Professional Documents
Culture Documents
Karine Nahon
Alon Peled
Jennifer Shkabatur
Abstract: This paper develops a unique index of Open Government Data Heart Beat of
Cities, which consists of three theoretical archetypes that assess the commitment of
cities to open government data (OGD). The three archetypes are: 1. Way of Life, which
reflects a high level commitment to OGD. 2. On the Fence, which represents either a low
commitment or erratic commitment to OGD. 3. Lip Service which refers to either scarce
or no commitment to OGD. These archetypes draw on four main dimensions: 1) Rhythm; 2)
Span of Issues; 3) Disclosure; and 4) Feedback. We empirically examine this theoretical
framework using longitudinal quantitative analysis on the OGD behavior of 16 different
cities in the US, using a large novel corpus of municipal OGD metadata, as well as primary
qualitative and secondary quantitative indicators. This methodology allows us to
represent, for the first time, the evolving OGD commitment behaviorheart beatof
cities. Finally, we examine the impact of some socio-demographic and political factors on
the OGD heart beat of cities in order to provide the basis for further research on the topic.
Keywords: open government data, cities, municipal, transparency, disclosure, access.
Acknowledgement: We acknowledge Alex Troitsky who helped us with the statistical
analysis of the data.
While OGD turns into an integral part of activities that are routinely performed
by governmental authorities, there is a dearth of measures to assess or compare
the OGD behavior or commitment of one agency or city to another. What are the
components of the OGD behavior of a governmental authority? How can we
assess the commitment of governmental entities toward the publication of OGD?
Can we factor in the evolution of OGD behavior and commitment over time? Can
we compare the OGD behavior and commitment of different governmental
entities?
To address these questions while focusing on the municipal level of OGD, we
develop the first-ever theoretical, quantitative, and logitudinal index that
measures the OGD Heart Beat of cities over time. We developed this index using
different metrics that measure the rhythm, span of issues, disclosure and
feedback dimensions of the OGD that cities upload to their municipal OGD
portals. Based on this index, we propose three archetypes of municipal OGD
commitment that we name OGD as a Way of Life, OGD on the Fence, and
OGD Lip Service.
To test our OGD Heart Beat model, we extracted information about the OGD
uploads of sixteen USA cities over a period of four years from a unique corpus of
OGD metadata, generated using a software developed by one of us. This
information empowered us to measure the daily, evolving OGD heart beat of our
sixteen cities and evaluate their actual day-to-day OGD behavior against our
theoretical model. We also attempt to strengthen our theoretical work by creating
and testing additional measurements, including one that codes the spectrum of
municipal issues about which cities publish information and another that codes
the legal strength of the municipal OGD policy. We also examine some socioeconomic and political indicators and qualitative data in order to deepen our
understanding of cities OGD behavior.
We believe that our theoretical model, including the three archetypes of
municipal OGD behavior (e.g, way-of-life, on-the-fence, and lip-service), holds
well against the empirical data and contributes to the theoretical understanding
of OGD policies implementation. In future research we plan to include many more
cities worldwide and add measurements to strengthen the validity of our findings.
Still, the novelty of this paper lays in its pioneering attempt to lay the foundation
for a new theory that describes and explains how and why distinct cities adopt
different OGD behavior.
2. Literature Review
have also explored the political consequences of OGD policies and resulting
power shifts (Bates 2012), the legal design of national OGD policies and
agencies behavior vis--vis OGD mandates (Peled 2013, Shkabatur 2012,
Worthy 2013), and the central role of OGD intermediaries (Roberts 2014,
Shkabatur 2014). As OGD portals have mushroomed around the world, scholarly
attention has turned to identifying the emerging political, social, and economic
impacts of OGD, discovering largely mixed results (Davies et al. 2013, Peled
2013; Worthy 2014, Manyika et al. 2013).
Despite the abundance of national level studies of OGD, an overarching
analytic framework for local-level OGD has not yet been developed. While local egovernment has been the subject of a vast body of literature (e.g., Ho 2002;
Norris & Moon 2005; Pina, Torres, and Royo 2010; Tolbert et al. 2008; Scott 2006;
Mossberger et al. 2012; ), it typically delineates general modalities of online
service provision and assesses cities performance, but does not offer a targeted
analysis of OGD. The burgeoning literature on smart citiescities that employ
information & communication technologies (ICT) to develop a citizen-centered
system of service provision and spur local innovation and co-creation (Schaffers
et al. 2011; Alawadhi et al. 2012; Townsend 2013; Goldsmith 2014) typically lacks
in-depth analyses of city-level OGD policies, strategies, and practices. Specific
case studies of OGD in selected cities have recently been developed (e.g.,
Gurstein 2012; Canares et al. 2014; Fumega 2014), but these typically do not
offer a comparative investigation of municipal OGD practices.
A distinct and structured local perspective on OGD is, however, preeminent.
First, cities are central actors in any OGD endeavor. By virtue of their
responsibility for critical government services and unmediated contact with
citizens, cities typically possess a wealth of data that is unavailable on national
OGD portals (Evans & Campos 2013), but that can be valuable for political, social,
and economic development purposes. This puts cities under pressure from both
national authorities and residents to enhance transparency and release OGD, at
times as part of a larger decentralization reform (Davies & Lithwick 2013; Local
Government Association 2012). Accordingly, hundreds of cities around the world
and dozens of cities in the United States alone have launched OGD portals in one
way or another. However, a theoretical understanding of the current practices
and potential of municipal OGD is still to be developed (Davies & Bawa 2012).
Second, municipal OGD requires a different and nuanced theoretical treatment
compared to national OGD. On the rhetorical level, municipal OGD initiatives are
more focused on improved service delivery than government accountability,
which is often at the core of national OGD declarations (Yu & Robinson 2012). The
political and socio-economic diversity of local governments complicates the
comparative task, requiring to carefully weigh in a plethora of factors affecting
the OGD capacity and potential of cities. At the same time, the simultaneous
emergence of thousands of municipal OGD web portals worldwide represents a
concrete and exciting opportunity to collect and analyze data about these portals
and explain why some cities do better than others in the OGD domain.
5
e propose to fill the theoretical gap about OGD at the municipal level
by providing an innovative model to assess the evolving OGD heart
beat of citiestheir evolving day-by-day OGD behaior and
commitment.
The OGD heart beat model consists of three
theoretical archetypes: 1. Way of Life, reflecting a high level commitment to
OGD; 2. On the Fence, representing either a low or erratic commitment to OGD;
and 3. Lip Service, referring to either scarce or no commitment to OGD. These
archetypes are constructed out of four theoretical dimensions, which represent
the main components of an information supply behavior of a city: 1) Rhythm
the citys rhythm of uploading OGD datasets (measured by the number of assets
that the city uploaded since the inception of its OGD initiative and the regularity
of these uploads, taking into account the time factor); 2) Span of Issues the
extent to which the OGD disclosed by the city encompasses a variety of aspects
in the life of its residents; 3) Disclosure the provision of metadata kewords and
categories to identify and define each of the disclosed information assets; 4)
Feedback the inclusion of contact details of unit or person responsible for the
disclosed information asset or queries about it.
The OGD heart beat of cities is meant to identify the daily OGD behavior of
cities and their evolving commitment to release meaningful OGD, thus revealing
the trajectory the city takes regarding its OGD initiative. It also provides the basis
for conversation about future interventions need to be taken in order to reach a
high level commitment to OGD. Further, while we employ this model to assess
the evolving, longitudinal behavior of cities with regard to their OGD initiatives, it
can be adopted to analyze any information supply intervention by governments
agencies.
Table 1 provides an ideal depiction of each one of the theoretical archetypes,
along the four suggested dimensions.
Dimension
Rhythm
Span
Issues
of
OGD
Way of Life
The city regularly
releases
a
significant volume
of
OGD
information.
The city covers
most
or
all
spectrum
of
municipal
life
aspects in the OGD
it discloses.
Feedback
The
city
consistently
provides
contact
details of unit or
person responsible
for the disclosed
information
or
queries about the
information asset.
Disclosure The
city
consistently
provides
kewords
and
categories
metadata
to
describe its OGD.
The
Heart High
level
Beat of OGD
commitment
to
OGD.
no
to
Few remarks are worth making: One, these are ideal types of archetypes. A city
can in principle exhibit high commitment to OGD on one dimension (e.g., span of
issues), and low commitment on another (e.g., rhythm). Two, the position of a city
in the scale in each one of the four dimensions is determined on relative terms,
compared to other cities. Therefore, there is no absolute number, which
determines the archetype representing the city, but a relative one. Three, cities
may migrate over time from one archetype to another, based on their evolving
OGD behavior and commitment. The remainder of this paper relies on
longitudinal quantitative and qualitative data to assess the OGD heart beat of
sixteen US cities.
4. Method
Thereafter, the software returns to the portal once a week, to check whether it
can find new information assets or glean new metadata information about
information assets that were previously indexed. The most important and lowestgranular information in our corpus is the rich metadata descriptions that cities
publish along with the data on their OGD portals. To the best of our knowledge,
not a single other central repository exists today for scholars studying
governmental release of datasets on individual OGD portals. Hence, this research
technique can be applied also to other levels of governments (e.g., state, federal,
international).
We relied on this software to extract the metadata given by cities in our sample
to each of the OGD information assets that they released. The corpus contains
5006 OGD information assets uploaded by each one of the 16 cities during the
last four years (see table 2). The cities that were chosen in the sample are those
that were featured on the federal US OGD portal (www.data.gov) and that have
OGD portals in JSON, CKAN or Socrata standards.
Table 2: Sixteen USA Cities and Their OGD Uploads (2011-2014)
City
Austin
Baltimore
Boston
Burlington
Chicago
Honolulu
Kansas City
Las Vegas
Los Angeles
Madison
New
Orleans
Santa Cruz
Seattle
Somerville
South Bend
Wellington
Total
State
Texas
Maryland
Massachuse
tts
Vermont
Illinois
Hawaii
Missouri
Nevada
California
Wisconsin
Louisiana
California
Washington
Massachuse
tts
Indiana
Florida
OGD
Beginning
Oct 2012
Nov 2013
Last
OGD
Upload
Sep 2014
Sep 2014
Total
Assets
OGD
289
316
Oct 2012
Dec 2013
Oct 2011
Nov 2012
Oct 2012
Nov 2013
Oct 2013
Jan 2013
Sep 2014
Sep 2014
Sep 2014
Sep 2014
Sep 2014
Jul 2014
Sep 2014
Sep 2014
317
33
523
68
2792
26
55
48
Oct 2011
Nov 2012
Jan 2011
Sep 2014
May 2014
Sep 2014
88
52
313
Jun 2012
2013_10
Oct 2012
Sep 2014
Sep 2014
Oct 2014
16
50
20
5006
11
There are two types of analyses done in this paper: 1. Measuring and testing
the theoretical framework of the OGD heart beat of cities, as proposed in section
3; 2. Analyzing through regression socio-demographic and political independent
indicators that may impact the OGD heart beat.
Operationalization
1. Assets without category and
without keyword
2. Assets with category and without
Description
The provision of metadata keywords
and categories to identify and define
each of the disclosed information
1 The Cronbachs Alpha for our compound heartbeat index is C=0.8270, which is considered as a good
value.
13
keywords
3. Assets with keywords and without
category
4. Assets with category and with
keywords
Span
Issues
(40%)
of
Feedback
(10%)
with
distinct
feedback
Rhythm
(40%)
uploaded
assets
2 These fifteen metacategories are: Animals, Community and leisure, Demographics, Education,
Environment, Financial regulation, Health, Land regulation, Legal and political system, Municipal services
general, Open government, Private sector regulation, Public safety, Traffic, and Transportation.
15
5. Results
igure 2 presents the empirical results of the four dimensions and the
archetype in which the cities fall into. The results show a clear
distinction between the three archetypes for each one of the
dimensions (Rhythm, Span of Issues, Feedback and Disclosure), and
strengthen the theoretical argument for the existence of these archetypes.
As we explained in Section 3, the Span of Issues dimension is based mainly on
a manual qualitative coding of the OGD assets. This variable represents the
topics covered by each city as part of its OGD. Figure 3 displays the distribution
of 5,006 OGD assets into fifteen types of distinct metacategories, which were
assigned to each of the assets through content analysis.
Rhythm
Feedback
Span of Issues
Disclosure
17
Figure 2: Testing the Four Dimensions which Constitute the Heart Bit of
OGD
Land regulation
19.08%
Financial regulation
15.70%
Traffic
12.74%
Demographics
9.91%
7.77%
5.21%
Transportation
5.01%
Environment
4.77%
4.10%
Public safety
3.88%
3.80%
Health
Animals
3.08%
2.28%
Education
1.44%
Open government
1.24%
The OGD Heart Beat of cities is a compound index. It reflects both the current
behavior and the commitment of cities regarding OGD. The first one (the OGD
Heart Beat behavior) is a static picture, which relies on the last data entry point
of a city and is presented in Figure 4. But more important is to understand the
commitment of a city to OGD, the Heart Beat of OGD itself, as it represents the
trajectory which the city takes in regard to OGD (see Table 4).
19
The coefficients in Table 4 represent the best-fitting slope of the regression for
each citys improvement per day.3 The Slope by date shows the actual trajectory
of every city (Note that Santa Cruz and Wellington are not significant since they
behave in an erratic way). The Interval 95% represents the margin errors of the
slope and the scope of trajectory the city can take regarding OGD.
Slope
date
.0002011
by
Interval 95%
0.000
Boston
.0003097
0.000
Santa Cruz
.0001101
Somerville
.0001515
Baltimore
.0009622
0.000
Burlington
.0006927
0.000
Chicago
.0001333
0.000
0.116
significant)
0.000
(not
.000153
0002492
.0002345
0003849
-.0000273
0002476
.0000933
0002097
.0007721
0011524
.0005201
0008653
.0001274
0001392
.
.
.
.
.
.
.
3 The maximum OGD heart beat in our sample is 0.945 with a mean of 0.351 and standard deviation of
0.130.
4 To support this table, we created a statistical model that contains 16 variables for our 16 cities. Each of
the 895 per city, per day data-rows received a dummy value of 1 for the city that uploaded it and 0 for
the other cities. Next, we computed the OGD heart beat of the city by multiplying the dummy values by the
overall OGD behavior of all sixteen cities (see Table 3). We repeated this process sixteen times to register
the OGD Heart Beat of our sixteen cities. For two cities with low numbers of daily uploads.
21
Honolulu
.000088
0.000
Kansas City
.0008385
0.000
Las Vegas
.0007573
0.000
La
.0005417
0.000
Madison
.0002978
0.000
New Orleans
.0001081
0.000
Seattle
.000107
0.000
South Bend
.0004587
0.000
Wellington
.0000763
N
R-square
895
0.9371
0.066(not
significant)
-
.0000534
0001226
.0007922
0008849
.0005597
0009549
.0004427
0006407
.0002713
0003242
.0000883
0001279
.0000751
000139
.000391
0005265
-4.91e-06
0001576
-
.
.
.
.
.
.
.
.
.
Finally, Table 5 below summarizes the main findings for the regression phase,
which explores some common socio-demographic and political independent
variables against our compound OGD heart beat index.
Table 5: Explaining the OGD Behavior of Sixteen USA Cities
Variable\prediction
Date (in days)
Income (in dollars)
Poverty rate
Obamas support
Legal Mechanism (1-5)
Aged>=65
(percent)
in
population
White population to overall
constant
F-test
r-square
N
Coefficients
.0002323
-.0000204
-4.299096
.4180609
.058574
-6.298774
P
P<0.001
P<0.001
P<0.001
P<0.001
P<0.001
P<0.001
-.1935552
-568.0181
0.4218 (actually very good)
895
P<0.001
P<0.001
P<0.001
-
Table 5 above suggests that higher poverty rate and higher percentage of
population over the age of 65 correspond with lower levels of OGD commitment
(i.e., lower OGD heart beat). On the other hand, a higher percentage of support
to the democratic political party, the existence of a more rigorous legal
mechanism, and ethnic diversity corresponds with higher levels of OGD
commitment (i.e., higher OGD heart beat). Our statistical model is significant and
r-square of approximately 0.42 (explaining 42% of the variance). Again, in this
23
6. Discussion
he OGD heart beat index depicts the evolving OGD behavior and
commitment of sixteen American cities that considerably differ one
from the other on a range of dimensions. While further analysis will be
needed in order to gauge factors that drive cities to adopt one form of
OGD behavior or another, the index allows several observations.
First, Kansas City (KC) is the leading city on most dimensions of the OGD heart
beat index, creating a strong power law. This robust performance does not seem
to be attributed to a single factor, but rather to a generally conducive
environment in KC. For instance, the city has been part of the federal Code for
America program, which fosters digital innovation in participating cities, and
hosted a range of summits and community events that brought together social
entrepreneurs and digital innovators. KCs flagship initiative has been the KCStat
a dashboard that aggregates data and measures the citys performance on 24
strategic priorities that were defined by the city council (https://kcstat.kcmo.org/)
(Shueh 2013). These activities created a favorable atmosphere for OGD: the
mayor and the city council passed a joint OGD resolution in 2013, and
empowered open data champions to lead the OGD policy implementation. These
champions have adopted a practical OGD approach: they released publicly
demanded data (e.g., traffic, line item budget) and non-sensitive data that can be
easily released by agencies (e.g., census) (Code for America 2013). Qualitatively
and quantitatively, KC exemplifies well our first OGD architype that describes
cities that have turnd OGD into an integral part of their way of life.
Second, the paths to success in the OGD heart beat index seem to
significantly vary among cities. For instance, Boston and Chicago share a similar
OGD heart beat score, but considerably differ in terms of political will toward
OGD. The OGD portal of Boston was launched in September 2012, but no formal
guidance was given to agencies to publish data on the portal. As a result, data
releases were sporadic and mostly made by a single employee of the Boston
Redevelopment Authority. This dynamic changed on April 7, 2014, when a
Boston City Councilor At Large Michelle Wu filed an open data ordinance, which
mandates city agencies and departments to publish online a variety of
information assets and sets strict reporting and monitoring requirements. Two
days later, Bostons Mayor Martin J. Walsh announced that he had signed his own
open data executive order, calling for the Chief Information Officer, in
consultation with city departments, to issue a detailed open data policy for the
city. A deadline had not been set for the publication of this policy and it has not
yet been issued. As a result, there is still no official mandate for city departments
to release OGD. In terms of OGD realpolitik, the mayoral order made Wus
25
27
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