparency Initiative, and Journal of Community Informatics and work on young people and technology, have all converged on the last and next few weeks.

Which makes for an interesting start to a PhD. But I hope, a positive one: with a clear reminder that I want three years of PhD not to be about three-years of stepping away from or outside of practice, looking to specialize into some narrow disciplinary structure for the purpose of a future academic careers; but to be about connecting research, theory and practice in mutually supporting ways.

I originally titled this post ‘Creating creative tension: PhD and Practice’ – as right now it feels like that is what I’m doing: setting up an interesting tension between the drivers in a number of projects to deliver some clear outcomes, and the drivers of early PhD study to spend time widening the horizons of my reading, broadening out with no outcomes yet in mind. But I’m not sure ‘in tension’ is the best way to keep practice and study over the coming years: so, time to dig out a reading list on theory, practice and praxis.

A logistical note:

Taking on a full-time PhD does mean that I’ve got limited personal capacity for new freelance projects over the coming months and I’ll be focussing on projects that overlap with my area of study on open data and civic engagement. Practical Participation more generally however continues to take on projects with Bill Badham and Alex Farrow leading on all things youth-engagement.

Call for Papers: Digital Campaigning Knowledge Exchange

One of my favourite events to be part of over the last few years has been the E-Campaigning Forum – an gathering of online campaigners convened around open space discussions. At the last two annual ECF gatherings we’ve tried to include some discussions of recent research, and, thanks to a great team coming together in 2012 we’re hoping for a full ‘knowledge exchange’ track bringing academics and practitioners together.

The call for papers is below. General registration for the E-Campaigning Forum is likely to open later in the year.

Call for Papers: Digital Campaigning Knowledge Exchange

Charities and campaigning organisations increasingly employ campaigners with digital expertise, with many developing dedicated digital campaigning teams to work on furthering social change goals. The eCampaigning Forum (ECF) has, for the last 10 years, brought together e-campaigning practitioners from across the world for an annual knowledge-sharing event. For more information see www.ecampaigningforum.com

The Digital Campaigning Knowledge Exchange will be a new element of the 2012 eCampaigning Forum (21st-22nd March, Oxford, UK), providing a parallel track of academic workshops alongside the open space discussions of the forum.

There is a wealth of academic and industry research into digital campaigning related topics, but this research rarely crosses over into practice discussions at ECF. Our aim is to foster meaningful links between researchers and practitioners, with a view to bringing relevant, informative research to digital campaigners, and connecting academics and researchers with live datasets and experience to draw upon.

Topics

Based on feedback from participants in 2011 we are inviting researchers with interests in the following areas to propose short papers to present, for discussion in a series of mixed academic and practitioner seminars throughout the event. Based on the papers submitted, three topics will be chosen.

  • The role of digital tools and communication in enhancing engagement to a cause
  • Demographics of digital mobilisation - Is e-campaigning inclusive? Which different demographics and patterns of technology use should campaigners consider?
  • Cross-country perspectives on digital campaigning - Including political and social issue campaigns. How do different national contexts compare?
  • Research methods for digital campaigners - How to collect research-ready datasets; how to employ innovative methods – including social network analysis and digital ethnography; how to combine qualitative and quantitative research methods;
  • Innovations in mobile and web technology; what do new services and approaches have to offer social change campaigns?
  • Approaches to crowd-sourcing and mobilising digital volunteers;
  • Data, data mining and ethics in digital campaigning.

We are particularly keen to have contributions that provoke debate or point to future directions for practice in digital campaigning. Specifically, we are keen to hear from academics that can provide practical suggestions for e-campaigners in additional to any theoretical or methodological insights. Poster submissions are also welcome.

The Digital Campaigning Knowledge Exchange will take place in three sessions on the 21st and 22nd March 2012. Each session will consist of 2 – 3 papers, followed by discussion. Knowledge Exchange delegates are invited to particulate fully in the eCampaigning Forum, including the open space sessions. Academic participants without papers are also welcome to apply as delegates to the eCampaigning Forum.

Academics making a presentation in the Knowledge Exchange will be eligible for a reduced fee if required. Accommodation and meals are available on site at an additional cost.

Papers can be submitted for inclusions in a short peer and practitioner-reviewed 2012 eCampaigning Forum proceedings to be produced after the event.

Research connections

E-campaigners also generate a wealth of data from e-mail metrics and campaign response rates, to social network data and supporter profiles. Space will also be dedicated at the 2012 ECF to creating connections between researchers looking for data to draw upon, and practitioners with live datasets. Discussions will explore how practice data can be made available for research, and how practitioners can draw upon research data and findings more effectively.

Call for Papers

Abstracts of between approximately 200 and 300 words should be submitted to academic@ecampaigningforum.com by the 16th September 2011. Accepted presentations will be notified during October.

Programme Committee

  • Anastasia Kavada, Senior Lecturer, Communication and Media Research Institute (CAMRI), University of Westminster
  • Janelle Ward, Assistant Professor, Department of Media and Communication, Erasmus University Rotterdam
  • Duane Raymond, Founder and Director, FairSay and eCampaigning Forum
  • Jess Day, eCampaigning writer and consultant
  • Tim Davies, Independent Researcher & Web Science PhD Student, University of Southampton