A look at the UK Open Government Partnership 2021-23 National Action Plan

[Summary: Critical reflections and comments on the context and content of the UK’s 2021-23 Open Government Partnership National Action Plan]

Screenshot of https://www.gov.uk/government/publications/uk-national-action-plan-for-open-government-2021-2023/uk-national-action-plan-for-open-government-2021-2023

If you’re in the UK, you might be excused for paying more attention to the other report released today, but around the same time as Sue Gray’s report on rule-breaking lockdown parties at Number 10 Downing Street was published, the UK’s 2021-23 Open Government Partnership National Action Plan (NAP) also surfaced on gov.uk.

I was involved in civil society aspects of developing of the UK’s 2nd and 3rd NAPs, and have written critiques of the others, so, although I’ve had minimal involvement in this NAP (I attended a few of the online engagement sessions, mainly on procurement transparency commitments, before they appeared to peter out) I thought I should try and unpack this one in the same kind of way.

By way of context, it’s a very tough time to be trying to advance the open government agenda in the UK. With Sue Gray’s report, and Prime Ministerial responses to it today, confirming the lack of integrity and the culture of dishonesty at the very centre of Number 10; just over a week after a ministerial resignation at the despatch box over government failures to manage billions of pounds of fraud during the COVID response; and on the day that government promised to pursue a post-Brexit deregulatory agenda; we have rarely faced a greater need, yet a less hospitable environment, for reforms that can strengthen checks and balances on government power, reduce space for corrupt behaviour, and bring citizens into dialogue about solving pressing environmental, social and political problems. As a key Cabinet Office civil servant notes, it’s a credit to all involved from the civil service and civil society, that the NAP was published at all in such difficult circumstances. But, although the plans’ publication shows that embers of open government are still there in Whitehall, the absence of a ministerial foreword, the lack of ambition in the plan, and the apparent lack of departmental ownership for the commitments it does contain (past plans listed the responsible stakeholder for commitments; this one does not), suggests that the status of open government in the UK, and the political will to take action on government reform within the international framework of the OGP, has fallen even further than in 2019.

When I wrote about the 2019 plan, I concluded that “The Global OGP process is doing very little to spur on UK action”. Since then, the UK has been called out and placed under review by the OGP Criteria & Standards Subcommittee in 2021 for missing action plan deadlines, and falling short of minimum requirements for public involvement in NAP development. Today’s published plan appears to admit that not enough has yet been done to rectify this, noting that:

In order to meet this criteria the government will amend and develop the initial commitment areas in NAP5 with civil society over the course of 2022.

Notably, past promises to civil society of adding to commitments to the NAP after the OGP deadline were not met (in part, if I recall correctly, because of issues with how this would interact with the OGP’s Independent Review Mechanism process), and so, with this line, civil society have a tactical choice to make: whether to engage in seeking to secure updates to the plan with assurance these will be taken forward, or whether to focus on ‘outsider’ strategies to put pressure on future UK OGP engagement. As Gavin Freeguard writes, we may be running up against the limits of “a one-size-fits-all international process that can’t possibly fit into the rhythms and rituals of UK government”. If this is so, then there is a significant challenge ahead to find any other drivers that can help secure meaningful open governance reforms in the UK: recognising that the coming years may be as much about the work of shoring up, and repair, as about securing grand new commitments.

A look at NAP5 commitments

Given the wider context, it hardly seems worth offering a critique of the individual commitments (but, erm, I ended up writing one anyway…) . It’s certainly difficult to extract any sense of a SMART (Specific, Measurable, Achievable, Realistic, Time-bound) milestone from any of them, and those that do appear to have some sort of measurable target betray a woeful lack of ambition*.

Take for example “publishing 90% of ‘above threshold’ contract awards within 90 days calendar days [of award presumably]”. Not only does that leave absolutely massive loopholes (any contract that it would be convenient not to publish could fall into the 10%; and 90-days takes disclosure of information on awards far beyond the period during which economic operators who lose out on a bid could be able to challenge a decision), but, this is more or less a commitment rolled over from the last National Action Plan. Surely, with the learning from the last few years of procurement scandals, and learning from the fact that Open Contracting commitments from the past have been poorly implemented, a credible National Action Plan would be calling for wholesale reform of procurement publication, following other OGP members who make award publication a binding part of a contract being enforceable, or invoices against it payable?

(*To be clear: I believe the vast majority of the fault for this lies with Ministers, not with the other individuals inside and outside government who have engaged in the NAP process in good faith).

Other milestones are almost comical in their framing. I’m not sure I’ve seen a sentence squeeze in quite as many caveats as the ‘commitment’ to build on the interesting but limited foundations of a draft Algorithmic Transparency ‘Data’ ‘Standard’, by working:

with internal and external stakeholders to gauge the feasibility of conducting a scoping exercise focused on mapping existing legal requirements for appeal mechanisms, for example due to administrative law, data protection law, or domain-specific legislation; with a view to sharing this information with the public. [my emphasis]

If I’m reading this right that could well be: a conversation with unspecified stakeholders to gauge whether it’s even possible to work out the scope of a mapping that then may or may not take place, may nor may not be comprehensive, and may or may not result in outputs shared with the public. Even read more charitably (let’s assume the scoping exercise involves the mapping. not just scopes it!), surely the point of the National Action Plan development process is have the conversations with internal and external stakeholders to ‘gauge the feasibility’ of an open government action taking place?

Others have commented on the backsliding in commitments to Open Justice, and I’ll leave it to those more involved at present in combatting the UK’s role in Illicit Financial Flows to comment on the limited new commitments there. However, I do want to pick up two comments on the health section in the NAP. Firstly, while inclusion of health within the NAP, as a topic much more legible in many people’s daily lives (and not only in the last two years) than topics like procurement or stolen asset recovery, is broadly welcome, the health section betrays a worrying lack of distinction between:

• Patient data;

• Health system data;

The State of Open Data: Histories and Horizon’s chapter on Health offers a useful model for thinking about this. In general, Open Government should be concerned with planning and operational data, service information, and research outputs. Where open government and personal data meet, it should be about the protection of individuals data rights: recognising elements of citizen privacy as foundational for open government.

Openness of data based on type and intended use (Source: State of Open Data - Mark Irura)
Appropriate openness/transparency of health data based on type and intended use (Source: State of Open Data – Mark Irura)

In practice, when we talk of transparency, we need to be very clear to distinguish transparency about how (personal) health data is used (generally a good thing), and transparency of (personal) health data (usually a sign that something has gone profoundly wrong with data protection!). To talk about transparency of health data without qualifiers risks messy policy making, and undermining trust in both open government and health data practices. After reading it over a few times, I *think*Objective 1: accountability and transparency’ under the health heading is about being transparent and accountable about how data is used,  but there is little room for sloppy drafting in these matters. The elision of agendas to create large health datasets (with mixed public and private-sector users), with the open government agenda, has been something civil society have had to be consistently watchful of in the history of UK NAPs, and it appears this time around is no different.

Secondly, and perhaps related, it’s not at all clear to me why a a “standards and interoperability strategy for adoption across health and adult social care” (under Health ‘Objective 2: Data standards and interoperability’) belongs in an Open Government National Action Plan. Sure, the UK health system could benefit from greater interoperability of clinical systems, and this might have an impact on patient welfare. But the drivers for this are not open government: they are patient care. And an OGP National Action Plan is going to do little to move the needle on a challenge that the health sector has been tackling for decades (I recall conversations around the dining room table with my Dad, then an NHS manager, twenty years ago, about the latest initiatives then to move towards standardised models for interoperable patient data and referrals).

It might seem hair-splitting to say that certain reforms to government fall outside the scope of open government, but for the concept to be meaningful it can’t mean all and any reform of government systems. If we were talking about ways of engaging citizens in the design process for interoperability standards, and thinking critically about the political and social impact that categorisations within health records have, we might have something worthy of an open government plan, but we don’t. Instead, we have an uncritical focus on centralising data, and a development approach that will only involve “vendors, suppliers, digital technologists, app developers and the open source community”, but not actual care-service users, or people affected by the system design*.

(*I know that in practice there are many fantastic service and technology designers around the NHS who are both critically aware of the cost and benefit tradeoffs of health system interoperability, and a personal/professional commitment to work with service users in all design work; but the absence of service-users from the text of the NAP commitment is notable.)

Lastly, the plan includes a placeholder for forthcoming commitments on “Local transparency”, to be furnished by the Department for Levelling Up, Housing and Communities (DLUHC) sometime in 2022. In past rounds of the NAP, civil society published a clear vision for the commitments they would like to see under certain headings, and the NAP has named the civil society partners working to develop and monitor commitments. Not this time around it seems. Whilst OGP colleagues in Northern Ireland have been running workshops to talk about open local government, I can’t find evidence of any conversations that might show what might fall under this heading when, or if, the current Westminster NAP evolves.

Still looking for a way forward…

As I wrote in 2019, I generally prefer my blogging (and engagement) to be constructive: but that’s not been easy recent Open Government processes in the UK. At the same time, I did leave a recent session on ‘The (Absolute) State of Open Government’ at the latest UKOpenGovCamp unconference feeling surprisingly optimistic. Whilst any political will from the Conservative government for meaningful open government is, at least at present, sorely lacking, open working cultures within some pockets of government seem to have been remarkably resilient, and even appear to have deepened over the course of the pandemic. The people of open government are still there, even if the political leadership and policies are missing in action.

All the ambitious, necessary, practical and SMART commitment ideas that didn’t make it into this NAP need to be implementation-ready for any openings for reform that may come in the volatile near-future of UK politics. Just as civil society successfully used the UK’s Chairmanship and hosting of the OGP Summit back in 2012/13 to lock in stronger open beneficial ownership data commitments, civil society needs to be ready with ideas that, while they may get no traction right now, might find an audience, moment and leverage in future – at least if we manage to protect and renew our currently fragile democratic system.

I’ve long said that the OGP should be a space for the UK to learn from other countries: forgoing ideas of UK exceptionalism, and recognising that polities across the world have grapled with the kinds of problems of populist and unaccountable leadership we’re currently facing. As I work on finalising the Global Data Barometer Report, I’ll be personally paying particular attention to the ideas and examples from colleagues across OGP civil society that are particularly relevant to learn from.

And if you are in anyway way interested in open government in the UK, even though the process right now feels rather stuck and futile, you can sign-up to the UK civil society Open Government Network mailing list to be ready to get involved in revitalising open government action in the UK when the opportunity is there (or, perhaps, when we collectively make it arise).

The lamentable State of Open Government in the UK

Yesterday the UK Government published, a year late, it’s most recent Open Government Partnership National Action Plan. It would be fair to say that civil society expectations for the plan were low, but when you look beyond the fine words to the detail of the targets set, the plan appears to  limbo under even the lowest of expectations.

For example, although the Ministerial foreword acknowledges that “The National Action Plan is set against the backdrop of innovative technology being harnessed to erode public trust in state institutions, subverting and undermining democracy, and enabling the irresponsible use of personal information.”, the furthest the plan goes in relation to these issues is a weak commitment to “maintain an open dialogue with data users and civil society to support the development of the Government’s National Data Strategy.” This commitment has supposedly been ‘ongoing’ since September 2018, yet try as I might to find any public documentation of how the government is engaging around the data strategy – I’m drawing a blank. Not to mention that there is absolutely zilch here about actually tackling the ways in which we see democracy being subverted, not only through use of technology, but also through government’s own failures to respond to concerns about the management of elections or to bring forward serious measures to tackle the illegal flow of money into party and referendum campaigning. For work on open government to be meaningful we have to take off the tech-goggles, and address the very real governance  and compliance challenges harming democracy in the UK. This plan singularly fails at that challenge.

In short, this is a plan with nothing new; with very few measurable targets that can be used to hold government to account; and with a renewed conflation of open data and open government.

Commitment 3 on Open Policy Making, to “Deliver at least 4 Open Policy Making demonstrator projects” have suspicious echoes of the 2013 commitment 16 to run “at least five ‘test and demonstrate projects’ across different policy areas.”. If central government has truly “led by example” on “increasingly citizen participation” as the introduction to this plan claims, then it seems all we are every going to get are ad-hoc examples. Evidence of any systemic action to promote engagement is entirely absent.  The recent backsliding on public engagement in the UK vividly underscored by the fact that commitment 8 includes responding by November 2019 to a 2016 consultation. Agile, iterative and open government this is not.

Commitment 6 on an ‘Innovation in Democracy Programme involves token funding to allow a few local authority areas to pilot ‘Area Democracy Forums’, based on a citizens assembly models – at the same time that the government refuses to support any sort of participatory citizen dialogue to deal with pressing issue of both Brexit and Climate Change. The contract to deliver this work has already been tendered in any case, and the only targets in the plan relate to ‘pilots delivered’ and ‘evaluation’. Meaningful targets that might track how far progress has been made in actually giving citizens power over decisions making are notably absent.

The most substantive targets can be found under commitments 4 and 5 on Open Contracting and Natural Resource Transparency (full disclosure: most of the Open Contracting targets come from draft content I wrote when a member of the UK Open Contracting Steering Group). If Government actually follows through on the commitment to “Report regularly on publication of contract documents, and extent of redactions.”, and this reporting leads to better compliance with the policy requirements to disclose contracts, there may even be something approaching transformative here. But, the plan suggests such a commitment to quarterly reporting should have been in place since the start of the year, and I’ve not yet tracked down any such report. 

Overall these commitments are about house-keeping: moving forward a little on the compliance with policy requirements that should have been met long ago. By contrast, the one draft commitment that could have substantively moved forward Open Contracting in the UK, by shifting emphasis to the local level where there is greatest scope to connect contracting and citizen engagement, is the one commitment conspicuously dropped from the final National Action Plan.  Similarly, whilst the plan does provide space for some marginal improvements in grants data (Commitment 1), this is simply a continuation of existing commitments.

I recognise that civil servants have had to work long and hard to get even this limited NAP through government given the continued breakdown normal Westminster operations. However, as I look back to the critique we wrote of the first UK OGP NAP back in 2012, it seems to me that we’re back where we started or even worse: with a government narrative that equates open government and open data, and a National Action Plan that repackages existing work without any substantive progress or ambition. And we have to consider when something so weak is actually worse than nothing at all.

I resigned my place on the UK Open Government Network Steering Group last summer: partly due to my own capacity, but also because of frustration at stalled progress, and the co-option of civil society into a process where, instead of speaking boldly about the major issues facing our public sphere, the focus has been put on marginal pilots or small changes to how data is published. It’s not that those things are unimportant in and of themselves: but if we let them define what open government is about – well, then we have lost what open government should have been about.

And even we do allow the OGP to have a substantial emphasis on open data, where the UK government continues to claim leadership, the real picture is not so rosy. I’ll quote from Rufus Pollock and Danny Lämmerhirt’s analysis of the UK in their chapter for the State of Open Data:

“Open data lost most of its momentum in late 2015 as government attention turned to the Brexit referendum and later to Brexit negotiations. Many open data advisory bodies ceased to exist or merged with others. For example, the Public Sector Transparency Board became part of the Data Steering Group in November 2015, and the Open Data User Group discontinued its activities entirely in 2015. There have also been political attempts to limit the Freedom of Information Act (FOIA) based on the argument that opening up government data would be an adequate substitute. There are still issues around publishing land ownership information across all regions, and some valuable datasets have been transferred out of government ownership avoiding publication, such as the Postal Address File that was sold off during the privatisation of the Royal Mail.”

The UK dropped in the Open Data Barometer rankings in 2017 (the latest data we have), and one of the key commitments from the last National Action Plan to “develop a common data standard for reporting election results in the UK” and improve crucial data on elections results had ‘limited’ progress according to the IRM, demonstrating a poor recent track record from the UK on opening up new datasets where it matters.

So where from here?

I generally prefer my blogging (and engagement) to be constructive. But I’m hoping that sometimes, the most constructive thing to do, is to call out the problems, even when I can’t see a way to solutions. Right now, it feels to me as though the starting point must be to recognise:

  • The UK Government is failing to live up to the Open Government Declaration.
  • UK Civil Society has failed to use the latest OGP NAP process to secure any meaningful progress on the major open government issues of the day.
  • The Global OGP process is doing very little to spur on UK action.

It’s time for us to face up to these challenges, and work out where we head from here. 

Do we need eligibility criteria for private sector involvement in OGP?

I’ve been in Costa Rica for the Open Government Partnership (OGP) Latin America Regional Meeting (where we were launching the Open Contracting Data Standard), and on Tuesday attended a session around private sector involvement in the OGP.

The OGP was always envisaged as a ‘multi-stakeholder forum’ – not only for civil society and governments, but also to include the private sector. But, as Martin Tisne noted in opening the session, private sector involvement has so far been limited – although an OGP Private Sector Council is currently developing.

In his remarks (building on notes from 2013), Martin outlined six different roles for the private sector in open government, including:

  1. Firms as mediators of open government data – making governance related public data more accessible;
  2. Firms as beneficiaries and users of open data – building businesses of data releases, and fostering demand for, and sustainable supply of, open data;
  3. Firms as anti-corruption advocates – particularly rating agencies whose judgements on risk of investment in a country as a result of poor governance environments can strongly incentivise governments to institute reforms;
  4. Firms practising corporate accountability – including by being transparent about their own activities.
  5. Technology firms providing platforms for citizen-state interaction – from large platforms like Facebook which have played a role in democracy movements, to specifically civic private-sector provided platforms like change.org or SeeClickFix.
  6. Companies providing technical assistance and advice to governments on their OGP action plans.

The discussion panel then went on to look at a number of examples of private sector involvement in open government, ranging from Chambers of Commerce acting as advocates for anti-corruption and governance reforms, to large firms like IBM providing software and staff time to efforts to meet the challenge of Ebola through data-driven projects. A clear theme in the discussion was the need to recognise that, like government and civil society, the private sector is not monolithic. Indeed, I have to remember that I’ve participated in the UK OGP process as a result of being able to subsidise my time via Practical Participation Ltd.

Reflecting on public and private interests

Regardless of the positive contributions and points made by all the panelists in the session, I do find myself approaching the general concept of private sector engagement with OGP with a constructive scepticism, and one that I hope supports wider reflections about the role and accountability of all stakeholders in the process. Many of these reflections are driven by a concern about the relative power of different stakeholders in these processes, and the fact that, in a world where the state is often in retreat, civil society spread increasingly thin, and wealth accumulated in vastly uneven ways, ensuring a fair process of multi-stakeholder dialogue requires careful institutional design. In light of the uneven flow of resources in our world, these reflections also draw on an important distinction between public and private interest.

Whilst there are institutional mechanisms in place (albeit flawed in many cases) that mean both government and non-profits should operate in the public interest, the essential logic of the private sector is to act in private interest. Of course, the extent of this logic varies by type of firm, but large multi-nationals have legal obligations to their shareholders which can, at least when shareholders are focussed on short-term returns, create direct tensions with responsible corporate behaviour. This is relevant for OGP in at least two ways:

Firstly, when private firms are active contributors to open government activities, whether mediating public data, providing humanitarian interventions, offering platforms for citizen interaction, or providing technical assistance, mechanisms are needed in a public interest forum such as the OGP to ensure that such private sector interventions provide a net gain to the public good.

Take for example a private firm that offers hardware or software to a government for free to support it in implementing an open government project. If the project has a reasonable chance of success, this can be a positive contribution to the public good. However, if the motivation for the project comes from private rather than a public interest, and leads to a government being locked into future use of a proprietary software platform, or to an ongoing relationship with the company who have gained special access as a result of their ‘CSR’ support for the open government project – then it is possible for the net-result to be against the public interest.

It should be possible to establish governance mechanisms that address these concerns, and allow the genuine public interest, and win-win contributions of the private sector to open government and development to be facilitated, whilst establishing checks against abuse of the power imbalance, whether due to relative wealth, scale or technical know-how, that can exist between firms and states.

Secondly, corporate contributions to aspects of the OGP agenda should not distract from a focus on key issues of large-scale corporate behaviour that undermine the capacity and effectiveness of governments, such as the use of complex tax avoidance schemes, or the exploitation of workforces and suppression of wages such that citizens have little time or energy left after achieving the essentials of daily living to give to civic engagement.

A proposal

In Tuesday’s session these reflections led me towards thinking about whether the Open Government Partnership should have some form of eligibility criteria for corporate participants, as a partial parallel to those that exist for states. To keep this practical and relevant, they could relate to the existence of key disclosures by the firm for all the settings they operate in: such as disclosure of amount of tax paid, the beneficial owners of the firm, and of the amount of funding the firm is putting towards engagement in the OGP process.

Such requirements need not necessarily operate in an entirely gatekeeping fashion (i.e. it should not be that participants cannot engage at all without such disclosures), but could be instituted initially as a recommended transparency practice, creating space for social pressures to encourage compliance, and giving extra information to those considering the legitimacy of, and weight to give to, the contributions of corporate participants within the OGP process.

As noted earlier, these critical reflection might also be extended to civil society participants: there can also be legitimate concerns about the interests being represented through the work of CSOs. The Who Funds You campaign is a useful point of reference here: CSO participants could be encouraged to disclosure information on who is funding their work, and again, how much resource they are dedicating to OGP work.

Conclusions

This post provides some initial reflections as a discussion starter. The purpose is not to argue against private sector involvement in OGP – but is to, in engaging proactively with a multi-stakeholder model, to raise the need for critical thinking in the open government debate not only about the transparency and accountability of governments, but also about the transparency and accountability of other parties who are engaged.

Open Policy Making for the UK Open Government Partnership National Action Plan

[Summary: thoughts on opportunities and challenges for open policy making from today’s OGP CSO Brown Bag lunch]

The Civil Service Reform Plan sets out a commitment that ‘Open policy making will become the default’ way policy is made, noting that ‘Whitehall does not have a monopoly on policy making expertise’. The Reform Plan states that government will ‘establish a clear model of open policy making’. However, whilst a number of principles of open policy making have been articulated (such as shared accountability; transparency; and cross-boundary teams), open policy making appears right now to be in a more experimental phase, with a range of recent initiatives using the label. In their case study looking at the creation of the National Planning Policy Framework, and a number of other instances of open policy making, the Institute for Government argue that in practice “there is no one [open policy making] model – and the choice of model will depend on the objectives to be met through greater openness”.

So, the decision to explore the use of open policy making as a framework for government and civil society collaboration around the UK’s Open Government Partnership National Action Plan, and co-chairmanship of the global OGP, raises as many questions as it answers. This blog post captures some of my personal reflections on possible elements of a UK OGP open policy-making process.

(For background on the Open Government Partnership, and how UK civil society have been engaging with the OGP so far, see www.opengovernment.org.uk. The quick summary: The OGP is an international initiative for governments to commit to open government actions: the UK is a founding member, and currently co-chair of the initiative. It created an Action Plan in 2011 of open government commitments, and, as part of members of the OGP, must review and revise this in collaboration with civil society in 2012 and 2013.)

Elements: Shared submissions to ministers

UK involvement in the Open Government Partnership is ultimately the responsibility of Cabinet Office Minister Francis Maude. As part of an open policy making process, civil society and civil servants can work together on developing submissions to the Minister, developing a shared evidence base and case for what a revised National Action Plan should cover, and potential actions for the UK to take as OGP co-chair and host of the 2013 OGP plenary meeting.

This approach can be contrasted to classic policy-making consultation, in which civil servants might go out to consult on a policy, but in which the submission to a Minister, and the responses, are composed entirely by, or addressed to, the civil servants.

Elements: shared and independent spaces

To make shared submissions work, it is important for government and civil society to distinguish between issues that can and can’t be handled through this process.

The UK’s current Open Government Partnership National Action Plan (drafted entirely within Whitehall) is resolutely focussed on open data, whilst many CSOs want to see the UK focus on the full range of topics set out in the Open Government Partnership Declaration, including access to information; citizen participation; anti-corruption and integrity of public institutions. When UK civil society met a few weeks back, they outlined a number of different priority areas related to open government, including a number of concrete advocacy asks on extractive industry transparency, whistleblower protection, an extension of the right to information to cover private sector delivering public services, and emphasising participation alongside transparency as key elements of open government.

Some of the issues on the civil society agenda overlap with those government is already working on. Others are off the current government agenda. We might visualise this with a venn diagram, where the overlap of civil society and government agenda’s provides the space for open policy making, but both government and civil society continue to have issues they care about that fall outside this shared space.

In these cases, participating in an open policy making does not preclude civil society from continuing to campaign for new issues to be added to the agenda, or adopting outsider advocacy strategies to call for an issue to be added to the shared space of open policy making.

Effective open policy making needs honesty and reasonable expectations on all sides about those issues where there is enough consensus for joint submissions and evidence gathering, and a range of alternative routes through which issues that don’t make it into the shared open policy making space can still be taken forward through other routes.

Elements: joint outreach

A number of the models of open policy making that the Institute for Government highlight in their report only really open up the policy making process to a small number of individuals – often ‘experts’ from organisations already involved in policy advocacy. However, opening government should be about more than just a few extra voices – and needs to connect with citizens and civil society groups working at the grass roots across the country.

Part of an open policy making process may involved shared identification of evidence gaps, and collaboration between government and civil society organisations to develop an outreach strategy, raising awareness of open government issues, and drawing on much more diverse evidence and inputs into key documents and decision making around the OGP.

Challenges: open meetings and open networks

So far, the network of CSOs on the Open Government Partnership has been organised in the open: through a mailing list that anyone can join, and using Google Docs shared for anyone to read and edit. There is no formal membership process, or terms of reference for the group. This way of organising provides space for the network to develop organically, to draw in new participants, and to avoid putting lots of energy into structure rather than substance – but it also potentially raises some challenges for open policy making processes – as sharing information and working collaborative with an open network in theory means having a process that is open to almost anyone.

Going back to the Institute for Government’s case study of the National Policy Planning Framework, it suggests that having some boundaries, and having the ‘open policy’ group working on the framework operating effectively under-the-radar for much of their duration was important to their ability to be effective, and not to be overwhelmed by competing demands. Yet, setting boundaries and being less than transparent about the existence, membership and work of an open policy making group on open government would seem at odds with open government values.

Finding agile methods to agree minutes from meetings (perhaps live-drafting in an online document with civil society and government co-editing the notes) without getting into long drawn-out sign off processes, and having clear principles on what information should be shared when, is likely to be important to having a credible open policy making process.

Challenges: resources and regions

At the heart of the proposed open policy making processes around the OGP is the idea of a regular co-working space, initially to be hosted at the open data institute, where civil society and government can meet on a weekly basis. This is a powerful demonstration of commitment to an open process, but also risks leaving policy shaped by those with the resources to regularly spend a working day in London.

Creating opportunities for online input can help address this, but attention still needs to be paid to inclusion – finding ways to ensure that resources are available to support participation of diverse groups in the process. This is perhaps part of a more general challenge for civil society as responsibility for core elements of public governance is increasingly shifted outside of government (as in open data supporting the ‘armchair auditor’), and onto civil society. We need to explore new mechanisms to support diverse civil society action on governance, and to prevent this outward shift of governance responsibility simply empowering the well resourced.

Next steps

For the OGP open policy making process, one of the next steps is likely to involve working out which issues can be addressed as part of the shared space between government and civil society. Keep an eye on the www.opengovernment.org.uk blog for news of upcoming workshops and meetings that will hopefully be exploring just that.

What should a UK Open Government Partnership Forum look like?

[Summary: Open spaces events across that whole UK that provide access for all ages are key to an effective UK OGP forum]

A key step in a countries participation in the Open Government Partnership (OGP) involves establishing ongoing public consultation between government, citizens, civil society organisations and the private sector on the development and implementation of OGP action plans. Given the UK is currently co-chair of OGP, and will be hosting the next OGP plenary meeting in London in March next year, establishing an effective, credible and dynamic forum for ongoing multi-stakeholder participation in OGP should be a top priority.

 

Members of the informal network of UK-based Civil Society Organisations (CSOs) engaging with the OGP process have been thinking about what such a forum could look like, and in this post I want to offer one possible take, based on my experience of taking part in a range of open space and unConference events over recent years.

Proposal: At the heart of the UK OGP forum should be a series of regular open space events, taking place across the UK, with a focus on getting out of London. Events should be open to anyone to take part – from active citizens and community groups, to social entrepreneurs, private sector firms, national and local government representatives and  local and international CSOs.
Simple principles of inclusion should  be established to ensure the events provide a welcoming environment for all, including for children and young people, and older people .

What is an open space or unConference?

Open space events are created by their participants. Rather than having a set agenda, the discussion agenda for an open space event is set on the day by participants announcing sessions and discussions they would like to take part in. Participants then self-select to take part in the sessions they have the most interest in. Simple principles encourage participants, wherever they come from, to take shared ownership of the discussions and the outcomes of the day. Open space events and unConferences can have a focussed theme to guide the focus of the specific sessions that take place.

I first encountered open space on a large scale in the UKGovCamp unconferences, which, as it turns out, are in many ways a paradigmatic example of key aspects of digital open government in action. At the annual UKGovCamp events (and their spin off LocalGovCamp events around the UK), civil servants, citizens, CSOs, social innovators, business people, and event a few politicians, spend a day in practical conversation about how to make government work better – sharing knowledge, developing plans and deepening shared commitment to shared problems.

See the Wikipedia article on Open-space technology for more on open space, and links to examples of open space events in action.

Why should open space events be part of the UK OGP forum?

Open Government is about more than a few action plan commitments to better ICT systems or increasing access to data. It involves active rethinking the relationship between citizen and state both as democracy continues to evolve, and as technologies, globalisation and other social forces reconfigure the capabilities of both citizens and governments. Open Government needs mass participation – and open space events are one way to develop action-focussed dialogues that support large-scale participation.

  • A UK OGP Forum needs to be not only about feeding demands up to government, but also about disseminating OGP ideas and commitments across the whole of the public sector. For many people, it is open local government which will have most impact on their lives, and taking the OGP conversation on the road to events that can include all tiers of government provides an opportunity to join up open government practice across government.
  • Open space events are also very cost-effective. You need a room, some refreshments, some flip-chart paper – and, well, that’s about it.
  • Open space events are powerful network building opportunities – helping develop both civil society open government networks, and build new connections between civil society and government (and even across different parts of government)
  • With social media and a few social reporters, open space events can also become largely self-documenting, and with good facilitation it is possible to include remote participation, using the Internet to make sure anyone with a contribution to make to a topic under discussion can input into the dialogue.
  • Most of all, open space events embody principles of openness, collaboration and innovation – and so are an ideal vehicle for developing a dynamic UK OGP forum.

How could it work in practice?

Well, there’s nothing to stop anyone organising their own Open Government unConference, inviting civil servants and a whole range of other stakeholders, recording the key outcomes of the discussions, and then sending that all to the Cabinet Office team working on the UK’s OGP participation. However, to make open space a core part of the UK OGP process a number of elements may be worth considering. Here’s one sketch of how that could work:

  • In partnership with the OGP team in government, planning a series of quarterly OGP open space events, which central civil servants commit to take part in. These would take place in each of the nations of the United Kingdom, and should have as their core theme the commitments of the UK Action Plan. Events should issue and open invite, and should be designed to ensure maximum diversity of participants from across all sectors.
  • In addition, government, CSOs and other stakeholders should agree to providing sponsorship for thematic OGP open space meetings. Anyone could organise a thematic meeting, providing they apply key principles of inclusiveness, open participation and transparency in the organisation of the events.
  • The OpenGovernment.org.uk site becomes a platform to collate notes from all the discussion sessions, drawing on social media content and notes captured by facilitators and rapporteurs at the events.
  • Each individual open space discussion within the events does not have to reach a consensus on its topic, but would have the option of producing a 1/2 page summary of discussions that can be shared online. Government commit to reading all these notes when reviewing the action plan.
  • Existing open space events (e.g. UKGovCamp) could choose to add an OGP track of discussions, feeding in as any thematic event would.

What about formal representation and accountability? How do decisions get made?

Some of the other ideas for a UK OGP Forum are far more focussed on formal structures and procedures. I don’t reject the value of formal structures where questions of accountability and representation are in play. However, unless actual authority to decide what does into country action plans is shared with an OGP forum, then as a consultative body, a more open model would seem more appropriate.

Established CSOs have existing channels through which they are talking with government. A forum should  help them co-ordinate their asks and offers on open government issues through existing channels, rather than add another narrow channel of communication.

Open processes are not immune from their problems: they can suffer from those who shout loudest being those who are heard most, or from those in power being able to pick and choose which voices they engage with. However, finding ways to deal with these issues in the open is an important challenge and learning journey for us to go on if we truly want to find inclusive models of open governance and open government that work…

A realistic proposal?

I’ve written this outline sketch up as a contribution to the debate on what an OGP forum should look like. Government tendencies to control processes, and manage engagement in neat boxes can be strong. But to an extent open government has to be about challenging that – and as a process that will involve a shared learning journey for both government, civil society and citizens, I hope this does make for a realistic proposal…

OGP Take Aways

[Summary: Ten observations and take-aways from #ogp2012]

In an attempt to use reflective blogging to capture thoughts from the Open Government Partnership meeting in Brasilia I’ve jotted down ten key learning points, take-aways, or areas I’ve been musing on. Where critical, I hope they are taken in the spirit of constructive critique.

1) Good ideas come from everywhere
Warren Krafchik made this point in the closing plenary, and it’s one that was apparent throughout OGP. The OGP provides a space for shared learning in all directions: across sectors and across countries. I’ve certainly found my own understanding of open data has been deepened by thinking about how the lessons from Transparent Chennai and Bangalore might apply in the UK context, and I look forward to OGP exchanges providing space for much more sharing of challenges and solutions.

2) The quality of Right to Information really matters
Another bit of shared learning from OGP was previewed in a Guardian article by Arunu Roy writing about the potential strength of the Indian Right to Information (RTI) Act, as against the UK Freedom of Information (FOI) Act. A lot of the civil society participants I spoke with had experience of working with their national RTI laws, or lobbying for them to be created, and the quality, rather than just the presence, of the laws, was a key theme. Some RTI laws require payment to request data; some allow anonymity, others ensure every requester provides their full details. These differences matter, and that presents a challenge for the OGP mechanisms, which at the moment simply require a RTI Bill as a condition of joining.

3) Whistle blower protection is an important factor in the journey from openness to impact
In the closing plenary, Samantha Powell summed this one up: “when you have access to information that challenges conventional wisdom, or when you witness some wrongdoing, you need the protection to come forward with it, and to often that protection is lacking”.

Open data, and access to information might give people working in organisations some of the pieces of the jigsaw they need to spot corruption and wrongdoing. But if they have no protection to highlight that, we may miss many of the opportunities for more open information to bring accountability and impact.

4) We’ve not yet cracked culture change and capacity building
The shift to open government is not just a shift of policy, it also involves culture shift inside government (and to an extent in how civil society interfaces with government). I heard a few mentions of the need for culture change in National Action Plan sessions, but no clear examples of concerted government efforts to address ‘closed cultures’.

5) Ditto effective large scale public engagement
Many countries hadn’t consulted widely on their National Action Plans, and few action plans I heard details of included much substantive on public participation. In part this was explained because of the short lead time that many countries had to produce their action plans: but for me this seems to point to a number of significant challenges we need to work out how to address if open government is to be participative government. Working out more agile models of engagement, that still meet desirable criteria of being inclusive and accessible is a big challenge. For the OGP, it’s also interesting to consider the role of ‘engagement with citizens’ through mass participation, and engagement with CSOs, potentially as mediators of citizen voice. One idea I explored in a few conversations was whether, when OGP Governments support mass-participation in shaping action plans, the raw input should be shared and jointly analysed with CSOs.

6) There is a need to distinguish e-government, from open government
As one of the speakers put it in the closing plenary of day 1: “the open government partnership is not an e-government partnership”. E-government to make public service provision more effective has it’s place, and may overlap with open government, but in itself e-government is not one-and-the-same-as open government.

7) We need both data infrastructures, and accessibility ecosystem, for open data
This is something I’ll write a bit more on soon, but broadly there needs to be a recognition that not only do both government and civil society have a role in providing national infrastructures of open data to support governance, but they also both have a role in stimulating eco-systems that turn that data into information and make it accessible. Some of that comes out a bit in the five stars of open data engagement, though stimulating eco-systems might involve more than just engagement around specific datasets.

8) We need to develop a deeper dialogue between technologists and issue activists
David Eaves has blogged about OGP highlighting a sense of a divide between many of the established civil society groups, and the more emergent technology-skilled open data / open government community. The message that open government is broader than open data can be read in multiple ways. It can be taken as trying to avoid an OGP agenda being used to further ‘open data from government’ as opposed to ‘open data for open government’. It can be taken as a downplaying of the opportunity that technologies bring for opening government. Or it can be taken as calling for technologies to build upon, rather than to try and side-step or leap-over, the hard work and often very contested work that has gone into securing access to information policies and other open government foundations. Some of the best cases I heard about over the OGP were where, having secured a right to information, activists were then able to use technologies and data to more effectively drive accountability.

Finding the common ground, and admitting spaces of difference, between technology and issue-focussed open government communities is another key challenge as OGP develops.

9) Monitoring should ultimately be about change for citizens, not just commitments and process
One of the key tasks for the OGP Steering Committee over the coming months is to develop an Independent Review Mechanism to monitor country action plans. In one of the panel sessions this was described more as an ‘evidence collection’ mechanism, to ensure all voices in a country are heard, rather than an assessment and judgement mechanism – so it holds out real potential to support both third-party evaluation (i.e. non OGP) of country progress against action plans, and to support formative evaluation and learning.

One point which came up a number of times was that OGP should be about change for citizens, not just commitments and process. A IRM that asks the ‘What’s Changed?‘ question of a wide range of citizens, particularly those normally excluded from decision making processes, would be good to see.

10) Deciding on the tenth item for a ten-item list is tricky
Instead you can just link to wisdom from @tkb.

Reflecting on the Open Government Partnership

I’ve been  in Brasilia this week for at meeting of the Open Government Partnership (OGP), a new international initiative now involving 55 governments and run by a joint government and civil society steering committee, to secure state commitments to promoting transparency, empowering citizens, fighting corruption, and harnessing new technologies to strengthen governance. Unfortunately, new technologies and WiFi access were a little lacking at the conference venue on the first day, so I’m only now getting to blog some of the notes and reflections I jotted down during the event. I’ve tried to use ” quotes for “near verbatim” quotes (some via the translators), and ‘for paraphrases’ on elements that jumped out at me from different presentations.

The morning opened with presentations from US Secretary of State Hilary Clinton, Nika Gilauri, President of Georgia, Jakaya Kikwete, President of Tanazania and Dilma Rousseff, President of Brazil, discussing their commitments to open government.

Hilary Clinton’s speech highlighted that 1/4 of the worlds people now live in countries which have joined the OGP, ‘each of which has outlined concrete, credible steps, to open government’, although noting that it is ‘not enough to assert we will be committed to openness, we have to deliver on the commitments we have made’. Hilary’s speech also set out a belief that the biggest divisions between states in future will not be on geographic, wealth or religious lines, but will be concerned with openness: “those societies that believe they can be closed to change, closed to beliefs and ideas different from theirs, will find that in our Internet world they will be quickly left behind.”. This focus on technologically driven change was an explicit strand in both Clinton’s speech, and much of the OGP discourse, although the speech also ended with a recognition that ‘new tools of the digital age will not change human nature, only we can do that’.

Nika Gilauri’s speech opened with an inspiring claim: ‘I truly believe that open government initiative and partnership can leave poverty behind’. The logic is that challenging corruption can lead to governments using resources more efficiently and effectively. The rest of Nika’s speech focussed on the impacts of ‘open government’ reforms on Georgia, where a drive to address corruption has seen the figures for the number of Georgians who paid a bribe in the last 12 months drop to 4%, from a high of 95%. Nika highlighted that the reforms ‘destroy the myth that corruption is cultural, and give hope to other countries’ where corruption appears entrenched. Key to explore in any of the claims made for the effects of open government is how specifically ‘open government’ policies, like promoting transparency or increasing citizen access to decision making mechanisms, have interacted with legal instruments and enforcement measures in anti-corruption. I don’t know the Georgia context, but Nika’s speech for me highlighted that we need to look in depth at understanding the effect openness has, and the wider contextual factors (good and bad) that enable it to drive change.

Jakaya Kikwete of Tanzania covered a range of important aspects of developing open government, from promoting press freedom, to parliamentary strengthening. Open government is not only about developing new institutions and structures, but also about reforming existing parts of our democratic systems. Jakaya noted that the Tanzania OGP Action Plan has prioritised local government – looking at basic education, health and water supply, on the grounds that these are most relevant to citizens. The claim ‘getting information on local services is more important than information on complex policy arrangements’ is one that sparked a lot of discussion in the research workshop IDRC convened just before the OGP, so it was interesting to see this claim being made in the opening speeches.

The final opening speech was from Dilma Rousseff who described a range of ways the Brazilian government have been promoting transparency, including introducing a new Access to Information Law, and developing specific transparency portals to cover specific areas such as spending on the World Cup (just across from the conference venue we could see many cranes building a new stadium in Brasilia to host the World Cup) and Olympics. The opportunities for engagement in open government via sports etc. (and the missed opportunity for a UK Olympics transparency portal) are interesting to consider. Dilma also draw attention to the financial sector: ‘in the absence of monitoring, international financial flows become subject to manipulation -with consequent losses for the world economy’, an input that was undoubtedly well received by Chris Taggart of Open Corporates who has been advocating hard for governments to prioritise the transparency of company information. Dilma’s speech also focussed on developing new channels for public participation, from national policy conferences to online engagement processes and public comment periods for new laws, a theme that was overall fairly underdeveloped in most of the OGP sessions I saw.

In the afternoon, countries were presenting their National Action Plans, making commitments that they will deliver as part of the OGP process. I was involved in inputting into a civil society assessment of the UK’s National Action Plan just before OGP, so was keen to see what would be said about it. I’ve blogged more on that over the UK Civil Society OGP blog, but essentially I took away from the session (and other sessions where I heard UK Director of Transparency Tim Kelsey speaking) a real concern that the current framing of open government from the UK Government is (a) very narrowly focussed on open data measures, and (b) as Jo Bates points out in her excellent paper, potentially a co-option of an open government and open data agenda in the interests of a reduced and marketised state: a policy agenda that our last election suggests does not have a popular electoral mandate. I hope my fears on (b) are misplaced, and that the commitment made in that session to a review of the action plan creates space to broaden the UK agenda and commitments as part of the OGP, but I suspect there is a lot of work still to do to support a constructive critical assessment of domestic UK open government.

I’ll post a few key learning take-aways from the whole meeting shortly, but in terms of overall impressions: there were some powerful and inspiring stories of the move towards open government from many countries, including from Omar Abdulkarim, Deputy Prime Minister of Libya, and Ben Abbes, Secretary of State of Tunisia and from a global perspective, building a forum to work out new models of open governance, and to do that through a partnership of civil society and elected governments is an incredibly exciting process to be starting. The meeting format in Brasilia didn’t necessarily make the most of opportunities for ‘open space’ discussions between civil society and governments in a constructive form, collectively addressing contemporary challenges of governance, but the very bringing together of people created the space for many great conversations to happen. Brasilia 2012 was just the start of many of the conversations, and the future of the OGP I suspect will depend on how they can develop and be sustained over the coming year…