Catching Up on DemocracySpot

CaptureOGRX

It’s been a while, so here’s a miscellaneous post with things I would normally share on DemocracySpot.

Yesterday the beta version of the Open Government Research Exchange (OGRX) was launched. Intended as a hub for research on innovations in governance, the OGRX is a joint initiative by NYU’s GovLab, MySociety and the World Bank’s Digital Engagement Evaluation Team (DEET) (which, full disclosure, I lead). As the “beta” suggests, this is an evolving project, and we look forward to receiving feedback from those who either work with or benefit from research in open government and related fields. You can read more about it here.

Today we also launched the Open Government Research mapping. Same story, just “alpha” version. There is a report and a mapping tool that situates different types of research across the opengov landscape. Feedback on how we can improve the mapping tool – or tips on research that we should include – is extremely welcome. More background about this effort, which brings together Global Integrity, Results for Development, GovLAB, Results for Development and the World Bank, can be found here.

mapping2

Also, for those who have not seen it yet, the DEET team also published the EvCaptureDEETguidealuation Guide for Digital Citizen Engagement a couple of months ago. Commissioned and overseen by DEET, the guide was developed and written by Matt Haikin (lead author), Savita Bailur, Evangelia Berdou, Jonathan Dudding, Cláudia Abreu Lopes, and Martin Belcher.

And here is a quick roundup of things I would have liked to have written about since my last post had I been a more disciplined blogger:

  • A field experiment in Rural Kenya finds that “elite control over planning institutions can adapt to increased mobilization and participation.” I tend to disagree a little with the author’s conclusion that emphasizes the role of “power dynamics that allow elites to capture such institutions” to explain his findings (some of the issues seem to be a matter of institutional design). In any case, it is a great study and I strongly recommend the reading.
  • A study examining a community-driven development program in Afghanistan finds a positive effect on access to drinking water and electricity, acceptance of democratic processes, perceptions of economic wellbeing, and attitudes toward women. However, effects on perceptions of government performance were limited or short-lived.
  • A great paper by Paolo de Renzio and Joachim Wehner reviews the literature on “The Impacts of Fiscal Openness”. It is a must-read for transparency researchers, practitioners and advocates. I just wish the authors had included some research on the effects of citizen participation on tax morale.
  • Also related to tax, “Consumers as Tax Auditors” is a fascinating paper on how citizens can take part in efforts to reduce tax evasion while participating in a lottery.
  • Here is a great book about e-Voting and other technology developments in Estonia. Everybody working in the field of technology and governance knows Estonia does an amazing job, but information about it is often scattered and, sometimes, of low quality. This book, co-authored by my former colleague Kristjan Vassil, addresses this gap and is a must-read for anybody working with technology in the public sector.
  • Finally, I got my hands on the pictures of the budget infograffitis (or data murals) in Cameroon, an idea that emerged a few years ago when I was involved in a project supporting participatory budgeting in Yaoundé (which also did the Open Spending Cameroon). I do hope that this idea of bringing data visualizations to the offline world catches up. After all, that is valuable data in a citizen-readable format.
cameroon1

picture by ASSOAL

cameroon2

picture by ASSOAL

I guess that’s it for now.

New IDS Journal – 9 Papers in Open Government

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The new IDS Bulletin is out. Edited by Rosemary McGee and Duncan Edwards, this is the first open access version of the well-known journal by the Institute of Development Studies. It brings eight new studies looking at a variety of open government issues, ranging from uptake in digital platforms to government responsiveness in civic tech initiatives. Below is a brief presentation of this issue:

Open government and open data are new areas of research, advocacy and activism that have entered the governance field alongside the more established areas of transparency and accountability. In this IDS Bulletin, articles review recent scholarship to pinpoint contributions to more open, transparent, accountable and responsive governance via improved practice, projects and programmes in the context of the ideas, relationships, processes, behaviours, policy frameworks and aid funding practices of the last five years. They also discuss questions and weaknesses that limit the effectiveness and impact of this work, offer a series of definitions to help overcome conceptual ambiguities, and identify hype and euphemism. The contributions – by researchers and practitioners – approach contemporary challenges of achieving transparency, accountability and openness from a wide range of subject positions and professional and disciplinary angles. Together these articles give a sense of what has changed in this fast-moving field, and what has not – this IDS Bulletin is an invitation to all stakeholders to take stock and reflect.

The ambiguity around the ‘open’ in governance today might be helpful in that its very breadth brings in actors who would otherwise be unlikely adherents. But if the fuzzier idea of ‘open government’ or the allure of ‘open data’ displace the task of clear transparency, hard accountability and fairer distribution of power as what this is all about, then what started as an inspired movement of governance visionaries may end up merely putting a more open face on an unjust and unaccountable status quo.

Among others, the journal presents an abridged version of a paper by Jonathan Fox and myself on digital technologies and government responsiveness (for full version download here).

Below is a list of all the papers:

Rosie McGee, Duncan Edwards
Tiago Peixoto, Jonathan Fox
Katharina Welle, Jennifer Williams, Joseph Pearce
Miguel Loureiro, Aalia Cassim, Terence Darko, Lucas Katera, Nyambura Salome
Elizabeth Mills
Laura Neuman
David Calleb Otieno, Nathaniel Kabala, Patta Scott-Villiers, Gacheke Gachihi, Diana Muthoni Ndung’u
Christopher Wilson, Indra de Lanerolle
Emiliano Treré

 

World Development Report 2016: Digital Dividends

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The World Development Report 2016, the main annual publication of the World Bank, is out. This year’s theme is Digital Dividends, examining the role of digital technologies in the promotion of development outcomes. The findings of the WDR are simultaneously encouraging and sobering. Those skeptical of the role of digital technologies in development might be surprised by some of the results presented in the report. Technology advocates from across the spectrum (civic tech, open data, ICT4D) will inevitably come across some facts that should temper their enthusiasm.

While some may disagree with the findings, this Report is an impressive piece of work, spread across six chapters covering different aspects of digital technologies in development: 1) accelerating growth, 2) expanding opportunities, 3) delivering services, 4) sectoral policies, 5) national priorities, 6) global cooperation. My opinion may be biased, as somebody who made some modest contributions to the Report, but I believe that, to date, this is the most thorough effort to examine the effects of digital technologies on development outcomes. The full report can be downloaded here.

The report draws, among other things, from 14 background papers that were prepared by international experts and World Bank staff. These background papers serve as additional reading for those who would like to examine certain issues more closely, such as social media, net neutrality, and the cybersecurity agenda.

For those interested in citizen participation and civic tech, one of the papers written by Prof. Jonathan Fox and myself – When Does ICT-Enabled Citizen Voice Lead to Government Responsiveness? – might be of particular interest. Below is the abstract:

This paper reviews evidence on the use of 23 information and communication technology (ICT) platforms to project citizen voice to improve public service delivery. This meta-analysis focuses on empirical studies of initiatives in the global South, highlighting both citizen uptake (‘yelp’) and the degree to which public service providers respond to expressions of citizen voice (‘teeth’). The conceptual framework further distinguishes between two trajectories for ICT-enabled citizen voice: Upwards accountability occurs when users provide feedback directly to decision-makers in real time, allowing policy-makers and program managers to identify and address service delivery problems – but at their discretion. Downwards accountability, in contrast, occurs either through real time user feedback or less immediate forms of collective civic action that publicly call on service providers to become more accountable and depends less exclusively on decision-makers’ discretion about whether or not to act on the information provided. This distinction between the ways in which ICT platforms mediate the relationship between citizens and service providers allows for a precise analytical focus on how different dimensions of such platforms contribute to public sector responsiveness. These cases suggest that while ICT platforms have been relevant in increasing policymakers’ and senior managers’ capacity to respond, most of them have yet to influence their willingness to do so.

You can download the paper here.

Any feedback on our paper or models proposed (see below, for instance) would be extremely welcome.

unpacking

unpacking user feedback and civic action: difference and overlap

I also list below the links to all the background papers and their titles

Enjoy the reading.

Civic Tech and Government Responsiveness

For those interested in tech-based citizen reporting tools (such as FixMyStreet, SeeClickFix), here’s a recent interview of mine with Jeffrey Peel (Citizen 2015) in which I discuss some of our recent research in the area.

 

Tiny post on Big Data

Behind much of the excitement with the data revolution is an assumption that decision-making follows a rational actor model. And that’s a huge problem.

facepalm

Ask citizens where public money should go: the results might surprise you

picture by MyTudut on flickr

(NB: article originally published in Capital Finance International)

As citizen engagement gains traction in the development agenda, identifying the extent to which it produces tangible results is essential. Participatory budgeting, a process in which citizens decide upon and monitor budget allocation, offers promising results, including increased local government revenues and reduced infant mortality.

Promoting citizen engagement in the development community: a quest for evidence

In recent years there has been a growing interest in citizen engagement as a means to promote better development outcomes. The Open Government Partnership (OGP), for instance, is a multilateral platform where governments from 66 countries commit, among other things, to promote governments that are more open, participatory and accountable to their citizens. Similarly, Making all Voices Count is an international initiative supported by private donors and development agencies that provides funding to projects that promote “citizen engagement and open, responsive government.”

The rationale behind this renewed enthusiasm for civic engagement is seemingly simple: citizens know best what their needs are and how to address them. Or, as spelled out in the OGP declaration, public engagement “increases the effectiveness of governments, which benefit from people’s knowledge, ideas and ability to provide oversight.” Yet, the evidence on the benefits of citizen engagement often seems fuzzy, scattered and – sometimes – contradictory. However, a clearer picture emerges when we examine some particular practices that fall under the general “citizen engagement” umbrella, of which participatory budgeting is one. Originating from the Brazilian city of Porto Alegre in 1989, participatory budgeting (PB) can be broadly defined as the participation of citizens in the decision-making process of budget allocation and in the monitoring of public spending. Experts estimate that up to 2,500 local governments around the world have implemented PB, from major cities such as New York, Paris, Seville, and Lima, to small and medium cities in countries as diverse as Poland, South-Korea, India, Bangladesh, and the Democratic Republic of Congo.

Over the years, PB has attracted significant attention from scholars and development professionals. As it reaches over a quarter-century of existence, it is generating a substantial amount of evidence of the benefits of involving citizens in budgeting decisions. Here, we briefly examine some of this evidence.

Some argue – and there is growing evidence – that citizen participation increases government tax revenues

At the beginning of the 2000s, researchers studying participatory budgeting began to see an unexpected result, with some municipalities reporting substantive increases in their tax revenues. In 2004, for instance, a comparative study [PDF] of 25 municipalities in Latin America and Europe found a significant reduction in levels of tax delinquency after the adoption of participatory budgeting. But, in reality, how surprising were these findings?

Mostly unknown even among seasoned public engagement advocates, a growing body of evidence in the field of “tax morale” suggests a relationship between citizen participation and tax compliance. The argument, in an oversimplified manner, is as follows: citizens are more willing to pay taxes when they perceive that their preferences are properly taken into account by public institutions. This argument finds ever-growing empirical support. For instance, a number of studies in Switzerland – notably those by the economists Bruno Frey and Benno Torgler – show that Swiss cantons with higher levels of democratic participation present lower tax evasion rates, even when controlling for other factors. Suggesting that this is not simply a Swiss exception, a cross-national study by Friedrich Schneider and Désirée Teobaldelli found that “the effect of direct democratic institutions on the shadow economy is negative and quantitatively important.” These observational findings are increasingly supported by a growing number of controlled experiments across a variety of cultural settings. At odds with conventional economic reasoning, some evidence in the field of “tax morale” suggests that participation may be even more effective at curbing tax evasion than traditional and commonly adopted deterrence measures, such as fines and controls.

In the specific case of participatory budgeting, more robust data is also emerging. For example, a recent working paper by the Inter-American Development Bank presents similar effects of participatory budgeting on revenues in a randomized controlled trial in Russia. As noted by the authors, Diether Beuermann and Maria Amelina, these results are by no means negligible:

Implementing the planning cycle of participatory budgeting increased local revenues per capita by US$30.22 in regions without previous decentralized experience and by US$37.34 in regions with previous decentralized experience […] These are sizeable effects as they represent differences of around 70 percent with respect to the control group mean.

So participatory budgeting is good for tax revenues, but how good is it for citizens themselves?

Participatory budgeting promotes pro-poor spending, better access to services and may even reduce infant mortality

The available evidence suggests that participatory budgeting leads to significant shifts in priorities and policies, towards expenditures that directly benefit the poor. A 2008 World Bank report demonstrated that participatory budgeting has a statistically significant impact on a number of social indicators. Among others, the report highlights that PB is positively and strongly associated with improvements in poverty rates and access to water services.

Despite producing evidence of its effectiveness on a number of fronts over the years, only 25 years after its initial implementation in Brazil do we start to see systematic evidence of sound development outcomes. This is mainly due to two recently released, major studies of participatory budgeting in Brazil. The first, published by Sonia Gonçalves in World Development, finds that municipalities that adopted participatory budgeting in Brazil “favoured an allocation of public expenditures that closely matched the popular preferences and channeled a larger fraction of their total budget to key investments in sanitation and health services.” As a consequence, the author also finds that this change in the allocation of public expenditures “is associated with a pronounced reduction in the infant mortality rates for municipalities which adopted participatory budgeting.” Barely a year later, a study by Michael Touchton and Brian Wampler in Comparative Political Studies generated similar findings, demonstrating that the adoption of participatory budgeting in Brazil is strongly associated with increases in health care spending and decreases in infant mortality rates.

These studies also highlight another important takeaway for those working with development and public sector reform: the need to consider the fact that participatory institutions may take time to produce noticeable effects. As shown by Touchton and Wampler, for instance, the effects of PB adoption become significantly more visible after the fourth year of implementation.

As citizen engagement draws increasing interest in the development agenda, staying focused on which types of processes work and which do not will become particularly relevant. Participatory budgeting offers some promising evidence for policy reformers who want to see tangible impact on the ground, but it might take more than enthusiasm to get there. Determination, and a certain amount of patience, remain essential ingredients when it comes to delivering results.

Praising and Shaming in Civic Tech (or Reversed Nudging for Government Responsiveness) 

The other day during a talk with researcher Tanya Lokot I heard an interesting story from Russia. Disgusted with the state of their streets, activists started painting caricatures of government officials over potholes.

 

In the case of a central street in Saratov, the immediate response to one of these graffiti was this:  

 

Later on, following increased media attention – and some unexpected turnarounds – the pothole got fixed.

That reminded me of a recurrent theme in some conversations I have, which refers to whether praising and shaming matters to civic tech and, if so, to which extent. To stay with two classic examples, think of solutions such as FixMyStreet and SeeClickFix, through which citizens publically report problems to the authorities.

Considering government takes action, what prompts them to do so? At a very basic level, three hypothesis are possible:

1) Governments take action based on their access to distributed information about problems (which they supposedly are not aware of)

2) Governments take action due to the “naming and shaming” effect, avoiding to be publically perceived as unresponsive (and seeking praise for its actions)

3) Governments take action for both of the reasons above

Some could argue that hypothesis 3 is the most likely to be true, with some governments leaning more towards one reason to respond than others. Yet, the problem is that we know very little about these hypotheses, if anything. In other words – to my knowledge – we do not know whether making reports through these platforms public makes any difference whatsoever when it comes to governments’ responsiveness. Some might consider this as a useless academic exercise: as long as these tools work, who cares? But I would argue that the answer that questions matters a lot when it comes to the design of similar civic tech initiatives that aim to prompt government to action.

AAAFMSscreenshot

Let’s suppose that we find that all else equal governments are significantly more responsive to citizen reports when these are publically displayed. This would have importance both in terms of process and technological design. In terms of process, for instance, civic tech initiatives would probably be more successful if devoting part of their resources to amplify the visibility of government action and inaction (e.g. through local media). Conversely, from a technological standpoint, designers should devote substantive more effort on interfaces that maximizes praising and shaming of governments based on their performance (e.g. rankings, highlighting pending reports). Conversely, we might find that publicizing reports have very little effect in terms of responsiveness. In that case, more work would be needed to figure out which other factors – beyond will and capacity – play a role in government responsiveness (e.g. quality of reports).   

Most likely, praising and shaming would depend on a number of factors such as political competition, bureaucratic autonomy, and internal performance routines. But a finer understanding of that would not only bear an impact on the civic tech field, but across the whole accountability landscape. To date, we know very little about it. Yet, one of the untapped potential of civic technology is precisely that of conducting experiments at lowered costs. For instance, conducting randomized controlled trials on the effects on the publicization of government responsiveness should not be so complicated (e.g effects of rankings, amplifying visibility of unfixed problems). Add to that analysis of existing systems’ data from civic tech platforms, and some good qualitative work, and we might get a lot closer at figuring out what makes politicians and civil servants’ “tick”.

Until now, behavioral economics in public policy has been mainly about nudging citizens toward preferred choices. Yet it may be time to start also working in the opposite direction, nudging governments to be more responsive to citizens. Understanding whether praising and shaming works (and if so, how and to what extent) would be an important step in that direction.

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Also re-posted on Civicist.