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