Selected Readings on Crowdsourcing Tasks and Peer Production

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of crowdsourcing was originally published in 2014.

Technological advances are creating a new paradigm by which institutions and organizations are increasingly outsourcing tasks to an open community, allocating specific needs to a flexible, willing and dispersed workforce. “Microtasking” platforms like Amazon’s Mechanical Turk are a burgeoning source of income for individuals who contribute their time, skills and knowledge on a per-task basis. In parallel, citizen science projects – task-based initiatives in which citizens of any background can help contribute to scientific research – like Galaxy Zoo are demonstrating the ability of lay and expert citizens alike to make small, useful contributions to aid large, complex undertakings. As governing institutions seek to do more with less, looking to the success of citizen science and microtasking initiatives could provide a blueprint for engaging citizens to help accomplish difficult, time-consuming objectives at little cost. Moreover, the incredible success of peer-production projects – best exemplified by Wikipedia – instills optimism regarding the public’s willingness and ability to complete relatively small tasks that feed into a greater whole and benefit the public good. You can learn more about this new wave of “collective intelligence” by following the MIT Center for Collective Intelligence and their annual Collective Intelligence Conference.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Benkler, Yochai. The Wealth of Networks: How Social Production Transforms Markets and Freedom. Yale University Press, 2006. http://bit.ly/1aaU7Yb.

  • In this book, Benkler “describes how patterns of information, knowledge, and cultural production are changing – and shows that the way information and knowledge are made available can either limit or enlarge the ways people can create and express themselves.”
  • In his discussion on Wikipedia – one of many paradigmatic examples of people collaborating without financial reward – he calls attention to the notable ongoing cooperation taking place among a diversity of individuals. He argues that, “The important point is that Wikipedia requires not only mechanical cooperation among people, but a commitment to a particular style of writing and describing concepts that is far from intuitive or natural to people. It requires self-discipline. It enforces the behavior it requires primarily through appeal to the common enterprise that the participants are engaged in…”

Brabham, Daren C. Using Crowdsourcing in Government. Collaborating Across Boundaries Series. IBM Center for The Business of Government, 2013. http://bit.ly/17gzBTA.

  • In this report, Brabham categorizes government crowdsourcing cases into a “four-part, problem-based typology, encouraging government leaders and public administrators to consider these open problem-solving techniques as a way to engage the public and tackle difficult policy and administrative tasks more effectively and efficiently using online communities.”
  • The proposed four-part typology describes the following types of crowdsourcing in government:
    • Knowledge Discovery and Management
    • Distributed Human Intelligence Tasking
    • Broadcast Search
    • Peer-Vetted Creative Production
  • In his discussion on Distributed Human Intelligence Tasking, Brabham argues that Amazon’s Mechanical Turk and other microtasking platforms could be useful in a number of governance scenarios, including:
    • Governments and scholars transcribing historical document scans
    • Public health departments translating health campaign materials into foreign languages to benefit constituents who do not speak the native language
    • Governments translating tax documents, school enrollment and immunization brochures, and other important materials into minority languages
    • Helping governments predict citizens’ behavior, “such as for predicting their use of public transit or other services or for predicting behaviors that could inform public health practitioners and environmental policy makers”

Boudreau, Kevin J., Patrick Gaule, Karim Lakhani, Christoph Reidl, Anita Williams Woolley. “From Crowds to Collaborators: Initiating Effort & Catalyzing Interactions Among Online Creative Workers.” Harvard Business School Technology & Operations Mgt. Unit Working Paper No. 14-060. January 23, 2014. https://bit.ly/2QVmGUu.

  • In this working paper, the authors explore the “conditions necessary for eliciting effort from those affecting the quality of interdependent teamwork” and “consider the the role of incentives versus social processes in catalyzing collaboration.”
  • The paper’s findings are based on an experiment involving 260 individuals randomly assigned to 52 teams working toward solutions to a complex problem.
  • The authors determined the level of effort in such collaborative undertakings are sensitive to cash incentives. However, collaboration among teams was driven more by the active participation of teammates, rather than any monetary reward.

Franzoni, Chiara, and Henry Sauermann. “Crowd Science: The Organization of Scientific Research in Open Collaborative Projects.” Research Policy (August 14, 2013). http://bit.ly/HihFyj.

  • In this paper, the authors explore the concept of crowd science, which they define based on two important features: “participation in a project is open to a wide base of potential contributors, and intermediate inputs such as data or problem solving algorithms are made openly available.” The rationale for their study and conceptual framework is the “growing attention from the scientific community, but also policy makers, funding agencies and managers who seek to evaluate its potential benefits and challenges. Based on the experiences of early crowd science projects, the opportunities are considerable.”
  • Based on the study of a number of crowd science projects – including governance-related initiatives like Patients Like Me – the authors identify a number of potential benefits in the following categories:
    • Knowledge-related benefits
    • Benefits from open participation
    • Benefits from the open disclosure of intermediate inputs
    • Motivational benefits
  • The authors also identify a number of challenges:
    • Organizational challenges
    • Matching projects and people
    • Division of labor and integration of contributions
    • Project leadership
    • Motivational challenges
    • Sustaining contributor involvement
    • Supporting a broader set of motivations
    • Reconciling conflicting motivations

Kittur, Aniket, Ed H. Chi, and Bongwon Suh. “Crowdsourcing User Studies with Mechanical Turk.” In Proceedings of the SIGCHI Conference on Human Factors in Computing Systems, 453–456. CHI ’08. New York, NY, USA: ACM, 2008. http://bit.ly/1a3Op48.

  • In this paper, the authors examine “[m]icro-task markets, such as Amazon’s Mechanical Turk, [which] offer a potential paradigm for engaging a large number of users for low time and monetary costs. [They] investigate the utility of a micro-task market for collecting user measurements, and discuss design considerations for developing remote micro user evaluation tasks.”
  • The authors conclude that in addition to providing a means for crowdsourcing small, clearly defined, often non-skill-intensive tasks, “Micro-task markets such as Amazon’s Mechanical Turk are promising platforms for conducting a variety of user study tasks, ranging from surveys to rapid prototyping to quantitative measures. Hundreds of users can be recruited for highly interactive tasks for marginal costs within a timeframe of days or even minutes. However, special care must be taken in the design of the task, especially for user measurements that are subjective or qualitative.”

Kittur, Aniket, Jeffrey V. Nickerson, Michael S. Bernstein, Elizabeth M. Gerber, Aaron Shaw, John Zimmerman, Matthew Lease, and John J. Horton. “The Future of Crowd Work.” In 16th ACM Conference on Computer Supported Cooperative Work (CSCW 2013), 2012. http://bit.ly/1c1GJD3.

  • In this paper, the authors discuss paid crowd work, which “offers remarkable opportunities for improving productivity, social mobility, and the global economy by engaging a geographically distributed workforce to complete complex tasks on demand and at scale.” However, they caution that, “it is also possible that crowd work will fail to achieve its potential, focusing on assembly-line piecework.”
  • The authors argue that seven key challenges must be met to ensure that crowd work processes evolve and reach their full potential:
    • Designing workflows
    • Assigning tasks
    • Supporting hierarchical structure
    • Enabling real-time crowd work
    • Supporting synchronous collaboration
    • Controlling quality

Madison, Michael J. “Commons at the Intersection of Peer Production, Citizen Science, and Big Data: Galaxy Zoo.” In Convening Cultural Commons, 2013. http://bit.ly/1ih9Xzm.

  • This paper explores a “case of commons governance grounded in research in modern astronomy. The case, Galaxy Zoo, is a leading example of at least three different contemporary phenomena. In the first place, Galaxy Zoo is a global citizen science project, in which volunteer non-scientists have been recruited to participate in large-scale data analysis on the Internet. In the second place, Galaxy Zoo is a highly successful example of peer production, some times known as crowdsourcing…In the third place, is a highly visible example of data-intensive science, sometimes referred to as e-science or Big Data science, by which scientific researchers develop methods to grapple with the massive volumes of digital data now available to them via modern sensing and imaging technologies.”
  • Madison concludes that the success of Galaxy Zoo has not been the result of the “character of its information resources (scientific data) and rules regarding their usage,” but rather, the fact that the “community was guided from the outset by a vision of a specific organizational solution to a specific research problem in astronomy, initiated and governed, over time, by professional astronomers in collaboration with their expanding universe of volunteers.”

Malone, Thomas W., Robert Laubacher and Chrysanthos Dellarocas. “Harnessing Crowds: Mapping the Genome of Collective Intelligence.” MIT Sloan Research Paper. February 3, 2009. https://bit.ly/2SPjxTP.

  • In this article, the authors describe and map the phenomenon of collective intelligence – also referred to as “radical decentralization, crowd-sourcing, wisdom of crowds, peer production, and wikinomics – which they broadly define as “groups of individuals doing things collectively that seem intelligent.”
  • The article is derived from the authors’ work at MIT’s Center for Collective Intelligence, where they gathered nearly 250 examples of Web-enabled collective intelligence. To map the building blocks or “genes” of collective intelligence, the authors used two pairs of related questions:
    • Who is performing the task? Why are they doing it?
    • What is being accomplished? How is it being done?
  • The authors concede that much work remains to be done “to identify all the different genes for collective intelligence, the conditions under which these genes are useful, and the constraints governing how they can be combined,” but they believe that their framework provides a useful start and gives managers and other institutional decisionmakers looking to take advantage of collective intelligence activities the ability to “systematically consider many possible combinations of answers to questions about Who, Why, What, and How.”

Mulgan, Geoff. “True Collective Intelligence? A Sketch of a Possible New Field.” Philosophy & Technology 27, no. 1. March 2014. http://bit.ly/1p3YSdd.

  • In this paper, Mulgan explores the concept of a collective intelligence, a “much talked about but…very underdeveloped” field.
  • With a particular focus on health knowledge, Mulgan “sets out some of the potential theoretical building blocks, suggests an experimental and research agenda, shows how it could be analysed within an organisation or business sector and points to possible intellectual barriers to progress.”
  • He concludes that the “central message that comes from observing real intelligence is that intelligence has to be for something,” and that “turning this simple insight – the stuff of so many science fiction stories – into new theories, new technologies and new applications looks set to be one of the most exciting prospects of the next few years and may help give shape to a new discipline that helps us to be collectively intelligent about our own collective intelligence.”

Sauermann, Henry and Chiara Franzoni. “Participation Dynamics in Crowd-Based Knowledge Production: The Scope and Sustainability of Interest-Based Motivation.” SSRN Working Papers Series. November 28, 2013. http://bit.ly/1o6YB7f.

  • In this paper, Sauremann and Franzoni explore the issue of interest-based motivation in crowd-based knowledge production – in particular the use of the crowd science platform Zooniverse – by drawing on “research in psychology to discuss important static and dynamic features of interest and deriv[ing] a number of research questions.”
  • The authors find that interest-based motivation is often tied to a “particular object (e.g., task, project, topic)” not based on a “general trait of the person or a general characteristic of the object.” As such, they find that “most members of the installed base of users on the platform do not sign up for multiple projects, and most of those who try out a project do not return.”
  • They conclude that “interest can be a powerful motivator of individuals’ contributions to crowd-based knowledge production…However, both the scope and sustainability of this interest appear to be rather limited for the large majority of contributors…At the same time, some individuals show a strong and more enduring interest to participate both within and across projects, and these contributors are ultimately responsible for much of what crowd science projects are able to accomplish.”

Schmitt-Sands, Catherine E. and Richard J. Smith. “Prospects for Online Crowdsourcing of Social Science Research Tasks: A Case Study Using Amazon Mechanical Turk.” SSRN Working Papers Series. January 9, 2014. http://bit.ly/1ugaYja.

  • In this paper, the authors describe an experiment involving the nascent use of Amazon’s Mechanical Turk as a social science research tool. “While researchers have used crowdsourcing to find research subjects or classify texts, [they] used Mechanical Turk to conduct a policy scan of local government websites.”
  • Schmitt-Sands and Smith found that “crowdsourcing worked well for conducting an online policy program and scan.” The microtasked workers were helpful in screening out local governments that either did not have websites or did not have the types of policies and services for which the researchers were looking. However, “if the task is complicated such that it requires ongoing supervision, then crowdsourcing is not the best solution.”

Shirky, Clay. Here Comes Everybody: The Power of Organizing Without Organizations. New York: Penguin Press, 2008. https://bit.ly/2QysNif.

  • In this book, Shirky explores our current era in which, “For the first time in history, the tools for cooperating on a global scale are not solely in the hands of governments or institutions. The spread of the Internet and mobile phones are changing how people come together and get things done.”
  • Discussing Wikipedia’s “spontaneous division of labor,” Shirky argues that the process is like, “the process is more like creating a coral reef, the sum of millions of individual actions, than creating a car. And the key to creating those individual actions is to hand as much freedom as possible to the average user.”

Silvertown, Jonathan. “A New Dawn for Citizen Science.” Trends in Ecology & Evolution 24, no. 9 (September 2009): 467–471. http://bit.ly/1iha6CR.

  • This article discusses the move from “Science for the people,” a slogan adopted by activists in the 1970s to “’Science by the people,’ which is “a more inclusive aim, and is becoming a distinctly 21st century phenomenon.”
  • Silvertown identifies three factors that are responsible for the explosion of activity in citizen science, each of which could be similarly related to the crowdsourcing of skills by governing institutions:
    • “First is the existence of easily available technical tools for disseminating information about products and gathering data from the public.
    • A second factor driving the growth of citizen science is the increasing realisation among professional scientists that the public represent a free source of labour, skills, computational power and even finance.
    • Third, citizen science is likely to benefit from the condition that research funders such as the National Science Foundation in the USA and the Natural Environment Research Council in the UK now impose upon every grantholder to undertake project-related science outreach. This is outreach as a form of public accountability.”

Szkuta, Katarzyna, Roberto Pizzicannella, David Osimo. “Collaborative approaches to public sector innovation: A scoping study.” Telecommunications Policy. 2014. http://bit.ly/1oBg9GY.

  • In this article, the authors explore cases where government collaboratively delivers online public services, with a focus on success factors and “incentives for services providers, citizens as users and public administration.”
  • The authors focus on six types of collaborative governance projects:
    • Services initiated by government built on government data;
    • Services initiated by government and making use of citizens’ data;
    • Services initiated by civil society built on open government data;
    • Collaborative e-government services; and
    • Services run by civil society and based on citizen data.
  • The cases explored “are all designed in the way that effectively harnesses the citizens’ potential. Services susceptible to collaboration are those that require computing efforts, i.e. many non-complicated tasks (e.g. citizen science projects – Zooniverse) or citizens’ free time in general (e.g. time banks). Those services also profit from unique citizens’ skills and their propensity to share their competencies.”

Open Data (Updated and Expanded)

Curated on Posted on by Andrew Young

As part of an ongoing effort to build a knowledge base for the field of opening governance by organizing and disseminating its learnings, the GovLab Selected Readings series provides an annotated and curated collection of recommended works on key opening governance topics. We start our series with a focus on Open Data. To suggest additional readings on this or any other topic, please email biblio@thegovlab.org.

Data and its uses for GovernanceOpen data refers to data that is publicly available for anyone to use and which is licensed in a way that allows for its re-use. The common requirement that open data be machine-readable not only means that data is distributed via the Internet in a digitized form, but can also be processed by computers through automation, ensuring both wide dissemination and ease of re-use. Much of the focus of the open data advocacy community is on government data and government-supported research data. For example, in May 2013, the US Open Data Policy defined open data as publicly available data structured in a way that enables the data to be fully discoverable and usable by end users, and consistent with a number of principles focused on availability, accessibility and reusability.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)
Fox, Mark S. “City Data: Big, Open and Linked.” Working Paper, Enterprise Integration Laboratory (2013). http://bit.ly/1bFr7oL.

  • This paper examines concepts that underlie Big City Data using data from multiple cities as examples. It begins by explaining the concepts of Open, Unified, Linked, and Grounded data, which are central to the Semantic Web. Fox then explore Big Data as an extension of Data Analytics, and provide case examples of good data analytics in cities.
  • Fox concludes that we can develop the tools that will enable anyone to analyze data, both big and small, by adopting the principles of the Semantic Web:
    • Data being openly available over the internet,
    • Data being unifiable using common vocabularies,
    • Data being linkable using International Resource Identifiers,
    • Data being accessible using a common data structure, namely triples,
    • Data being semantically grounded using Ontologies.

Foulonneau, Muriel, Sébastien Martin, and Slim Turki. “How Open Data Are Turned into Services?” In Exploring Services Science, edited by Mehdi Snene and Michel Leonard, 31–39. Lecture Notes in Business Information Processing 169. Springer International Publishing, 2014. http://bit.ly/1fltUmR.

  • In this chapter, the authors argue that, considering the important role the development of new services plays as a motivation for open data policies, the impact of new services created through open data should play a more central role in evaluating the success of open data initiatives.
  • Foulonneau, Martin and Turki argue that the following metrics should be considered when evaluating the success of open data initiatives: “the usage, audience, and uniqueness of the services, according to the changes it has entailed in the public institutions that have open their data…the business opportunity it has created, the citizen perception of the city…the modification to particular markets it has entailed…the sustainability of the services created, or even the new dialog created with citizens.”

Goldstein, Brett, and Lauren Dyson. Beyond Transparency: Open Data and the Future of Civic Innovation. 1 edition. (Code for America Press: 2013). http://bit.ly/15OAxgF

  • This “cross-disciplinary survey of the open data landscape” features stories from practitioners in the open data space — including Michael Flowers, Brett Goldstein, Emer Colmeman and many others — discussing what they’ve accomplished with open civic data. The book “seeks to move beyond the rhetoric of transparency for transparency’s sake and towards action and problem solving.”
  • The book’s editors seek to accomplish the following objectives:
    • Help local governments learn how to start an open data program
    • Spark discussion on where open data will go next
    • Help community members outside of government better engage with the process of governance
    • Lend a voice to many aspects of the open data community.
  • The book is broken into five sections: Opening Government Data, Building on Open Data, Understanding Open Data, Driving Decisions with Data and Looking Ahead.

Granickas, Karolis. “Understanding the Impact of Releasing and Re-using Open Government Data.” European Public Sector Information Platform, ePSIplatform Topic Report No. 2013/08, (2013). http://bit.ly/GU0Nx4.

  • This paper examines the impact of open government data by exploring the latest research in the field, with an eye toward enabling  an environment for open data, as well as identifying the benefits of open government data and its political, social, and economic impacts.
  • Granickas concludes that to maximize the benefits of open government data: a) further research is required that structure and measure potential benefits of open government data; b) “government should pay more attention to creating feedback mechanisms between policy implementers, data providers and data-re-users”; c) “finding a balance between demand and supply requires mechanisms of shaping demand from data re-users and also demonstration of data inventory that governments possess”; and lastly, d) “open data policies require regular monitoring.”

Gurin, Joel. Open Data Now: The Secret to Hot Startups, Smart Investing, Savvy Marketing, and Fast Innovation, (New York: McGraw-Hill, 2014). http://amzn.to/1flubWR.

  • In this book, GovLab Senior Advisor and Open Data 500 director Joel Gurin explores the broad realized and potential benefit of Open Data, and how, “unlike Big Data, Open Data is transparent, accessible, and reusable in ways that give it the power to transform business, government, and society.”
  • The book provides “an essential guide to understanding all kinds of open databases – business, government, science, technology, retail, social media, and more – and using those resources to your best advantage.”
  • In particular, Gurin discusses a number of applications of Open Data with very real potential benefits:
    • “Hot Startups: turn government data into profitable ventures;
    • Savvy Marketing: understanding how reputational data drives your brand;
    • Data-Driven Investing: apply new tools for business analysis;
    • Consumer Information: connect with your customers using smart disclosure;
    • Green Business: use data to bet on sustainable companies;
    • Fast R&D: turn the online world into your research lab;
    • New Opportunities: explore open fields for new businesses.”

Jetzek, Thorhildur, Michel Avital, and Niels Bjørn-Andersen. “Generating Value from Open Government Data.” Thirty Fourth International Conference on Information Systems, 5. General IS Topics 2013. http://bit.ly/1gCbQqL.

  • In this paper, the authors “developed a conceptual model portraying how data as a resource can be transformed to value.”
  • Jetzek, Avital and Bjørn-Andersen propose a conceptual model featuring four Enabling Factors (openness, resource governance, capabilities and technical connectivity) acting on four Value Generating Mechanisms (efficiency, innovation, transparency and participation) leading to the impacts of Economic and Social Value.
  • The authors argue that their research supports that “all four of the identified mechanisms positively influence value, reflected in the level of education, health and wellbeing, as well as the monetary value of GDP and environmental factors.”

Kassen, Maxat. “A promising phenomenon of open data: A case study of the Chicago open data project.” Government Information Quarterly (2013). http://bit.ly/1ewIZnk.

  • This paper uses the Chicago open data project to explore the “empowering potential of an open data phenomenon at the local level as a platform useful for promotion of civic engagement projects and provide a framework for future research and hypothesis testing.”
  • Kassen argues that “open data-driven projects offer a new platform for proactive civic engagement” wherein governments can harness “the collective wisdom of the local communities, their knowledge and visions of the local challenges, governments could react and meet citizens’ needs in a more productive and cost-efficient manner.”
  • The paper highlights the need for independent IT developers to network in order for this trend to continue, as well as the importance of the private sector in “overall diffusion of the open data concept.”

Keen, Justin, Radu Calinescu, Richard Paige, John Rooksby. “Big data + politics = open data: The case of health care data in England.” Policy and Internet 5 (2), (2013): 228–243. http://bit.ly/1i231WS.

  • This paper examines the assumptions regarding open datasets, technological infrastructure and access, using healthcare systems as a case study.
  • The authors specifically address two assumptions surrounding enthusiasm about Big Data in healthcare: the assumption that healthcare datasets and technological infrastructure are up to task, and the assumption of access to this data from outside the healthcare system.
  • By using the National Health Service in England as an example, the authors identify data, technology, and information governance challenges. They argue that “public acceptability of third party access to detailed health care datasets is, at best, unclear,” and that the prospects of Open Data depend on Open Data policies, which are inherently political, and the government’s assertion of property rights over large datasets. Thus, they argue that the “success or failure of Open Data in the NHS may turn on the question of trust in institutions.”

Kulk, Stefan and Bastiaan Van Loenen. “Brave New Open Data World?” International Journal of Spatial Data Infrastructures Research, May 14, 2012. http://bit.ly/15OAUYR.

  • This paper examines the evolving tension between the open data movement and the European Union’s privacy regulations, especially the Data Protection Directive.
  • The authors argue, “Technological developments and the increasing amount of publicly available data are…blurring the lines between non-personal and personal data. Open data may not seem to be personal data on first glance especially when it is anonymised or aggregated. However, it may become personal by combining it with other publicly available data or when it is de-anonymised.”

Kundra, Vivek. “Digital Fuel of the 21st Century: Innovation through Open Data and the Network Effect.” Joan Shorenstein Center on the Press, Politics and Public Policy, Harvard College: Discussion Paper Series, January 2012, http://hvrd.me/1fIwsjR.

  • In this paper, Vivek Kundra, the first Chief Information Officer of the United States, explores the growing impact of open data, and argues that, “In the information economy, data is power and we face a choice between democratizing it and holding on to it for an asymmetrical advantage.”
  • Kundra offers four specific recommendations to maximize the impact of open data: Citizens and NGOs must demand open data in order to fight government corruption, improve accountability and government services; Governments must enact legislation to change the default setting of government to open, transparent and participatory; The press must harness the power of the network effect through strategic partnerships and crowdsourcing to cut costs and provide better insights; and Venture capitalists should invest in startups focused on building companies based on public sector data.

Noveck, Beth Simone and Daniel L. Goroff. “Information for Impact: Liberating Nonprofit Sector Data.” The Aspen Institute Philanthropy & Social Innovation Publication Number 13-004. 2013. http://bit.ly/WDxd7p.

  • This report is focused on “obtaining better, more usable data about the nonprofit sector,” which encompasses, as of 2010, “1.5 million tax-exempt organizations in the United States with $1.51 trillion in revenues.”
  • Toward that goal, the authors propose liberating data from the Form 990, an Internal Revenue Service form that “gathers and publishes a large amount of information about tax-exempt organizations,” including information related to “governance, investments, and other factors not directly related to an organization’s tax calculations or qualifications for tax exemption.”
  • The authors recommend a two-track strategy: “Pursuing the longer-term goal of legislation that would mandate electronic filing to create open 990 data, and pursuing a shorter-term strategy of developing a third party platform that can demonstrate benefits more immediately.”

Robinson, David G., Harlan Yu, William P. Zeller, and Edward W. Felten, “Government Data and the Invisible Hand.” Yale Journal of Law & Technology 11 (2009), http://bit.ly/1c2aDLr.

  • This paper proposes a new approach to online government data that “leverages both the American tradition of entrepreneurial self-reliance and the remarkable low-cost flexibility of contemporary digital technology.”
  • “In order for public data to benefit from the same innovation and dynamism that characterize private parties’ use of the Internet, the federal government must reimagine its role as an information provider. Rather than struggling, as it currently does, to design sites that meet each end-user need, it should focus on creating a simple, reliable and publicly accessible infrastructure that ‘exposes’ the underlying data.”
Ubaldi, Barbara. “Open Government Data: Towards Empirical Analysis of Open Government Data Initiatives.” OECD Working Papers on Public Governance. Paris: Organisation for Economic Co-operation and Development, May 27, 2013. http://bit.ly/15OB6qP.

  • This working paper from the OECD seeks to provide an all-encompassing look at the principles, concepts and criteria framing open government data (OGD) initiatives.
  • Ubaldi also analyzes a variety of challenges to implementing OGD initiatives, including policy, technical, economic and financial, organizational, cultural and legal impediments.
  • The paper also proposes a methodological framework for evaluating OGD Initiatives in OECD countries, with the intention of eventually “developing a common set of metrics to consistently assess impact and value creation within and across countries.”

Worthy, Ben. “David Cameron’s Transparency Revolution? The Impact of Open Data in the UK.” SSRN Scholarly Paper. Rochester, NY: Social Science Research Network, November 29, 2013. http://bit.ly/NIrN6y.

  • In this article, Worthy “examines the impact of the UK Government’s Transparency agenda, focusing on the publication of spending data at local government level. It measures the democratic impact in terms of creating transparency and accountability, public participation and everyday information.”
  • Worthy’s findings, based on surveys of local authorities, interviews and FOI requests, are disappointing. He finds that:
    • Open spending data has led to some government accountability, but largely from those already monitoring government, not regular citizens.
    • Open Data has not led to increased participation, “as it lacks the narrative or accountability instruments to fully bring such effects.”
    • It has also not “created a new stream of information to underpin citizen choice, though new innovations offer this possibility. The evidence points to third party innovations as the key.
  • Despite these initial findings, “Interviewees pointed out that Open Data holds tremendous opportunities for policy-making. Joined up data could significantly alter how policy is made and resources targeted. From small scale issues e.g. saving money through prescriptions to targeting homelessness or health resources, it can have a transformative impact. “

Zuiderwijk, Anneke, Marijn Janssen, Sunil Choenni, Ronald Meijer and Roexsana Sheikh Alibaks. “Socio-technical Impediments of Open Data.” Electronic Journal of e-Government 10, no. 2 (2012). http://bit.ly/17yf4pM.

  • This paper to seeks to identify the socio-technical impediments to open data impact based on a review of the open data literature, as well as workshops and interviews.
  • The authors discovered 118 impediments across ten categories: 1) availability and access; 2) find-ability; 3) usability; 4) understandability; 5) quality; 6) linking and combining data; 7) comparability and compatibility; 8) metadata; 9) interaction with the data provider; and 10) opening and uploading.

Zuiderwijk, Anneke and Marijn Janssen. “Open Data Policies, Their Implementation and Impact: A Framework for Comparison.” Government Information Quarterly 31, no. 1 (January 2014): 17–29. http://bit.ly/1bQVmYT.

  • In this article, Zuiderwijk and Janssen argue that “currently there is a multiplicity of open data policies at various levels of government, whereas very little systematic and structured research [being] done on the issues that are covered by open data policies, their intent and actual impact.”
  • With this evaluation deficit in mind, the authors propose a new framework for comparing open data policies at different government levels using the following elements for comparison:
    • Policy environment and context, such as level of government organization and policy objectives;
    • Policy content (input), such as types of data not publicized and technical standards;
    • Performance indicators (output), such as benefits and risks of publicized data; and
    • Public values (impact).

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Did we miss anything? Please submit reading recommendations to biblio@thegovlab.org or in the comments below.

Selected Readings on Behavioral Economics: Nudges

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of behavioral economics was originally published in 2014.

The 2008 publication of Richard Thaler and Cass Sunstein’s Nudge ushered in a new era of behavioral economics, and since then, policy makers in the United States and elsewhere have been applying behavioral economics to the field of public policy. Like Smart Disclosure, behavioral economics can be used in the public sector to improve the decisionmaking ability of citizens without relying on regulatory interventions. In the six years since Nudge was published, the United Kingdom has created the Behavioural Insights Team (also known as the Nudge Unit), a cross-ministerial organization that uses behavioral economics to inform public policy, and the White House has recently followed suit by convening a team of behavioral economists to create a behavioral insights-driven team in the United States. Policymakers have been using behavioral insights to design more effective interventions in the fields of long term unemployment; roadway safety; enrollment in retirement plans; and increasing enrollment in organ donation registries, to name some noteworthy examples. The literature of this nascent field provides a look at the growing optimism in the potential of applying behavioral insights in the public sector to improve people’s lives.

Selected Reading List (in alphabetical order)

  • John Beshears, James Choi, David Laibson and Brigitte C. Madrian – The Importance of Default Options for Retirement Savings Outcomes: Evidence from the United States – a paper examining the role default options play in encouraging intelligent retirement savings decisionmaking.
  • Cabinet Office and Behavioural Insights Team, United Kingdom – Applying Behavioural Insights to Health – a paper outlining some examples of behavioral economics being applied to the healthcare landscape using cost-efficient interventions.
  • Matthew Darling, Saugato Datta and Sendhil Mullainathan – The Nature of the BEast: What Behavioral Economics Is Not – a paper discussing why control and behavioral economics are not as closely aligned as some think, reiterating the fact that the field is politically agnostic.
  • Antoinette Schoar and Saugato Datta – The Power of Heuristics – a paper exploring the concept of “heuristics,” or rules of thumb, which can provide helpful guidelines for pushing people toward making “reasonably good” decisions without a full understanding of the complexity of a situation.
  • Richard H. Thaler and Cass R. Sunstein – Nudge: Improving Decisions About Health, Wealth, and Happiness – an influential book describing the many ways in which the principles of behavioral economics can be and have been used to influence choices and behavior through the development of new “choice architectures.” 
  • U.K. Parliament Science and Technology Committee – Behaviour Change – an exploration of the government’s attempts to influence the behaviour of its citizens through nudges, with a focus on comparing the effectiveness of nudges to that of regulatory interventions.

Annotated Selected Reading List (in alphabetical order)

Beshears, John, James Choi, David Laibson and Brigitte C. Madrian. “The Importance of Default Options for Retirement Savings Outcomes: Evidence from the United States.” In Jeffrey R. Brown, Jeffrey B. Liebman and David A. Wise, editors, Social Security Policy in a Changing Environment, Cambridge: National Bureau of Economic Research, 2009. http://bit.ly/LFmC5s.

  • This paper examines the role default options play in pushing people toward making intelligent decisions regarding long-term savings and retirement planning.
  • Importantly, the authors provide evidence that a strategically oriented default setting from the outset is likely not enough to fully nudge people toward the best possible decisions in retirement savings. They find that the default settings in every major dimension of the savings process (from deciding whether to participate in a 401(k) to how to withdraw money at retirement) have real and distinct effects on behavior.

Cabinet Office and Behavioural Insights Team, United Kingdom. “Applying Behavioural Insights to Health.” December 2010. http://bit.ly/1eFP16J.

  • In this report, the United Kingdom’s Behavioural Insights Team does not attempt to “suggest that behaviour change techniques are the silver bullet that can solve every problem.” Rather, they explore a variety of examples where local authorities, charities, government and the private-sector are using behavioural interventions to encourage healthier behaviors.  
  • The report features case studies regarding behavioral insights ability to affect the following public health issues:
    • Smoking
    • Organ donation
    • Teenage pregnancy
    • Alcohol
    • Diet and weight
    • Diabetes
    • Food hygiene
    • Physical activity
    • Social care
  • The report concludes with a call for more experimentation and knowledge gathering to determine when, where and how behavioural interventions can be most effective in helping the public become healthier.

Darling, Matthew, Saugato Datta and Sendhil Mullainathan. “The Nature of the BEast: What Behavioral Economics Is Not.” The Center for Global Development. October 2013. https://bit.ly/2QytRmf.

  • In this paper, Darling, Datta and Mullainathan outline the three most pervasive myths that abound within the literature about behavioral economics:
    • First, they dispel the relationship between control and behavioral economics.  Although tools used within behavioral economics can convince people to make certain choices, the goal is to nudge people to make the choices they want to make. For example, studies find that when retirement savings plans change the default to opt-in rather than opt-out, more workers set up 401K plans. This is an example of a nudge that guides people to make a choice that they already intend to make.
    • Second, they reiterate that the field is politically agnostic. Both liberals and conservatives have adopted behavioral economics and its approach is neither liberal nor conservative. President Obama embraces behavioral economics but the United Kingdom’s conservative party does, too.
    • And thirdly, the article highlights that irrationality actually has little to do with behavioral economics. Context is an important consideration when one considers what behavior is rational and what behavior is not. Rather than use the term “irrational” to describe human beings, the authors assert that humans are “infinitely complex” and behavior that is often considered irrational is entirely situational.

Schoar, Antoinette and Saugato Datta. “The Power of Heuristics.” Ideas42. January 2014. https://bit.ly/2UDC5YK.

  • This paper explores the notion that being presented with a bevy of options can be desirable in many situations, but when making an intelligent decision requires a high-level understanding of the nuances of vastly different financial aid packages, for example, options can overwhelm. Heuristics (rules of thumb) provide helpful guidelines that “enable people to make ‘reasonably good’ decisions without needing to understand all the complex nuances of the situation.”
  • The underlying goal heuristics in the policy space involves giving people the type of “rules of thumb” that enable make good decisionmaking regarding complex topics such as finance, healthcare and education. The authors point to the benefit of asking individuals to remember smaller pieces of knowledge by referencing a series of studies conducted by psychologists Beatty and Kahneman that showed people were better able to remember long strings of numbers when they were broken into smaller segments.
  • Schoar and Datta recommend these four rules when implementing heuristics:
    • Use heuristics where possible, particularly in complex situation;
    • Leverage new technology (such as text messages and Internet-based tools) to implement heuristics.
    • Determine where heuristics can be used in adult training programs and replace in-depth training programs with heuristics where possible; and
    • Consider how to apply heuristics in situations where the exception is the rule. The authors point to the example of savings and credit card debt. In most instances, saving a portion of one’s income is a good rule of thumb. However, when one has high credit card debt, paying off debt could be preferable to building one’s savings.

Thaler, Richard H. and Cass R. Sunstein. Nudge: Improving Decisions About Health, Wealth, and Happiness. Yale University Press, 2008. https://bit.ly/2kNXroe.

  • This book, likely the single piece of scholarship most responsible for bringing the concept of nudges into the public consciousness, explores how a strategic “choice architecture” can help people make the best decisions.
  • Thaler and Sunstein, while advocating for the wider and more targeted use of nudges to help improve people’s lives without resorting to overly paternal regulation, look to five common nudges for lessons and inspiration:
    • The design of menus gets you to eat (and spend) more;
    • “Flies” in urinals improve, well, aim;
    • Credit card minimum payments affect repayment schedules;
    • Automatic savings programs increase savings rate; and
    • “Defaults” can improve rates of organ donation.
  • In the simplest terms, the authors propose the wider deployment of choice architectures that follow “the golden rule of libertarian paternalism: offer nudges that are most likely to help and least likely to inflict harm.”

U.K. Parliament Science and Technology Committee. “Behaviour Change.” July 2011. http://bit.ly/1cbYv5j.

  • This report from the U.K.’s Science and Technology Committee explores the government’s attempts to influence the behavior of its citizens through nudges, with a focus on comparing the effectiveness of nudges to that of regulatory interventions.
  • The author’s central conclusion is that, “non-regulatory measures used in isolation, including ‘nudges,’ are less likely to be effective. Effective policies often use a range of interventions.”
  • The report’s other major findings and recommendations are:
    • Government must invest in gathering more evidence about what measures work to influence population behaviour change;
    • They should appoint an independent Chief Social Scientist to provide them with robust and independent scientific advice;
    • The Government should take steps to implement a traffic light system of nutritional labelling on all food packaging; and
    • Current voluntary agreements with businesses in relation to public health have major failings. They are not a proportionate response to the scale of the problem of obesity and do not reflect the evidence about what will work to reduce obesity. If effective agreements cannot be reached, or if they show minimal benefit, the Government should pursue regulation.”

Selected Readings on Personal Data: Security and Use

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of personal data was originally published in 2014.

Advances in technology have greatly increased the potential for policymakers to utilize the personal data of large populations for the public good. However, the proliferation of vast stores of useful data has also given rise to a variety of legislative, political, and ethical concerns surrounding the privacy and security of citizens’ personal information, both in terms of collection and usage. Challenges regarding the governance and regulation of personal data must be addressed in order to assuage individuals’ concerns regarding the privacy, security, and use of their personal information.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Cavoukian, Ann. “Personal Data Ecosystem (PDE) – A Privacy by Design Approach to an Individual’s Pursuit of Radical Control.” Privacy by Design, October 15, 2013. https://bit.ly/2S00Yfu.

  • In this paper, Cavoukian describes the Personal Data Ecosystem (PDE), an “emerging landscape of companies and organizations that believe individuals should be in control of their personal data, and make available a growing number of tools and technologies to enable this control.” She argues that, “The right to privacy is highly compatible with the notion of PDE because it enables the individual to have a much greater degree of control – “Radical Control” – over their personal information than is currently possible today.”
  • To ensure that the PDE reaches its privacy-protection potential, Cavouckian argues that it must practice The 7 Foundational Principles of Privacy by Design:
    • Proactive not Reactive; Preventative not Remedial
    • Privacy as the Default Setting
    • Privacy Embedded into Design
    • Full Functionality – Positive-Sum, not Zero-Sum
    • End-to-End Security – Full Lifecycle Protection
    • Visibility and Transparency – Keep it Open
    • Respect for User Privacy – Keep it User-Centric

Kirkham, T., S. Winfield, S. Ravet, and S. Kellomaki. “A Personal Data Store for an Internet of Subjects.” In 2011 International Conference on Information Society (i-Society). 92–97.  http://bit.ly/1alIGuT.

  • This paper examines various factors involved in the governance of personal data online, and argues for a shift from “current service-oriented applications where often the service provider is in control of the person’s data” to a person centric architecture where the user is at the center of personal data control.
  • The paper delves into an “Internet of Subjects” concept of Personal Data Stores, and focuses on implementation of such a concept on personal data that can be characterized as either “By Me” or “About Me.”
  • The paper also presents examples of how a Personal Data Store model could allow users to both protect and present their personal data to external applications, affording them greater control.

OECD. The 2013 OECD Privacy Guidelines. 2013. http://bit.ly/166TxHy.

  • This report is indicative of the “important role in promoting respect for privacy as a fundamental value and a condition for the free flow of personal data across borders” played by the OECD for decades. The guidelines – revised in 2013 for the first time since being drafted in 1980 – are seen as “[t]he cornerstone of OECD work on privacy.”
  • The OECD framework is built around eight basic principles for personal data privacy and security:
    • Collection Limitation
    • Data Quality
    • Purpose Specification
    • Use Limitation
    • Security Safeguards
    • Openness
    • Individual Participation
    • Accountability

Ohm, Paul. “Broken Promises of Privacy: Responding to the Surprising Failure of Anonymization.” UCLA Law Review 57, 1701 (2010). http://bit.ly/18Q5Mta.

  • This article explores the implications of the “astonishing ease” with which scientists have demonstrated the ability to “reidentify” or “deanonmize” supposedly anonymous personal information.
  • Rather than focusing exclusively on whether personal data is “anonymized,” Ohm offers five factors for governments and other data-handling bodies to use for assessing the risk of privacy harm: data-handling techniques, private versus public release, quantity, motive and trust.

Polonetsky, Jules and Omer Tene. “Privacy in the Age of Big Data: A Time for Big Decisions.” Stanford Law Review Online 64 (February 2, 2012): 63. http://bit.ly/1aeSbtG.

  • In this article, Tene and Polonetsky argue that, “The principles of privacy and data protection must be balanced against additional societal values such as public health, national security and law enforcement, environmental protection, and economic efficiency. A coherent framework would be based on a risk matrix, taking into account the value of different uses of data against the potential risks to individual autonomy and privacy.”
  • To achieve this balance, the authors believe that, “policymakers must address some of the most fundamental concepts of privacy law, including the definition of ‘personally identifiable information,’ the role of consent, and the principles of purpose limitation and data minimization.”

Shilton, Katie, Jeff Burke, Deborah Estrin, Ramesh Govindan, Mark Hansen, Jerry Kang, and Min Mun. “Designing the Personal Data Stream: Enabling Participatory Privacy in Mobile Personal Sensing”. TPRC, 2009. http://bit.ly/18gh8SN.

  • This article argues that the Codes of Fair Information Practice, which have served as a model for data privacy for decades, do not take into account a world of distributed data collection, nor the realities of data mining and easy, almost uncontrolled, dissemination.
  • The authors suggest “expanding the Codes of Fair Information Practice to protect privacy in this new data reality. An adapted understanding of the Codes of Fair Information Practice can promote individuals’ engagement with their own data, and apply not only to governments and corporations, but software developers creating the data collection programs of the 21st century.”
  • In order to achieve this change in approach, the paper discusses three foundational design principles: primacy of participants, data legibility, and engagement of participants throughout the data life cycle.

Selected Readings on Big Data

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of big data was originally published in 2014.

Big Data refers to the wide-scale collection, aggregation, storage, analysis and use of data. Government is increasingly in control of a massive amount of raw data that, when analyzed and put to use, can lead to new insights on everything from public opinion to environmental concerns. The burgeoning literature on Big Data argues that it generates value by: creating transparency; enabling experimentation to discover needs, expose variability, and improve performance; segmenting populations to customize actions; replacing/supporting human decision making with automated algorithms; and innovating new business models, products and services. The insights drawn from data analysis can also be visualized in a manner that passes along relevant information, even to those without the tech savvy to understand the data on its own terms (see The GovLab Selected Readings on Data Visualization).

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Australian Government Information Management Office. The Australian Public Service Big Data Strategy: Improved Understanding through Enhanced Data-analytics Capability Strategy Report. August 2013. http://bit.ly/17hs2xY.

  • This Big Data Strategy produced for Australian Government senior executives with responsibility for delivering services and developing policy is aimed at ingraining in government officials that the key to increasing the value of big data held by government is the effective use of analytics. Essentially, “the value of big data lies in [our] ability to extract insights and make better decisions.”
  • This positions big data as a national asset that can be used to “streamline service delivery, create opportunities for innovation, identify new service and policy approaches as well as supporting the effective delivery of existing programs across a broad range of government operations.”

Bollier, David. The Promise and Peril of Big Data. The Aspen Institute, Communications and Society Program, 2010. http://bit.ly/1a3hBIA.

  • This report captures insights from the 2009 Roundtable exploring uses of Big Data within a number of important consumer behavior and policy implication contexts.
  • The report concludes that, “Big Data presents many exciting opportunities to improve modern society. There are incalculable opportunities to make scientific research more productive, and to accelerate discovery and innovation. People can use new tools to help improve their health and well-being, and medical care can be made more efficient and effective. Government, too, has a great stake in using large databases to improve the delivery of government services and to monitor for threats to national security.
  • However, “Big Data also presents many formidable challenges to government and citizens precisely because data technologies are becoming so pervasive, intrusive and difficult to understand. How shall society protect itself against those who would misuse or abuse large databases? What new regulatory systems, private-law innovations or social practices will be capable of controlling anti-social behaviors–and how should we even define what is socially and legally acceptable when the practices enabled by Big Data are so novel and often arcane?”

Boyd, Danah and Kate Crawford. “Six Provocations for Big Data.” A Decade in Internet Time: Symposium on the Dynamics of the Internet and Society. September 2011. http://bit.ly/1jJstmz.

  • In this paper, Boyd and Crawford raise challenges to unchecked assumptions and biases regarding big data. The paper makes a number of assertions about the “computational culture” of big data and pushes back against those who consider big data to be a panacea.
  • The authors’ provocations for big data are:
    • Automating Research Changes the Definition of Knowledge
    • Claims to Objectivity and Accuracy are Misleading
    • Big Data is not always Better Data
    • Not all Data is Equivalent
    • Just Because it is accessible doesn’t make it ethical
    • Limited Access to Big Data creates New Digital Divide

The Economist Intelligence Unit. Big Data and the Democratisation of Decisions. October 2012. http://bit.ly/17MpH8L.

  • This report from the Economist Intelligence Unit focuses on the positive impact of big data adoption in the private sector, but its insights can also be applied to the use of big data in governance.
  • The report argues that innovation can be spurred by democratizing access to data, allowing a diversity of stakeholders to “tap data, draw lessons and make business decisions,” which in turn helps companies and institutions respond to new trends and intelligence at varying levels of decision-making power.

Manyika, James, Michael Chui, Brad Brown, Jacques Bughin, Richard Dobbs, Charles Roxburgh, and Angela Hung Byers. Big Data: The Next Frontier for Innovation, Competition, and Productivity.  McKinsey & Company. May 2011. http://bit.ly/18Q5CSl.

  • This report argues that big data “will become a key basis of competition, underpinning new waves of productivity growth, innovation, and consumer surplus, and that “leaders in every sector will have to grapple with the implications of big data.” 
  • The report offers five broad ways in which using big data can create value:
    • First, big data can unlock significant value by making information transparent and usable at much higher frequency.
    • Second, as organizations create and store more transactional data in digital form, they can collect more accurate and detailed performance information on everything from product inventories to sick days, and therefore expose variability and boost performance.
    • Third, big data allows ever-narrower segmentation of customers and therefore much more precisely tailored products or services.
    • Fourth, big sophisticated analytics can substantially improve decision-making.
    • Finally, big data can be used to improve the development of the next generation of products and services.

The Partnership for Public Service and the IBM Center for The Business of Government. “From Data to Decisions II: Building an Analytics Culture.” October 17, 2012. https://bit.ly/2EbBTMg.

  • This report discusses strategies for better leveraging data analysis to aid decision-making. The authors argue that, “Organizations that are successful at launching or expanding analytics program…systematically examine their processes and activities to ensure that everything they do clearly connects to what they set out to achieve, and they use that examination to pinpoint weaknesses or areas for improvement.”
  • While the report features many strategies for government decisions-makers, the central recommendation is that, “leaders incorporate analytics as a way of doing business, making data-driven decisions transparent and a fundamental approach to day-to-day management. When an analytics culture is built openly, and the lessons are applied routinely and shared widely, an agency can embed valuable management practices in its DNA, to the mutual benet of the agency and the public it serves.”

TechAmerica Foundation’s Federal Big Data Commission. “Demystifying Big Data: A Practical Guide to Transforming the Business of Government.” 2013. http://bit.ly/1aalUrs.

  • This report presents key big data imperatives that government agencies must address, the challenges and the opportunities posed by the growing volume of data and the value Big Data can provide. The discussion touches on the value of big data to businesses and organizational mission, presents case study examples of big data applications, technical underpinnings and public policy applications.
  • The authors argue that new digital information, “effectively captured, managed and analyzed, has the power to change every industry including cyber security, healthcare, transportation, education, and the sciences.” To ensure that this opportunity is realized, the report proposes a detailed big data strategy framework with the following steps: define, assess, plan, execute and review.

World Economic Forum. “Big Data, Big Impact: New Possibilities for International Development.” 2012. http://bit.ly/17hrTKW.

  • This report examines the potential for channeling the “flood of data created every day by the interactions of billions of people using computers, GPS devices, cell phones, and medical devices” into “actionable information that can be used to identify needs, provide services, and predict and prevent crises for the benefit of low-income populations”
  • The report argues that, “To realise the mutual benefits of creating an environment for sharing mobile-generated data, all ecosystem actors must commit to active and open participation. Governments can take the lead in setting policy and legal frameworks that protect individuals and require contractors to make their data public. Development organisations can continue supporting governments and demonstrating both the public good and the business value that data philanthropy can deliver. And the private sector can move faster to create mechanisms for the sharing data that can benefit the public.”

Selected Readings on Data Visualization

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of data visualization was originally published in 2013.

Data visualization is a response to the ever-increasing amount of  information in the world. With big data, informatics and predictive analytics, we have an unprecedented opportunity to revolutionize policy-making. Yet data by itself can be overwhelming. New tools and techniques for visualizing information can help policymakers clearly articulate insights drawn from data. Moreover, the rise of open data is enabling those outside of government to create informative and visually arresting representations of public information that can be used to support decision-making by those inside or outside governing institutions.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Duke, D.J., K.W. Brodlie, D.A. Duce and I. Herman. “Do You See What I Mean? [Data Visualization].” IEEE Computer Graphics and Applications 25, no. 3 (2005): 6–9. http://bit.ly/1aeU6yA.

  • In this paper, the authors argue that a more systematic ontology for data visualization to ensure the successful communication of meaning. “Visualization begins when someone has data that they wish to explore and interpret; the data are encoded as input to a visualization system, which may in its turn interact with other systems to produce a representation. This is communicated back to the user(s), who have to assess this against their goals and knowledge, possibly leading to further cycles of activity. Each phase of this process involves communication between two parties. For this to succeed, those parties must share a common language with an agreed meaning.”
  • That authors “believe that now is the right time to consider an ontology for visualization,” and “as visualization move from just a private enterprise involving data and tools owned by a research team into a public activity using shared data repositories, computational grids, and distributed collaboration…[m]eaning becomes a shared responsibility and resource. Through the Semantic Web, there is both the means and motivation to develop a shared picture of what we see when we turn and look within our own field.”

Friendly, Michael. “A Brief History of Data Visualization.” In Handbook of Data Visualization, 15–56. Springer Handbooks Comp.Statistics. Springer Berlin Heidelberg, 2008. http://bit.ly/17fM1e9.

  • In this paper, Friendly explores the “deep roots” of modern data visualization. “These roots reach into the histories of the earliest map making and visual depiction, and later into thematic cartography, statistics and statistical graphics, medicine and other fields. Along the way, developments in technologies (printing, reproduction), mathematical theory and practice, and empirical observation and recording enabled the wider use of graphics and new advances in form and content.”
  • Just as the general the visualization of data is far from a new practice, Friendly shows that the graphical representation of government information has a similarly long history. “The collection, organization and dissemination of official government statistics on population, trade and commerce, social, moral and political issues became widespread in most of the countries of Europe from about 1825 to 1870. Reports containing data graphics were published with some regularity in France, Germany, Hungary and Finland, and with tabular displays in Sweden, Holland, Italy and elsewhere.”

Graves, Alvaro and James Hendler. “Visualization Tools for Open Government Data.” In Proceedings of the 14th Annual International Conference on Digital Government Research, 136–145. Dg.o ’13. New York, NY, USA: ACM, 2013. http://bit.ly/1eNSoXQ.

  • In this paper, the authors argue that, “there is a gap between current Open Data initiatives and an important part of the stakeholders of the Open Government Data Ecosystem.” As it stands, “there is an important portion of the population who could benefit from the use of OGD but who cannot do so because they cannot perform the essential operations needed to collect, process, merge, and make sense of the data. The reasons behind these problems are multiple, the most critical one being a fundamental lack of expertise and technical knowledge. We propose the use of visualizations to alleviate this situation. Visualizations provide a simple mechanism to understand and communicate large amounts of data.”
  • The authors also describe a prototype of a tool to create visualizations based on OGD with the following capabilities:
    • Facilitate visualization creation
    • Exploratory mechanisms
    • Viralization and sharing
    • Repurpose of visualizations

Hidalgo, César A. “Graphical Statistical Methods for the Representation of the Human Development Index and Its Components.” United Nations Development Programme Human Development Reports, September 2010. http://bit.ly/166TKur.

  • In this paper for the United Nations Human Development Programme, Hidalgo argues that “graphical statistical methods could be used to help communicate complex data and concepts through universal cognitive channels that are heretofore underused in the development literature.”
  • To support his argument, representations are provided that “show how graphical methods can be used to (i) compare changes in the level of development experienced by countries (ii) make it easier to understand how these changes are tied to each one of the components of the Human Development Index (iii) understand the evolution of the distribution of countries according to HDI and its components and (iv) teach and create awareness about human development by using iconographic representations that can be used to graphically narrate the story of countries and regions.”

Stowers, Genie. “The Use of Data Visualization in Government.” IBM Center for The Business of Government, Using Technology Series, 2013. http://bit.ly/1aame9K.

  • This report seeks “to help public sector managers understand one of the more important areas of data analysis today — data visualization. Data visualizations are more sophisticated, fuller graphic designs than the traditional spreadsheet charts, usually with more than two variables and, typically, incorporating interactive features.”
  • Stowers also offers numerous examples of “visualizations that include geographical and health data, or population and time data, or financial data represented in both absolute and relative terms — and each communicates more than simply the data that underpin it. In addition to these many examples of visualizations, the report discusses the history of this technique, and describes tools that can be used to create visualizations from many different kinds of data sets.”

Selected Readings on Crowdsourcing Data

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of crowdsourcing data was originally published in 2013.

As institutions seek to improve decision-making through data and put public data to use to improve the lives of citizens, new tools and projects are allowing citizens to play a role in both the collection and utilization of data. Participatory sensing and other citizen data collection initiatives, notably in the realm of disaster response, are allowing citizens to crowdsource important data, often using smartphones, that would be either impossible or burdensomely time-consuming for institutions to collect themselves. Civic hacking, often performed in hackathon events, on the other hand, is a growing trend in which governments encourage citizens to transform data from government and other sources into useful tools to benefit the public good.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Baraniuk, Chris. “Power Politechs.” New Scientist 218, no. 2923 (June 29, 2013): 36–39. http://bit.ly/167ul3J.

  • In this article, Baraniuk discusses civic hackers, “an army of volunteer coders who are challenging preconceptions about hacking and changing the way your government operates. In a time of plummeting budgets and efficiency drives, those in power have realised they needn’t always rely on slow-moving, expensive outsourcing and development to improve public services. Instead, they can consider running a hackathon, at which tech-savvy members of the public come together to create apps and other digital tools that promise to enhace the provision of healthcare, schools or policing.”
  • While recognizing that “civic hacking has established a pedigree that demonstrates its potential for positive impact,” Baraniuk argues that a “more rigorous debate over how this activity should evolve, or how authorities ought to engage in it” is needed.

Barnett, Brandon, Muki Hansteen Izora, and Jose Sia. “Civic Hackathon Challenges Design Principles: Making Data Relevant and Useful for Individuals and Communities.” Hack for Change, https://bit.ly/2Ge6z09.

  • In this paper, researchers from Intel Labs offer “guiding principles to support the efforts of local civic hackathon organizers and participants as they seek to design actionable challenges and build useful solutions that will positively benefit their communities.”
  • The authors proposed design principles are:
    • Focus on the specific needs and concerns of people or institutions in the local community. Solve their problems and challenges by combining different kinds of data.
    • Seek out data far and wide (local, municipal, state, institutional, non-profits, companies) that is relevant to the concern or problem you are trying to solve.
    • Keep it simple! This can’t be overstated. Focus [on] making data easily understood and useful to those who will use your application or service.
    • Enable users to collaborate and form new communities and alliances around data.

Buhrmester, Michael, Tracy Kwang, and Samuel D. Gosling. “Amazon’s Mechanical Turk A New Source of Inexpensive, Yet High-Quality, Data?” Perspectives on Psychological Science 6, no. 1 (January 1, 2011): 3–5. http://bit.ly/H56lER.

  • This article examines the capability of Amazon’s Mechanical Turk to act a source of data for researchers, in addition to its traditional role as a microtasking platform.
  • The authors examine the demographics of MTurkers and find that “MTurk participants are slightly more demographically diverse than are standard Internet samples and are significantly more diverse than typical American college samples; (b) participation is affected by compensation rate and task length, but participants can still be recruited rapidly and inexpensively; (c) realistic compensation rates do not affect data quality; and (d) the data obtained are at least as reliable as those obtained via traditional methods.”
  • The paper concludes that, just as MTurk can be a strong tool for crowdsourcing tasks, data derived from MTurk can be high quality while also being inexpensive and obtained rapidly.

Goodchild, Michael F., and J. Alan Glennon. “Crowdsourcing Geographic Information for Disaster Response: a Research Frontier.” International Journal of Digital Earth 3, no. 3 (2010): 231–241. http://bit.ly/17MBFPs.

  • This article examines issues of data quality in the face of the new phenomenon of geographic information being generated by citizens, in order to examine whether this data can play a role in emergency management.
  • The authors argue that “[d]ata quality is a major concern, since volunteered information is asserted and carries none of the assurances that lead to trust in officially created data.”
  • Due to the fact that time is crucial during emergencies, the authors argue that, “the risks associated with volunteered information are often outweighed by the benefits of its use.”
  • The paper examines four wildfires in Santa Barbara in 2007-2009 to discuss current challenges with volunteered geographical data, and concludes that further research is required to answer how volunteer citizens can be used to provide effective assistance to emergency managers and responders.

Hudson-Smith, Andrew, Michael Batty, Andrew Crooks, and Richard Milton. “Mapping for the Masses Accessing Web 2.0 Through Crowdsourcing.” Social Science Computer Review 27, no. 4 (November 1, 2009): 524–538. http://bit.ly/1c1eFQb.

  • This article describes the way in which “we are harnessing the power of web 2.0 technologies to create new approaches to collecting, mapping, and sharing geocoded data.”
  • The authors examine GMapCreator and MapTube, which allow users to do a range of map-related functions such as create new maps, archive existing maps, and share or produce bottom-up maps through crowdsourcing.
  • They conclude that “these tools are helping to define a neogeography that is essentially ‘mapping for the masses,’ while noting that there are many issues of quality, accuracy, copyright, and trust that will influence the impact of these tools on map-based communication.”

Kanhere, Salil S. “Participatory Sensing: Crowdsourcing Data from Mobile Smartphones in Urban Spaces.” In Distributed Computing and Internet Technology, edited by Chittaranjan Hota and Pradip K. Srimani, 19–26. Lecture Notes in Computer Science 7753. Springer Berlin Heidelberg. 2013. https://bit.ly/2zX8Szj.

  • This paper provides a comprehensive overview of participatory sensing — a “new paradigm for monitoring the urban landscape” in which “ordinary citizens can collect multi-modal data streams from the surrounding environment using their mobile devices and share the same using existing communications infrastructure.”
  • In addition to examining a number of innovative applications of participatory sensing, Kanhere outlines the following key research challenges:
    • Dealing with incomplete samples
    •  Inferring user context
    • Protecting user privacy
    • Evaluating data trustworthiness
    • Conserving energy

Selected Readings on Smart Disclosure

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of smart disclosure was originally published in 2013.

While much attention is paid to open data, data transparency need not be managed by a simple On/Off switch: It’s often desirable to make specific data available to the public or individuals in targeted ways. A prime example is the use of government data in Smart Disclosure, which provides consumers with data they need to make difficult marketplace choices in health care, financial services, and other important areas. Governments collect two kinds of data that can be used for Smart Disclosure: First, governments collect information on services of high interest to consumers, and are increasingly releasing this kind of data to the public. In the United States, for example, the Department of Health and Human Services collects and releases online data on health insurance options, while the Department of Education helps consumers understand the true cost (after financial aid) of different colleges. Second, state, local, or national governments hold information on consumers themselves that can be useful to them. In the U.S., for example, the Blue Button program was launched to help veterans easily access their own medical records.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Better Choices: Better Deals Report on Progress in the Consumer Empowerment Strategy. Progress Report. Consumer Empowerment Strategy. United Kingdom: Department for Business Innovation & Skills, December 2012. http://bit.ly/17MqnL3.

  • The report details the progress made through the United Kingdom’s consumer empowerment strategy, Better Choices: Better Deals. The plan seeks to mitigate knowledge imbalances through information disclosure programs and targeted nudges.
  • The empowerment strategy’s four sections demonstrate the potential benefits of Smart Disclosure: 1. The power of information; 2. The power of the crowd; 3. Helping the vulnerable; and 4. A new approach to Government working with business.
Braunstein, Mark L.,. “Empowering the Patient.” In Health Informatics in the Cloud, 67–79. Springer Briefs in Computer Science. Springer New York Heidelberg Dordrecht London, 2013. https://bit.ly/2UB4jTU.
  • This book discusses the application of computing to healthcare delivery, public health and community based clinical research.
  • Braunstein asks and seeks to answer critical questions such as: Who should make the case for smart disclosure when the needs of consumers are not being met? What role do non-profits play in the conversation on smart disclosure especially when existing systems (or lack thereof) of information provision do not work or are unsafe?

Brodi, Elisa. “Product-Attribute Information” and “Product-Use Information”: Smart Disclosure and New Policy Implications for Consumers’ Protection. SSRN Scholarly Paper. Rochester, NY: Social Science Research Network, September 4, 2012. http://bit.ly/17hssEK.

  • This paper from the Research Area of the Bank of Italy’s Law and Economics Department “surveys the literature on product use information and analyzes whether and to what extent Italian regulator is trying to ensure consumers’ awareness as to their use pattern.” Rather than focusing on the type of information governments can release to citizens, Brodi proposes that governments require private companies to provide valuable use pattern information to citizens to inform decision-making.
  • The form of regulation proposed by Brodi and other proponents “is based on a basic concept: consumers can be protected if companies are forced to disclose data on the customers’ consumption history through electronic files.”
National Science and Technology Council. Smart Disclosure and Consumer Decision Making: Report of the Task Force on Smart Disclosure. Task Force on Smart Disclosure: Information and Efficiency in Consumer Markets. Washington, DC: United States Government: Executive Office of the President, May 30, 2013. http://1.usa.gov/1aamyoT.
    • This inter-agency report is a comprehensive description of smart disclosure approaches being used across the Federal Government. The report not only highlights the importance of making data available to consumers but also to innovators to build better options for consumers.
  • In addition to providing context about government policies that guide smart disclosure initiatives, the report raises questions about what parties have influence in this space.

“Policies in Practice: The Download Capability.” Markle Connecting for Health Work Group on Consumer Engagement, August 2010. http://bit.ly/HhMJyc.

  • This report from the Markle Connecting for Health Work Group on Consumer Engagement — the creator of the Blue Button system for downloading personal health records — features a “set of privacy and security practices to help people download their electronic health records.”
  • To help make health information easily accessible for all citizens, the report lists a number of important steps:
    • Make the download capability a common practice
    • Implement sound policies and practices to protect individuals and their information
    • Collaborate on sample data sets
    • Support the download capability as part of Meaningful Use and qualified or certified health IT
    • Include the download capability in procurement requirements.
  • The report also describes the rationale for the development of the Blue Button — perhaps the best known example of Smart Disclosure currently in existence — and the targeted release of health information in general:
    • Individual access to information is rooted in fair information principles and law
    • Patients need and want the information
    • The download capability would encourage innovation
    • A download capability frees data sources from having to make many decisions about the user interface
    • A download capability would hasten the path to standards and interoperability.
Sayogo, Djoko Sigit, and Theresa A. Pardo. “Understanding Smart Data Disclosure Policy Success: The Case of Green Button.” In Proceedings of the 14th Annual International Conference on Digital Government Research, 72–81. New York: ACM New York, NY, USA, 2013. http://bit.ly/1aanf1A.
  • This paper from the Proceedings of the 14th Annual International Conference on Digital Government Research explores the implementation of the Green Button Initiative, analyzing qualitative data from interviews with experts involved in Green Button development and implementation.
  • Moving beyond the specifics of the Green Button initiative, the authors raise questions on the motivations and success factors facilitating successful collaboration between public and private organizations to support smart disclosure policy.

Thaler, Richard H., and Will Tucker. “Smarter Information, Smarter Consumers.” Harvard Business Review January – February 2013. The Big Idea. http://bit.ly/18gimxw.

  • In this article, Thaler and Tucker make three key observations regarding the challenges related to smart disclosure:
    • “We are constantly confronted with information that is highly important but extremely hard to navigate or understand.”
    • “Repeated attempts to improve disclosure, including efforts to translate complex contracts into “plain English,” have met with only modest success.”
    • “There is a fundamental difficulty of explaining anything complex in simple terms. Most people find it difficult to write instructions explaining how to tie a pair of shoelaces.

Selected Readings on Crowdsourcing Funds

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of crowdsourcing was originally published in 2013.

Crowdsourcing funds, or crowdfunding, is an emerging method for raising money that allows a wide pool of people to make small investments, gain access to ideas and projects they feel personally connected to, and spur growth in small businesses and social ventures. Popular crowdfunding platforms like Kickstarter and Indiegogo helped bring the practice into the public consciousness. Now, civic crowdfunding platforms like Citizinvestor and Spacehive are helping to apply this innovative funding model already in use for helping to fund artists, charities and inventors to help address public concerns traditionally considered under government’s purview.

Crowdfunding has also received recent attention from policymakers in the US through the US Securities JOBS Act, which provides an exemption from the registration requirements for offerings of securities by a company made through an SEC registered Crowdfunding Platform.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Aitamurto, Tanja. “The Impact of Crowdfunding on Journalism.” Journalism Practice 5, no. 4 (2011): 429–445. http://bit.ly/1bk4wNI.

  • This article analyzes the impact of crowdfunding on journalism, where, “readers’ donations accumulate into judgments about the issues that need to be covered.”
  • Aitamurto’s central findings inspire optimism regarding the potential of crowdfunding for the public good. She finds that, “From the donor’s perspective, donating does not create a strong relationship from donor to journalist or to the story to which they contributed;” rather, “[t]he primary motivation for donating is to contribute to the common good and social change.”

Baeck, Peter and Liam Collins. Working the Crowd: A Short Guide to Crowdfunding and How It Can Work for You. Nesta, May 2013. http://bit.ly/Hkl3rx.

  • This report “aims to give a quick overview of crowdfunding, the different versions of the model and how they work.”
  •  The authors list four technological innovations that have contributed to the growth of modern crowdfunding:
    • An online place for pitches
    • Moving your money with a click
    • The social engine
    • Fueling campaigns with algorithms
  • Baeck and Collins consider public and social projects to be one of the areas where crowdfunding can have a significant impact. They argue that civic crowdfunding “has the potential to disrupt how money for charitable causes is sourced and how public services and spaces are used and paid for.”

Best, Jason, Sherwood Neiss and Davis Jones. “How Crowdfund Investing Helps Solve Three Pressing Socioeconomic Challenges.” Crowdfunding PR, Social Media & Marketing Campaigns. http://bit.ly/1aaTGwQ.

  • This paper outlines the forces driving the widespread use of crowdfund investing, namely social media, the existence of funding systems that marginalize people outside of major urban centers and the ability of people to function remotely from their work spaces.
  • The authors also discuss a number of public-facing benefits of crowdfund investing:
    • Crowdfund Investing Creates Jobs
    • Bringing capital in off the sidelines for use by small businesses
    • Funding entrepreneurs everywhere
    • Capital no longer for the chosen few
    • Crowdfund Investing Grows GDP
    • Reduction in the failure rate of small businesses
    • Crowd monitoring reduces agency costs

De Buysere, Kristof, Oliver Gajda, Ronald Kleverlaan, Dan Marom, and Matthias Klaes. A Framework for European Crowdfunding, 2012. http://bit.ly/1aaTFsE.

  • This paper seeks to provide a “concise overview of the state of crowdfunding in Europe, with the aim of establishing policy and a distinct framework for the European crowdfunding industry,” which the authors believe, “will aid in the economic recovery of Europe.”
  • The authors, in their advocacy for greater crowdfunding opportunities for businesses in Europe, provide a rationale for the practice that also helps demonstrate the potential benefits of greater crowdfunding opportunities within government. They argue that, “Crowdfunding can offer unique support for budding and existing entrepreneurs on multiple levels. No other investment form, be it debt or equity, can provide the benefits of pre-sales, market research, word-of-mouth promotion, and crowd wisdom without additional cost.”

Hollow, Matthew. “Crowdfunding and Civic Society in Europe: A Profitable Partnership?” Open Citizenship 4, no. 1 (May 20, 2013). http://bit.ly/1cgzefL.

  • In this paper, Hollow explores the rise of crowdfunding platforms (CFPs), particularly related to civil society. He notes that, “[f]or civil society activists and others concerned with local welfare issues, the emergence of these new CFPs has been hugely significant: It has opened up a new source of funding when governments and businesses around the world are cutting back on their spending.”
  • Hollow argues that, “aside from their evident financial and economic benefits, CFPs also have the capacity to help foster and strengthen non-parliamentary democratic structures and practices. As such, they should be supported and encouraged as part of a framework of further European democratization and civic integration.”

Mollick, Ethan R. “The Dynamics of Crowdfunding: An Exploratory Study.” Journal of Business Venturing (June 26, 2013). http://bit.ly/1aaTJIV.

  • This paper “offers a description of the underlying dynamics of success and failure among crowdfunded ventures,” focusing on how personal networks and the project quality and viability have an impact on the success of crowdfunding efforts.
  • Mollick also highlights how other factors, like the geography of the project, design choices made by crowdfunding sites and developments in technology in this space all have an influence on the relationship between backers and project founders.
  • The paper finally demonstrates that projects that succeed do so by a small margin and those that fail seemingly by a large margin suggesting the influence of social bias and crowd influence.

Stemler, Abbey R. “The JOBS Act and Crowdfunding: Harnessing the Power—and Money—of the Masses.” Business Horizons 56, no. 3 (May 2013): 271–275. http://bit.ly/1ih9lts.

  • This paper discusses the Jumpstart Our Business Startups (JOBS) Act signed into law by President Obama in 2012, with a specific focus on the CROWDFUND Act, which enables entrepreneurs and small business owners to sell limited equity in their companies to a “crowd” of investors.
  • The objective of the Act is to exempt crowdfunding from registration requirement costs, allowing the potential of equity-based funding to be realized, by creating a pathway for underfunded entrepreneurs to access otherwise inaccessible streams of funding.
  • Stemler argues that the Act helps to legitimize crowdfunding as a community-building and fundraising tool for the business community, and also helps build better relationships between small business owners and government.

Selected Readings on Crowdsourcing Opinions and Ideas

Curated on Posted on by Andrew Young

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of crowdsourcing was originally published in 2013.

As technological advances give individuals greater ability to share their opinions and ideas with the world, citizens are increasingly expecting government to consult with them and factor their input into the policy-making process. Moving away from the representative democracy system created in a less connected time, e-petitions; participatory budgeting (PB), a collaborative, community-based system for budget allocation; open innovation initiatives; and Liquid Democracy, a hybrid of direct and indirect democracy, are allowing citizens to make their voices heard between trips to the ballot box.

Selected Reading List (in alphabetical order)

Annotated Selected Reading List (in alphabetical order)

Bergmann, Eirikur. “Reconstituting Iceland – Constitutional Reform Caught in a New Critical Order in the Wake of Crisis.” in Academia.edu, (presented at the Political Legitimacy and the Paradox of Regulation, Leiden University, 2013). http://bit.ly/1aaTVYP.
  •  This paper explores the tumultuous history of Iceland’s “Crowdsourced Constitution.” The since-abandoned document was built upon three principles: distribution of power, transparency and responsibility.
  •  Even prior to the draft being dismantled through political processes, Bergmann argues that an overenthusiastic public viewed the constitution as a stronger example of citizen participation than it really was: “Perhaps with the delusion of distance the international media was branding the production as the world’s first ‘crowdsourced’ constitution, drafted by the interested public in clear view for the world to follow…This was however never a realistic description of the drafting. Despite this extraordinary open access, the Council was not able to systematically plough through all the extensive input as [it] only had four months to complete the task.”
  • Bergmann’s paper illustrates the transition Iceland’s constitution has undertaken in recent years: moving form a paradigmatic example of crowdsourcing opinions to a demonstration of the challenges inherent in bringing more voices into a realm dominated by bureaucracy and political concerns.
Gassmann, Oliver, Ellen Enkel, and Henry Chesbrough. “The Future of Open Innovation.” R&D Management 40, no. 3 (2010): 213– 221. http://bit.ly/1bk4YeN.
  • In this paper – an introduction to a special issue on the topic – Gassmann, Enkel and Chesbrough discuss the evolving trends in open innovation. They define the concept, referencing previous work by Chesbrough et al., as “…the purposive inflows and outflows of knowledge to accelerate internal innovation, and expand the markets for external use of innovation, respectively.”
  • In addition to examining the existing literature for the field, the authors identify nine trends that they believe will define the future of open innovation for businesses, many of which can also be applied to governing insitutions:
    • Industry penetration: from pioneers to mainstream
    • R&D intensity: from high to low tech
    • Size: from large firms to SMEs
    • Processes: from stage gate to probe-and-learn
    • Structure: from standalone to alliances
    • Universities: from ivory towers to knowledge brokers  Processes: from amateurs to professionals
    • Content: from products to services
    • Intellectual property: from protection to a tradable good
Gilman, Hollie Russon. “The Participatory Turn: Participatory Budgeting Comes to America.” Harvard University, 2012. https://bit.ly/2BhaeVv.
  •  In this dissertation, Gilman argues that participatory budgeting (PB) produces better outcomes than the status quo budget process in New York, while also transforming how those who participate understand themselves as citizens, constituents, Council members, civil society leaders and community stakeholders.
  • The dissertation also highlights challenges to participation drawing from experience and lessons learned from PB’s inception in Porto Alege, Brazil in 1989. While recognizing a diversity of challenges, Gilman ultimately argues that, “PB provides a viable and informative democratic innovation for strengthening civic engagement within the United States that can be streamlined and adopted to scale.”
Kasdan, Alexa, and Cattell, Lindsay. “New Report on NYC Participatory Budgeting.” Practical Visionaries. Accessed October 21, 2013. https://bit.ly/2Ek8bTu.
  • This research and evaluation report is the result of surveys, in-depth interviews and observations collected at key points during the 2011 participatory budgeting (PB) process in New York City, in which “[o]ver 2,000 community members were the ones to propose capital project ideas in neighborhood assemblies and town hall meetings.”
  • The PBNYC project progressed through six main steps:
    •  First Round of Neighborhood Assemblies
    • Delegate Orientations
    • Delegate Meetings
    • Second Round of Neighborhood Assemblies
    • Voting
    • Evaluation, Implementation & Monitoring
  •  The authors also discuss the varied roles and responsibilities for the divers stakeholders involved in the process:
    • Community Stakeholders
    • Budget Delegates
    • District Committees
    • City-wide Steering Committee  Council Member Offices
Masser, Kai. “Participatory Budgeting as Its Critics See It.” Burgerhaushalt, April 30, 2013. http://bit.ly/1dppSxW.
  • This report is a critique of the participatory budgeting (PB) process, focusing on lessons learned from the outcomes of a pilot initiative in Germany.
  • The reports focuses on three main criticisms leveled against PB:
    • Participatory Budgeting can be a time consuming process that is barely comprehensive to the people it seeks to engage, as a result there is need for information about the budget, and a strong willingness to participate in preparing it.
    • Differences in the social structure of the participants inevitably affect the outcome – the process must be designed to avoid low participation or over-representation of one group.
    • PB cannot be sustained over a prolonged period and should therefore focus on one aspect of the budgeting process. The article points to outcomes that show that citizens may find it considerably more attractive to make proposals on how to spend money than on how to save it, which may not always result in the best outcomes.
OECD. “Citizens as Partners: Information, Consultation and Public Participation in Policy-making.” The IT Law Wiki. http://bit.ly/1aIGquc.
  • This OECD policy report features discussion on the concept of crowdsourcing as a new form or representation and public participation in OECD countries, with the understanding that it creates avenues for citizens to participate in public policy-making within the overall framework of representative democracy.
  • The report provides a wealth of comparative information on measures adopted in OECD countries to strengthen citizens’ access to information, to enhance consultation and encourage their active participation in policy-making.

Tchorbadjiiski, Angel. “Liquid Democracy.” Rheinisch-Westf alische Technische Hochschule Aachen Informatik 4 ComSy, 2012. http://bit.ly/1eOsbIH.

  • This thesis presents discusses how Liquid Democracy (LD) makes it for citizens participating in an election to “either take part directly or delegate [their] own voting rights to a representative/expert. This way the voters are not limited to taking one decision for legislative period as opposed to indirect (representative) democracy, but are able to actively and continuously take part in the decision-making process.”
  • Tchorbadjiiski argues that, “LD provides great flexibility. You do not have to decide yourself on the program of a political party, which only suits some aspects of your opinion.” Through LD, “all voters can choose between direct and indirect democracy creating a hybrid government form suiting their own views.”
  • In addition to describing the potential benefits of Liquid Democracy, Tchorbadjiiski focuses on the challenge of maintaining privacy and security in such a system. He proposes a platform that “allows for secure and anonymous voting in such a way that it is not possible, even for the system operator, to find out the identity of a voter or to prevent certain voters (for example minority groups) from casting a ballot.”