New paper by Francis Fukuyama in the journal Democratization: “The state, rule of law, and democratic accountability are the three basic components of a modern political order. The state concentrates and uses power, while law and democracy constrain the exercise of power, indicating that there is an inherent tension between them. This article looks at ways in which the state and liberal democracy interact in three areas: citizen security, patronage and clientelism, and the formation of national identity. In all three areas, state and democracy act at cross purposes in some domains, and are mutually supportive in others. The reason for this complex relationship is that both state and democracy are themselves complex collections of institutions which interact on a multiplicity of levels. Understanding the relationship between state and democracy is important in policy terms because many recent initiatives to improve the quality of governance assume that state quality and democracy are mutually supportive, something that is not fully supported by the empirical evidence.”
Pricey privacy: Framing the economy of information in the digital age
Paper by Federica Fornaciari in FirstMonday: “As new information technologies become ubiquitous, individuals are often prompted rethinking disclosure. Available media narratives may influence one’s understanding of the benefits and costs related to sharing personal information. This study, guided by frame theory, undertakes a Critical Discourse Analysis (CDA) of media discourse developed to discuss the privacy concerns related to the corporate collection and trade of personal information. The aim is to investigate the frames — the central organizing ideas — used in the media to discuss such an important aspect of the economics of personal data. The CDA explored 130 articles published in the New York Times between 2000 and 2012. Findings reveal that the articles utilized four frames: confusion and lack of transparency, justification and private interests, law and self-regulation, and commodification of information. Articles used episodic framing often discussing specific instances of infringements rather than broader thematic accounts. Media coverage tended to frame personal information as a commodity that may be traded, rather than as a fundamental value.”
Forget the FOIA Request: Cities, States Open Data Portals
Alexa Capeloto in MediaShift (PBS): “In almost any city you can read your local leaders’ emails if you formally ask for them. In Gainesville, Fla., all you have to do is go here.
In most states you can find out how tax dollars are being spent if you officially request expenditure records. In Wisconsin, you just click here.
For the last 50 years, governments have given up public records in response to Freedom of Information requests. But a number of public agencies are learning the value of proactively providing information before anyone has to ask for it.
The trend is part of the open-data movement that most large cities and the federal government have already begun to embrace. The information itself can range from simple emails to complex datasets, but the general idea is the same: Deliver information directly to the public using digital tools that can save money and serve the goal of government transparency.
…And there’s the added benefit of helping the bottom line. Users don’t have to request information if it’s already posted, saving agencies time and money, and a centralized FOIA tracking system can further streamline processing.
Sean Moulton of the Center for Effective Government testified before Congress that full participation in FOIAonline could save federal agencies an estimated $40 million per year in processing costs.
And Reinvent Albany, a nonprofit that pushes for transparency in New York, estimated in a June report that New York City could reduce FOI-related costs by 66 percent – from $20 million per year down to $7 million – by adopting an open-data system and doing away with its “hodgepodge of paper-based methods that are expensive, slow and unreliable.”
So…What’s the Catch?
In their survey, chief information officers were asked to name the top three barriers to advancing open data in state government. Fifty-three percent cited “agencies’ willingness to publish data,” and 49 percent cited “the reliability of the data.”
Information is of little value to the public if it’s faulty or too complex to understand. It could become a way for agencies to claim they’re being transparent without actually providing anything useful.
Plus, some worry that public servants will self-censor if they know, for example, their emails are automatically being shared with the world….”
Selected Readings on Cities and Civic Technology
By Julia Root and Stefaan Verhulst
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 civic innovation was originally published in 2014.
The last five years have seen a wave of new organizations, entrepreneurs and investment in cities and the field of civic innovation. Two subfields, Civic Tech and Government Innovation, are particularly aligned with GovLab’s interest in the ways in which technology is and can be deployed to redesign public institutions and re-imagine governance.
The emerging field of civic technology, or “Civic Tech,” champions new digital platforms, open data and collaboration tools for transforming government service delivery and engagement with citizens. Government Innovation, while not a new field, has seen in the last five years a proliferation of new structures (e.g. Mayor’s Office of New Urban Mechanics), roles (e.g. Chief Technology/Innovation Officer) and public/private investment (e.g. Innovation Delivery Teams and Code for America Fellows) that are building a world-wide movement for transforming how government thinks about and designs services for its citizens.
There is no set definition for “civic innovation.” However, broadly speaking, it is about improving our cities through the implementation of tools, ideas and engagement methods that strengthen the relationship between government and citizens. The civic innovation field encompasses diverse actors from across the public, private and nonprofit spectrums. These can include government leaders, nonprofit and foundation professionals, urbanists, technologists, researchers, business leaders and community organizers, each of whom may use the term in a different way, but ultimately are seeking to disrupt how cities and public institutions solve problems and invest in solutions.
Selected Reading List (in alphabetical order)
- Alissa Black and Rachel Burstein – A Guide for Making Innovation Offices Work – a report that creates a typology for the new innovation offices cropping up in cities and government agencies across the country.
- Alissa Black and Rachel Burstein – The 2050 City – What Civic Innovation Looks Like Today and Tomorrow – a white paper on the field of civic innovation and how it is defined by different stakeholders in the field.
- Bloomberg Philanthropies – Transform Your City Through Innovation: The Innovation Delivery Model For Making It Happen – a playbook for implementing an Innovation Delivery Team in your city.
- Jeremy M. Goldberg – Riding the Second Wave of Civic Innovation – an article that highlights new forms of public/private partnership in the field of civic innovation.
- Stephen Goldsmith and Susan Crawford – The Responsive City – a comprehensive book of case studies from Boston, Chicago, and New York that document how digital technologies are transforming the relationship between city governments and citizens.
- Jessica Mulholland and Noelle Knell – Chief Innovation Officers in State and Local Government (Interactive Map) – an article that maps the new role for innovation officers in municipal government.
- Open Plans – Field Scan on Civic Technology – a 2012 report from Living Cities that provides one of the first overviews and set of recommendations for the civic tech field.
- Mayur Patel, Jon Sotsky, Sean Gourley and Daniel Houghton – Knight Foundation Report on Civic Technology – a report that maps the field of civic tech, charts overall investment, clusters organizations into shared themes and offers robust examples of activity and impact.
- Anthony M. Townsend – Smart Cities: Big Data, Civic Hackers, and the Quest for a New Utopia – a book exploring the diversity of motivations, challenges and potential benefits of smart cities in our “era of mass urbanization and technological ubiquity.”
Annotated Selected Readings (in alphabetical order)
Books
Goldsmith, Stephen, and Susan Crawford. The Responsive City: Engaging Communities Through Data-Smart Governance. 1 edition. San Francisco, CA: Jossey-Bass, 2014. http://bit.ly/1zvKOL0.
- The Responsive City, a guide to civic engagement and governance in the digital age, is the culmination of research originating from the Data-Smart City Solutions initiative, an ongoing project at Harvard Kennedy School working to catalyze adoption of data projects on the city level.
- The “data smart city” is one that is responsive to citizens, engages them in problem solving and finds new innovative solutions for dismantling entrenched bureaucracy.
- The authors document case studies from New York City, Boston and Chicago to explore the following topics:
- Building trust in the public sector and fostering a sustained, collective voice among communities;
- Using data-smart governance to preempt and predict problems while improving quality of life;
- Creating efficiencies and saving taxpayer money with digital tools; and
- Spearheading these new approaches to government with innovative leadership.
Townsend, Anthony M. Smart Cities: Big Data, Civic Hackers, and the Quest for a New Utopia. 1 edition. New York: W. W. Norton & Company, 2013. http://bit.ly/17Y4G0R.
- In this book, Townsend illustrates how “cities worldwide are deploying technology to address both the timeless challenges of government and the mounting problems posed by human settlements of previously unimaginable size and complexity.”
- He also considers “the motivations, aspirations, and shortcomings” of the many stakeholders involved in the development of smart cities, and poses a new civics to guide these efforts.
- He argues that smart cities are not made smart by various, soon-to-be-obsolete technologies built into its infrastructure; instead, it is how citizens are using ever-changing and grassroots technologies to be “human-centered, inclusive and resilient” that will make cities ‘smart.’
Reports + Journal Articles
Black, Alissa, and Rachel Burstein. “The 2050 City – What Civic Innovation Looks Like Today and Tomorrow.” White Paper. New America Foundation – California Civic Innovation Project, June 2013. https://bit.ly/2GohMvw.
- Through their interviews, the authors determine that civic innovation is not just a “compilation of projects” but that it can inspire institutional structural change.
- Civic innovation projects that have a “technology focus can sound very different than process-related innovations”; however the outcomes are actually quite similar as they disrupt how citizens and government engage with one another.
- Technology is viewed by some of the experts as an enabler of civic innovation – not necessarily the driver for innovation itself. What constitutes innovation is how new tools are implemented by government or by civic groups that changes the governing dynamic.
Patel, Mayur, Jon Sotsky, Sean Gourley, and Daniel Houghton. “Knight Foundation Report on Civic Technology.” Presentation. Knight Foundation, December 2013. http://slidesha.re/11UYgO0.
- This reports aims to advance the field of civic technology, which compared to the tech industry as a whole is relatively young. It maps the field, creating a starting place for understanding activity and investment in the sector.
- It defines two themes, Open Government and Civic Action, and identifies 11 clusters of civic tech innovation that fall into the two themes. For each cluster, the authors describe the type of activities and highlights specific organizations.
- The report identified more than $430 million of private and philanthropic investment directed to 102 civic tech organizations from January 2011 to May 2013.
Open Plans. “Field Scan on Civic Technology.” Living Cities, November 2012. http://bit.ly/1HGjGih.
- Commissioned by Living Cities and authored by Open Plans, the Field Scan investigates the emergent field of civic technology and generates the first analysis of the potential impact for the field as well as a critique for how tools and new methods need to be more inclusive of low-income communities in their use and implementation.
- Respondents generally agreed that the tools developed and in use in cities so far are demonstrations of the potential power of civic tech, but that these tools don’t yet go far enough.
- Civic tech tools have the potential to improve the lives of low-income people in a number of ways. However, these tools often fail to reach the population they are intended to benefit. To better understand this challenge, civic tech for low-income people must be considered in the broader context of their interactions with technology and with government.
- Although hackathons are popular, their approach to problem solving is not always driven by community needs, and hackathons often do not produce useful material for governments or citizens in need.
Goldberg, Jeremy M. “Riding the Second Wave of Civic Innovation.” Governing, August 28, 2014. http://bit.ly/1vOKnhJ.
- In this piece, Goldberg argues that innovation and entrepreneurship in local government increasingly require mobilizing talent from many sectors and skill sets.
- Organizations and Fellowship programs such as Bayes Impact, Code for America, Data Science for Social Good and Fuse Corps, are creating a new public-private partnership model that is bringing new talent into city hall, increasing innovation capacity and engagement with diverse networks.
Black, Alissa, and Burstein, Rachel. “A Guide for Making Innovation Offices Work.” IBM Center for the Business of Government, October 2014. http://bit.ly/1vOFZP4.
- In this report, Burstein and Black examine the recent trend toward the creation of innovation offices across the nation at all levels of government to understand the structural models now being used to stimulate innovation—both internally within an agency, and externally for the agency’s partners and communities.
- The authors conducted interviews with leadership of innovation offices of cities that include Philadelphia, Austin, Kansas City, Chicago, Davis, Memphis and Los Angeles.
- The report cites examples of offices, generates a typology for the field, links to projects and highlights success factors.
Mulholland, Jessica, and Noelle Knell. “Chief Innovation Officers in State and Local Government (Interactive Map).” Government Technology, March 28, 2014. http://bit.ly/1ycArvX.
- This article provides an overview of how different cities structure their Chief Innovation Officer positions and provides links to offices, projects and additional editorial content.
- Some innovation officers find their duties merged with traditional CIO responsibilities, as is the case in Chicago, Philadelphia and New York City. Others, like those in Louisville and Nashville, have titles that reveal a link to their jurisdiction’s economic development endeavors.
Toolkits
Bloomberg Philanthropies. January 2014. “Transform Your City through Innovation: The Innovation Delivery Model for Making It Happen.” New York: Bloomberg Philanthropies. http://bloombg.org/120VrKB.
- In 2011, Bloomberg Philanthropies funded a three-year innovation capacity program in five major United States cities— Atlanta, Chicago, Louisville, Memphis, and New Orleans – in which cities could hire top-level staff to develop and see through the implementation of solutions to top mayoral priorities such as customer service, murder, homelessness, and economic development, using a sequence of steps.
- The Innovation Delivery Team Playbook describes the Innovation Delivery Model and describes each aspect of the model from how to hire and structure the team, to how to manage roundtables and run competitions.
Participatory sensing: enabling interactive local governance through citizen engagement
New White Paper by the Institute for a Broadband-Enabled Society (Australia): “Local government (such as the City of Melbourne) is accountable and responsible for establishment, execution and oversight of strategic objectives and resource management in the metropolis. Faced with a rising population, Council has in place a number of strategic plans to ensure it is able to deliver services that maintain (and ideally improve) the quality of life for its citizens (including residents, workers and visitors). This publication explores participatory sensing (PS) and issues associated with governance in the light of new information gathering capabilities that directly engage citizens in collecting data and providing contextual insight that has the potential to greatly enhance Council operations in managing these environments. Download: Participatory Sensing: Enabling interactive local governance through citizen engagement (pdf: 2.3mb)“
Mapping information economy business with big data: findings from the UK
NESTA: “This paper uses innovative ‘big data’ resources to measure the size of the information economy in the UK.
Key Findings
- Counts of information economy firms are 42 per cent larger than SIC-based estimates
- Using ‘big data’ estimates, the research finds 225,800 information economy businesses in the UK
- Information economy businesses are highly clustered across the country, with very high counts in the Greater South East, notably London (especially central and east London), as well as big cities such as Manchester, Birmingham and Bristol
- Looking at local clusters, we find hotspots in Middlesbrough, Aberdeen, Brighton, Cambridge and Coventry, among others
Information and Communications Technologies – and the digital economy they support – are of enduring interest to researchers and policymakers. National and local government are particularly keen to understand the characteristics and growth potential of ‘their’ digital businesses.
Given the recent resurgence of interest in industrial policy across many developed countries, there is now substantial policy interest in developing stronger, more competitive digital economies. For example, the UK’s current industrial strategy combines horizontal interventions with support for seven key sectors, of which the ‘information economy’ is one.
The desire to grow high–tech clusters is often prominent in the policy mix – for instance, the UK’s Tech City UK initiative, Regional Innovation Clusters in the US and elements of ‘smart specialisation’ policies in the EU.
In this paper, NIESR and Growth Intelligence use novel ‘big data’ sources to improve our understanding of information economy businesses in the UK – that is, those involved in the production of ICTs. We use this experience to critically reflect on some of the opportunities and challenges presented by big data tools and analytics for economic research and policymaking.”
– See more at: http://www.nesta.org.uk/publications/mapping-information-economy-business-big-data-findings-uk-0#sthash.2ismEMr2.dpuf
Smart cities: the state-of-the-art and governance challenge
New Paper by Mark Deakin in Triple Helix – A Journal of University-Industry-Government Innovation and Entrepreneurship: “Reflecting on the governance of smart cities, the state-of-the-art this paper advances offers a critique of recent city ranking and future Internet accounts of their development. Armed with these critical insights, it goes on to explain smart cities in terms of the social networks, cultural attributes and environmental capacities, vis-a-vis, vital ecologies of the intellectual capital, wealth creation and standards of participatory governance regulating their development. The Triple Helix model which the paper advances to explain these performances in turn suggests that cities are smart when the ICTs of future Internet developments successfully embed the networks society needs for them to not only generate intellectual capital, or create wealth, but also cultivate the environmental capacity, ecology and vitality of those spaces which the direct democracy of their participatory governance open up, add value to and construct.”
Crowdsourcing and Humanitarian Action: Analysis of the Literature
Patrick Meier: “Raphael Hörler from Zurich’s ETH University has just completed his thesis on the role of crowdsourcing in humanitarian action. His valuable research offers one of the most up-to-date and comprehensive reviews of the principal players and humanitarian technologies in action today. In short, I highly recommend this important resource. Raphael’s full thesis is available here (PDF).”
Challenging Critics of Transparency in Government
at Brookings’s FIXGOV: “Brookings today published my paper, “Why Critics of Transparency Are Wrong.” It describes and subsequently challenges a school of thinkers who in various ways object to government openness and transparency. They include some very distinguished scholars and practitioners from Francis Fukuyama to Brookings’ own Jonathan Rauch. My co-authors, Gary Bass and Danielle Brian, and I explain why they get it wrong—government needs more transparency, not less.
“Critics like these assert that transparency results in government indecision, poor performance, and stalemate. Their arguments are striking because they attack a widely-cherished value, openness, attempting to connect it to an unrelated malady, gridlock. But when you hold the ‘transparency is the problem’ hypothesis up to the sunlight, its gaping holes quickly become visible.”
There is no doubt that gridlock, government dysfunction, polarization and other suboptimal aspects of the current policy environment are frustrating. However, proposed solutions must factor in both the benefits and the expected negative consequences of such changes. Less openness and transparency may ameliorate some current challenges while returning the American political system to a pre-progressive reform era in which corruption precipitated serious social and political costs.
“Simply put, information is power, and keeping information secret only serves to keep power in the hands of a few. This is a key reason the latest group of transparency critics should not be shrugged off: if left unaddressed, their arguments will give those who want to operate in the shadows new excuses.”
It is difficult to imagine a context in which honest graft is not paired with dishonest graft. It is even harder to foresee a government that is effective at distinguishing between the two and rooting out the latter.
“Rather than demonizing transparency for today’s problems, we should look to factors such as political parties and congressional leadership, partisan groups, and social (and mainstream) media, all of which thrive on the gridlock and dysfunction in Washington.”….
Look to Government—Yes, Government—for New Social Innovations
Paper by Christian Bason and Philip Colligan: “If asked to identify the hotbed of social innovation right now, many people would likely point to the new philanthropy of Silicon Valley or the social entrepreneurship efforts supported by Ashoka, Echoing Green, and Skoll Foundation. Very few people, if any, would mention their state capital or Capitol Hill. While local and national governments may have promulgated some of the greatest advances in human history — from public education to putting a man on the moon — public bureaucracies are more commonly known to stifle innovation.
Yet, around the world, there are local, regional, and national government innovators who are challenging this paradigm. They are pioneering a new form of experimental government — bringing new knowledge and practices to the craft of governing and policy making; drawing on human-centered design, user engagement, open innovation, and cross-sector collaboration; and using data, evidence, and insights in new ways.
Earlier this year, Nesta, the UK’s innovation foundation (which Philip helps run), teamed up with Bloomberg Philanthropies to publish i-teams, the first global review of public innovation teams set up by national and city governments. The study profiled 20 of the most established i-teams from around the world, including:
- French Experimental Fund for Youth, which has supported more than 554 experimental projects (such as one that reduces school drop-out rates) that have benefited over 480,000 young people;
- Nesta’s Innovation Lab, which has run 70 open innovation challenges and programs supporting over 750 innovators working in fields as diverse as energy efficiency, healthcare, and digital education;
- New Orleans’ Innovation and Delivery team, which achieved a 19% reduction in the number of murders in the city in 2013 compared to the previous year.
How are i-teams achieving these results? The most effective ones are explicit about the goal they seek – be it creating a solution to a specific policy challenge, engaging citizenry in behaviors that help the commonweal, or transforming the way government behaves. Importantly, these teams are also able to deploy the right skills, capabilities, and methods for the job.
In addition, i-teams have a strong bias toward action. They apply academic research in behavioral economics and psychology to public policy and services, focusing on rapid experimentation and iteration. The approach stands in stark contrast to the normal routines of government.
Take for example, The UK’s Behavioural Insights Team (BIT), often called the Nudge Unit. It sets clear goals, engages the right expertise to prototype means to the end, and tests innovations rapidly in the field, to learn what’s not working and rapidly scales what is.
One of BIT’s most famous projects changed taxpayer behavior. BIT’s team of economists, behavioral psychologists, and seasoned government staffers came up with minor changes to tax letters, sent out by the UK Government, that subtlety introduced positive peer pressure. By simply altering the letters to say that most people in their local area had already paid their taxes, BIT was able to boost repayment rates by around 5%. This trial was part of a range of interventions, which have helped forward over £200 million in additional tax revenue to HM Revenue & Customs, the UK’s tax authority.
The Danish government’s internal i-team, MindLab (which Christian ran for 8 years) has likewise influenced citizen behavior….”