13 Citizen Engagement Stories from Around the World

Orçamento Participativo 2015/2016 é aberto na região Leste
The Journal of Field Actions, together with Civicus, has just published a special issue “Stories of Innovative Democracy at the Local Level: Enhancing Participation, Activism and Social Change Across the World.” When put together, the 13 articles provide a lively illustration of the wealth of democratic innovations taking place around the world.

Now the paper: Evidence of Social Accountability Initiatives

sandwichstrategyfox

A little while ago I wrote about Jonathan Fox’s work on the evidence of social accountability initiatives. Initially in the format of a PDF slide presentation, it has now been turned into a magnificent paper, the first of the GPSA working paper series. Below is the abstract:

Policy discussion of social accountability initiatives has increasingly has increasingly focused on questions about their tangible development impacts. The empirical evidence is mixed. This meta-analysis rethinks some of the most influential evaluations through a new lens: the distinction between tactical and strategic approaches to the promotion of citizen voice to contribute to improved public sector performance. Field experiments tend to study bounded, tactical interventions that rely on optimistic assumptions about the power of information alone both to motivate collective action and to influence public sector performance. More promising results emerge from studies of multi-pronged strategies that encourage enabling environments for collective action and bolster state capacity to actually respond to citizen voice. This reinterpretation of the empirical evidence leads to a proposed new series of grounded propositions that focus on state-society synergy and sandwich strategies through which ‘voice’ and ‘teeth’ can become mutually empowering.

You can download the paper here: Social Accountability: What does the Evidence Really Say [PDF]. You can also read my take on the main lessons from Jonathan’s work here. Enjoy the reading.

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PS: I have been away for a while doing field work, but hope to start posting (more or less) regularly soon.

Social Accountability: What Does the Evidence Really Say?

So what does the evidence about citizen engagement say? Particularly in the development world it is common to say that the evidence is “mixed”. It is the type of answer that, even if correct in extremely general terms, does not really help those who are actually designing and implementing citizen engagement reforms.

This is why a new (GPSA-funded) work by Jonathan Fox, “Social Accountability: What does the Evidence Really Say” is a welcome contribution for those working with open government in general and citizen engagement in particular. Rather than a paper, this work is intended as a presentation that summarizes (and disentangles) some of the issues related to citizen engagement.

Before briefly discussing it, some definitional clarification. I am equating “social accountability” with the idea of citizen engagement given Jonathan’s very definition of  social accountability:

“Social accountability strategies try to improve public sector performance by bolstering both citizen engagement and government responsiveness”

In short, according to this definition, social accountability is defined, broadly, as “citizen participation” followed by government responsiveness, which encompasses practices as distinct as FOI law campaigns, participatory budgeting and referenda.

But what is new about Jonathan’s work? A lot, but here are three points that I find particularly important, based on a very personal interpretation of his work.

First, Jonathan makes an important distinction between what he defines as “tactical” and “strategic” social accountability interventions. The first type of interventions, which could also be called “naïve” interventions, are for instance those bounded in their approach (one tool-based) and those that assume that mere access to information (or data) is enough. Conversely, strategic approaches aim to deploy multiple tools and articulate society-side efforts with governmental reforms that promote responsiveness.

This distinction is important because, when examining the impact evaluation evidence, one finds that while the evidence is indeed mixed for tactical approaches, it is much more promising for strategic approaches. A blunt lesson to take from this is that when looking at the evidence, one should avoid comparing lousy initiatives with more substantive reform processes. Otherwise, it is no wonder that “the evidence is mixed.”

Second, this work makes an important re-reading of some of the literature that has found “mixed effects”, reminding us that when it comes to citizen engagement, the devil is in the details. For instance, in a number of studies that seem to say that participation does not work, when you look closer you will not be surprised that they do not work. And many times the problem is precisely the fact that there is no participation whatsoever. False negatives, as eloquently put by Jonathan.

Third, Jonathan highlights the need to bring together the “demand” (society) and “supply” (government) sides of governance. Many accountability interventions seem to assume that it is enough to work on one side or the other, and that an invisible hand will bring them together. Unfortunately, when it comes to social accountability it seems that some degree of “interventionism” is necessary in order to bridge that gap.

Of course, there is much more in Jonathan’s work than that, and it is a must read for those interested in the subject. You can download it here [PDF].

References on Evaluation of Citizen Engagement Initiatives

pic by photosteve101 on flickr

I have been doing some research on works related to the evaluation of citizen engagement initiatives (technology mediated or not).  This is far from exhaustive, but I thought it would be worth sharing with those who stop by here. Also, any help with identifying other relevant sources that I may be missing would be greatly appreciated.

Who Participates in Africa? Dispelling the Myth

picture by Britanny Danisch on flickr.

Whenever discussing participation in Africa (as well as in other developing contexts) the issue of “who participates” often emerges. A constant in these conversations is an assumption that participation in the continent is strongly driven by material and immaterial resources (e.g. money, time). In other words, there seems to be a widespread belief, particularly among development practitioners,  that the most privileged sectors of society are disproportionately more likely to participate than the least well-off.

In part, such an assumption is empirically grounded. Since the early 70s,  studies have shown inequality in political participation, with the most advantaged groups being disproportionately more likely to participate. Considering that policy preferences between groups differ, unequal participation leads to the troubling possibility that public policy is skewed towards favoring the better off, thus further deepening societal differences and access to public goods and services.

However, often ignored is the fact that most of these studies refer to  participation in traditional western democracies, notably the United States and European countries. But do these results hold true when it comes to participation in Africa? This is the question that Ann-Sofie Isaksson (University of Gothenburg) tackles in a paper published in Electoral Studies “Political participation in Africa: The role of individual resources”.

By looking at an Afrobarometer dataset of 27,000 respondents across 20 African countries, Isaksson’s findings challenge the standard thinking on the relationship between resources and participation:

(…) it seems the resource perspective does a poor job at explaining African political participation. If a resource is relevant for meeting the costs of participating, more of that resource should mean more participation. If anything, however, the estimations suggest that having little time (i.e. working full-time) and little money (i.e. being poorer) is associated with more participation.

Isaksson’s analysis is not confined to participation in elections, also examining non-electoral participation, i.e. attending community meetings. With regard to the latter only, there are modest effects associated with exposure to information  (e.g. radio, TV, newspapers) and education. Yet, as the author notes, “the result that community attendance is higher among the poor remains”.

To conclude, as underlined by Isaksson in her paper, she is not alone in terms of findings, with other studies looking at Asia and Latin America pointing in a similar direction, slowly dispelling the myth of the role of resources for participation in developing countries. Development practitioners should start to take note of these encouraging facts.

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P.s.: An earlier ungated version of the paper can be found here [PDF].

Open Data and Citizen Engagement – Disentangling the Relationship

[This is a cross-post from Sunlight Foundation’s  series OpenGov Conversations, an ongoing discourse featuring contributions from transparency and accountability researchers and practitioners around the world.] 

As asserted by Jeremy Bentham nearly two centuries ago, “[I]n the same proportion as it is desirable for the governed to know the conduct of their governors, is it also important for the governors to know the real wishes of the governed.” Although Bentham’s historical call may come across as obvious to some, it highlights one of the major shortcomings of the current open government movement: while a strong focus is given to mechanisms to let the governed know the conduct of their governors (i.e. transparency), less attention is given to the means by which the governed can express their wishes (i.e. citizen engagement).

But striking a balance between transparency and participation is particularly important if transparency is conceived as a means for accountability. To clarify, let us consider the role transparency (and data) plays in a simplified accountability cycle. As any accountability mechanism built on disclosure principles, it should require a minimal chain of events that can be summarized in the following manner: (1) Data is published; (2) The data published reaches its intended public; (3) Members of the public are able to process the data and react to it; and (4) Public officials respond to the public’s reaction or are sanctioned by the public through institutional means. This simplified path toward accountability highlights the limits of the disclosure of information. Even in the most simplified model of accountability, while essential, the disclosure of data accounts for no more than one-fourth of the accountability process. [Note 1 – see below]

But what are the conditions required to close the accountability cycle? First, once the data is disclosed (1), in order for it to reach its intended public (2), a minimal condition is the presence of info-mediators that can process open data in a minimally enabling environment (e.g. free and pluralistic media). Considering these factors are present, we are still only half way towards accountability. Nevertheless, the remaining steps (3 and 4) cannot be achieved in the absence of citizen engagement, notably electoral and participatory processes.

 

Beyond Elections

 

With regard to elections as a means for accountability, citizens may periodically choose to reward or sanction elected officials based on the information that they have received and processed. While this may seem a minor requisite for developed democracies like the US, the problem gains importance for a number of countries where open data platforms have launched but where elections are still a work in progress (in such cases, some research suggests that transparency may even backfire).

But, even if elections are in place, alone they might not suffice. The Brazilian case is illustrative and highlights the limits of representative systems as a means to create sustained interface between governments and citizens. Despite two decades of electoral democracy and unprecedented economic prosperity in the country, citizens suddenly went to the streets to demand an end to corruption, improvement in public services and… increased participation. Politicians, themselves, came to the quick realization that elections are not enough, as recently underlined by former Brazilian President Lula in an op ed at the New York Times “(….) people do not simply wish to vote every four years. They want daily interaction with governments both local and national, and to take part in defining public policies, offering opinions on the decisions that affect them each day.” If transparency and electoral democracy are not enough, citizen engagement remains as the missing link for open and inclusive governments.

 

Open Data And Citizen Engagement

 

Within an ecosystem that combines transparency and participation, examining the relationship between the two becomes essential. More specifically, a clearer understanding of the interaction between open data and participatory institutions remains a frontier to be explored. In the following paragraphs I put forward two issues, of many, that I believe should be considered when examining this interaction.

I) Behavior and causal chains

Evan Lieberman and his colleagues conducted an experiment in Kenya that provided parents with information about their children’s schools and how to improve their children’s learning. Nevertheless, to the disillusionment of many, despite efforts to provide parents with access to information, the intervention had no impact on parents’ behavior. Following this rather disappointing finding, the authors proceeded to articulating a causal chain that explores the link between access to information and behavioral change.

Information-Citizen Action Causal Chain

The Information-Citizen Action Causal Chain (Lieberman et al. 2013)

 

While the model put forward by the authors is not perfect, it is a great starting point and it does call attention to the dire need for a clear understanding of the ensemble of mechanisms and factors acting between access to data and citizen action.

II) Embeddedness in participatory arrangements

Another issue that might be worth examination relates to the extent to which open data is purposefully connected to participatory institutions or not. In this respect, much like the notion of targeted transparency, a possible hypothesis would be that open data is fully effective for accountability purposes only when the information produced becomes “embedded” in participatory processes.

This notion of “embeddedness” would call for hard thinking on how different participatory processes can most benefit from open data and its applications (e.g. visualizations, analysis). For example, the use of open data to inform a referendum process is potentially a very different type of use than within participatory budgeting process. Stemming from this reasoning, open data efforts should be increasingly customized to different existing participatory processes, hence increasing their embeddedness in these processes. This would be the case, for instance, when budget data visualization solutions are tailored to inform participatory budgeting meetings, thus creating a clear link between the consumption of that data and the decision-making process that follows.

Granted, information is per se an essential component of good participatory processes, and one can take a more or less intuitive view on which types of information are more suitable for one process or another. However, a more refined knowledge of how to maximize the impact of data in participatory processes is far from achieved and much more work is needed.

 

R&D For Data-Driven Participation

 

Coming up with clear hypotheses and testing them is essential if we are to move forward with the ecosystem that brings together open data, participation and accountability. Surely, many organizations working in the open government space are operating with limited resources, squeezing their budgets to keep their operational work going. In this sense, conducting experiments to test hypotheses may appear as a luxury that very few can afford.

Nevertheless, one of the opportunities provided by the use of technologies for civic behavior is that of potentially driving down the costs for experimentation. For instance, online and mobile experiments could play the role of tech-enabled (and affordable) randomized controlled trials, improving our understanding of how open data can be best used to spur collective action. Thinking of the ways in which technology can be used to conduct lowered costs experiments to shed light on behavioral and causal chains is still limited to a small number of people and organizations, and much work is needed on that front.

Yet, it is also important to acknowledge that experiments are not the only source of relevant knowledge. To stick with a simple example, in some cases even an online survey trying to figure out who is accessing data, what data they use, and how they use it may provide us with valuable knowledge about the interaction between open data and citizen action. In any case, however, it may be important that the actors working in that space agree upon a minimal framework that facilitates comparison and incremental learning: the field of technology for accountability desperately needs a more coordinated research agenda.

Citizen Data Platforms?

As more and more players engage in participatory initiatives, there is a significant amount of citizen-generated data being collected, which is important on its own. However, in a similar vein to government data, the potential of citizen data may be further unlocked if openly available to third parties who can learn from it and build upon it. In this respect, it might not be long before we realize the need to have adequate structures and platforms to host this wealth of data that – hopefully – will be increasingly generated around the world. This would entail that not only governments open up their data related to citizen engagement initiatives, but also that other actors working in that field – such as donors and NGOs – do the same. Such structures would also be the means by which lessons generated by experiments and other approaches are widely shared, bringing cumulative knowledge to the field.

However, as we think of future scenarios, we should not lose sight of current challenges and knowledge gaps when it comes to the relationship between citizen engagement and open data. Better disentangling the relationship between the two is the most immediate priority, and a long overdue topic in the open government conversation.

 

Notes

 

Note 1: This section of this post is based on arguments previously developed in the article, “The Uncertain Relationship between Open Data and Accountability”.

Note 2: And some evidence seems to confirm that hypothesis. For instance, in a field experiment in Kenya, villagers only responded to information about local spending in development projects when that information was coupled with specific guidance on how to participate in local decision-making processes).