Exceptional Proff 520

Information Polity 17 (2012) 83–97 83 DOI 10.3233/IP-2012-0269 IOS Press

Open government and e-government: Democratic challenges from a public value perspective1

Teresa M. Harrisona, Santiago Guerrerob, G. Brian Burkec,∗, Meghan Cookc, Anthony Cresswellc, Natalie Helbigc, Jana Hrdinovac and Theresa Pardoc aDepartment of Communication & Center for Technology in Government, University at Albany, Albany, NY, USA bDepartment of Public Administration, University at Albany, Albany, NY, USA cCenter for Technology in Government, University at Albany, Albany, NY, USA

Abstract. We argue that the Obama Administration’s Open Government Initiative blurs distinctions between e-democracy and e-government by incorporating historically democratic practices, now enabled by emerging technology, within administrative agencies. We consider the nature of transparency, participation, and collaboration, suggesting that these processes should be viewed as means toward desirable ends, rather than administrative ends in themselves, as they appear to be currently treated. We propose alternatively that planning OG initiatives be addressed within a “public value” framework. The creation of public value is the goal of public organizations; through public value, public organizations meet public goals with respect to substantive benefits as well as the intrinsic value of better government. We extend this view to OG by using the framework as a way to describe the value produced when interaction between government and citizens becomes more transparent, participative, and collaborative, i.e., more democratic.

Keywords: E-government, e-governance, e-democracy, open government, collaboration, participation, transparency, democracy, public value, social media

1. Introduction

Barack Obama’s use of the Internet and social media technologies in his 2008 presidential bid is widely credited with revolutionizing the contemporary art of political campaigning [54]. Victory had scarcely been declared before predictions circulated that Obama would seek to translate features of this experience into the day to day administration of the executive branch [56]. Dubbed the first “Internet Presidency” [58], the President-Elect and his transition team quickly made good on these predictions. In one of his first executive actions on January 21, 2009, President Obama issued a Presidential Memoran- dum on Transparency and Open Government [41] instructing the Office of Management and Budget to promulgate an Open Government Directive within 120 days.

∗Corresponding author: Center for Technology in Government, University at Albany, 17 Wolf Road, Suite 301, Albany, NY 12205, USA. Tel.: +1 518 442 3892; E-mail: [email protected].

1An earlier version of this manuscript appeared in Dgo ’11, Proceedings of the 12th Annual Digital Government Research Conference. Digital Government Research Center, 2011.

1570-1255/12/$27.50  2012 – IOS Press and the authors. All rights reserved

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The Open Government Directive ultimately issued on December 8, 2009 foregrounded the principles of transparency, participation, and collaboration as “the cornerstone of an open government” [44]. The Directive instructed federal agencies “to implement these principles” by broadening access to government information (including the reduction of Freedom of Information request backlogs), improving the quality of government information, and creating and institutionalizing a “culture of open government” that would focus on involving people with “insight and expertise” and forming “high impact collaborations with researchers, the private sector, and civil society” [44]. Emerging technologies, which have the potential to “open new forms of communication between a government and the people” [44], are viewed as key to this enterprise. The Directive also instructed relevant Federal agencies to propose revisions to any existing policies that might pose impediments to using new technologies to promote open government goals. Agencies complying with the Directive have subsequently made ample use of the Internet and the Web, as well as new capabilities offered by social media, in the Open Government plans they have produced (see http://www.whitehouse.gov/open/documents/flagship-initiatives for an overview). Thus, in one breathtaking move, the Obama Administration substantially redefined the focus of e-government practice at the federal level.

The novelty of the Open Government (OG) Initiative may best be appreciated by comparing it with those of prior administrations. In the 90s, the Clinton Administration’s National Performance Review and subsequent Partnership for Reinventing Government focused on using technology in the back office to effect business process improvement, and using the emerging World Wide Web to make accessible to citizens information about government services and programs through the creation of agency web sites. The goals were to improve agency performance, and ultimately reduce the size of federal bureaucracy [16, 23]. The Bush Administration’s Presidential Management Agenda focused on developing cross-agency projects and platforms to make it easier to access relevant services and programs, reduce the business costs of providing information to government, improve information sharing between levels of governments, and improve efficiency [23].

In contrast, the goal of the OG Initiative is to make information and decision making processes in federal agencies accessible to citizen examination and input, and in so doing “facilitate citizens’ social and political judgment” [26, p. 107] about the outcomes of government work. Broader access to government data and other documentation, the ability to contribute to decision making processes within government agencies, and the possibility of responsible engagement with agency leadership in such processes are incrementally more democratic actions that lie at the heart of the open government vision. Thus, it appears that a substantially new and expansive approach to democratic governance may be unfolding at the federal level.

What is not yet clear is how to assess the impact of the programs and policies created in pursuit of transparency, participation, and collaboration. While these key terms resonate in familiar and positive ways, it is not obvious how to determine what actions and programs count as transparent, participative, or collaborative, and from whose perspective such judgments should be evaluated. For example, Sifry [52] reports that “[l]iterally hundreds of thousands of data streams are coming online at Data.gov and in the process a whole new kind of public engagement with public information is being enabled” [52, p. 119]. But even if one assumes that the data is both usable and of high quality, which cannot be taken for granted [4,17], does the act of making greater amounts of government data available to the public by itself count as “transparency” and what kinds of metrics present a clear basis for making this case? Will involving citizens in agency decision making increase the extent to which that agency is viewed as “participative,” and whose perceptions count in arriving at such a conclusion? These are difficult issues that have not yet been directly confronted.

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In this paper, we consider OG and its broader implications for the future of public administration; we further propose a conceptual framework to guide policy makers in planning their open government programs. We begin by situating OG within two traditions of thought addressing the relationship between technology, democracy, and government – e-democracy and e-government – suggesting that the OG Initiative blurs these distinctions by incorporating historically democratic practices, now enabled by emerging technology, within administrative agencies. We then consider how transparency, participation, and collaboration function as democratic practices in administrative agencies. Our analysis suggests that these qualities can be used to produce an environment characterized by democratic practices. But transparency, participation, and collaboration are potential attributes of administrative action and decision making that should not in themselves constitute the end or objective of administrative action. Instead, they are means to greater ends, although what those ends might be is not yet completely evident.

We propose alternatively that planning and assessing OG related programs and projects be addressed within a “public value” framework, which assumes that the creation of public value, represented in information, programs, and benefits, is the goal of public organizations; through public value, public organizations serve the interests of the public. We extend this view to OG by using the framework as a way to describe the value produced when interaction between government and citizens becomes more transparent, participative, and collaborative. We conclude that OG efforts may ultimately have the effect of stimulating deeper changes in the structure and organization of the federal bureaucracy by exposing the ways in which more transparent, participative, and collaborative administrative mechanisms produce concrete outcomes that are valued by government agencies and their stakeholders.

2. Technology, democracy, and government

The idea of using new technologies to support, expand, or re-invigorate democratic practices is not novel. The history of 20th century media has demonstrated that the introduction of new communication technologies routinely gives rise to intense speculation about their impact on the processes and practices of democracy [28]. In the case of computer-mediated information and communication technologies (ICT), that speculation has been particularly intense, and has been applied to broad processes of democratic decision making as e-democracy, as well as to more targeted forms of government action as e-government.

Studies of e-democracy generally focus on the ways that the Internet and its associated technologies may work to “amplify the political voice of ordinary citizens” [31, p. 6] by increasing the availability of information required to develop policy preferences; by dislocating entrenched monopolies on information distribution by media elites in favor of other information providers; by encouraging political participation in campaigning, referenda, voting, and discussion with elected representatives; and by engaging in deliberation over policy in public venues.

In contrast, the field of e-government has focused on the use of technology within the routine ac- tivities undertaken by public organizations [16]: the provision of public services, the quality and cost- effectiveness of basic government operations, citizen engagement and consultation, the statutes and legislative mandates required to effect these processes, and the administrative and institutional reforms undertaken in pursuit of innovation. Indeed, as Chadwick and May [8] have demonstrated through their examination of e-government initiatives in the U.S., Great Britain, and the European Union, a “manage- rial” mode of interaction through information and communication technologies (ICT) between citizens and federal agencies has been historically privileged at the expense of more consultative or participa- tory modes of interaction. This is not to say that participation and engagement have not figured at all within the e-government field. Riley [48] and Cullen [14] have differentiated between e-government and

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e-governance, with the latter defined as programs that invite “citizens to engage in the policy processes of oversight through a range of technologies from e-mail, to social networking applications, and online conferencing. Electronic consultation includes more formal systems of e-engagement, initiatives such as the US E-rulemaking process, and e-participation initiatives” [14, p. 58]. However, e-governance activities have not been the focus of previous presidential administrations, nor have they been evident at most state or local government levels.

This may be because administrative agencies have traditionally not been viewed as sites for political decision making. The decisions made by administrators have been assumed to be largely technical, taken principally to implement legislative mandates, and best made by agency employees who are assumed to possess requisite expertise. Thus, participation with the public is not needed. More recently, this perspective has been sharply critiqued. Some doubt the assumption that administrators invariably possess the expertise required for wise decision making [41]. But it is also increasingly recognized that agencies “make decisions that they believe are technical that in fact are not” [11, p. 14]. Administrators exercise discretion in selecting among options for designing and implementing policy; in doing so, they make value judgments at all stages of the policy process [49, p. 5]. These value judgments are implicit in competing visions in society of what is “good” and bureaucrats confront trade-offs between the different values to be pursued [11]. In this sense, the decisions taken by administrative agencies are far from value-neutral; on the contrary, they are political and very much wrapped up in the dynamics of democratic politics.

It is increasingly recognized that administrative agencies must be responsive to public will [33], which can be accomplished indirectly through action by elected representatives. Directly, legislation such as the Administrative Procedures Act of 1946 has compelled administrators to consult the public about proposed rulemaking activities across various agencies. The Federal Advisory Committee Act, which implicitly recognizes that expertise can lie outside the agency, recognizes the merits of seeking advice from citizens. But these solutions are only partial. The OG Initiative extends responsiveness more radically by acknowledging that citizens must have information to hold agencies accountable and the desirability of direct input in the decision making-processes taken by administrative agencies.

Thus, although e-democracy in political and e-government in administrative realms have been largely separated, it now appears OG brings these two spheres of activity together. But whether federal agency attempts to implement open government are best viewed as e-democracy or e-governance, it seems clear that these efforts take place in contexts that lack the conceptual frameworks and the performance benchmarks for evaluating their success (see, e.g. [37]).

3. Transparency, participation, and collaboration

The idea of “open government” is animated by optimism over what can be accomplished politically through the use of new technology; the term draws in part on the philosophy and methods of the “open source” programming movement in which users have access to, and can thus contribute to, the development of software code. Analogously, citizens with access to information, documents, and proceedings can become meaningful participants in government [36, p. xix]. The open source movement is characterized by its advocates as transparent, participative, and collaborative, but these terms also represent political values with a substantial history in democratic theory, directly relevant to broad processes of citizen action related to voting and public policy choices, now also applied in the context of routine administrative actions within government bureaucracy. In our discussion below, we show how transparency, participation, and collaboration, which relate directly to democratic theory, have become increasingly relevant to administrative contexts.

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3.1. Transparency

The relationships between information, transparency, and democracy are fundamental and basic. Information is essential to such basic democratic competencies as formulating preferences and opinions, testing choices, and participating in decision making [19,57]; without them a citizen is denied effective voice and the exercise of First Amendment rights to free speech [7]. Without information, it is similarly impossible for citizens to hold the governments they elect accountable to their collective will. According to De Ferranti [21], transparency refers to the public availability and flow of “timely, comprehensive, relevant, high quality and reliable information concerning government activities” [21, p. 7]. Where citizens delegate authority for decision making, transparency is essential to providing a continuing basis for consent. Transparency thus describes the extent to which government makes available the data and documents the public needs in order to assess government action and exercise voice in decision making [22]. The Freedom of Information Act (FOIA) enables federal agencies to negotiate between the right to know and justified needs for secrecy, giving citizens a mechanism for requesting information that has otherwise not been released. The voluntary and routine disclosure of budgets, audits, policies, and executive actions is a basis for citizens to assess the efficacy of administrative action and make demands about public services that are provided by government; these acts coincidentally also generate pressure for improved performance.

But it is worth noting, as has Fung [26], that transparency is not an unalloyed good. Maximizing transparency, for example, may bring into sharp relief the ways in which government decision making is problematic, without due regard for the goods and benefits that are produced along with these problems. He calls for “public accounting systems” that would enable citizens to provide ongoing feedback and broader evaluations of government services.

Beyond its potential for fostering accountability and generating improved government performance, transparency has also been discussed as a means to other ends, such as for increasing legitimacy. As Curtin and Meijer [15] point out, transparency may enhance the public’s willingness to accept institutional structures in a variety of ways: by clarifying how an authority structure has been constituted, by demonstrating the concrete benefits of institutional actions, and by cultivating the belief that citizens have a fair chance to influence institutional decisions and evaluate results, to name a few. These are empirical questions, of course; the extent to which transparency is related to its hypothesized objectives has yet to be fully established (see [29]).

3.2. Participation

Based on the model of the Athenian polis, the earliest form of democratic governance is participatory democracy, in which, through discussion and deliberation, citizens engage directly in decision making about their civic affairs [30]. In contrast to representative government, participatory democracy requires individuals to become more knowledgeable about the perspectives of others and the interests that underlie those perspectives [50] so they may deliberate more effectively. Opinion exchange takes place in a variety of venues. For Habermas [27], the link between the public and democratic government is forged through discourse in the “public sphere” that is, through the social intercourse that takes place between citizens discussing issues of common concern in a variety of public places – coffee houses, salons, and journals of opinion. For communitarian democracy [1,20] and its contemporary analogues or extensions (e.g., “strong democracy” [6]), this interaction takes place in neutral gathering places or “great good places” [43] where citizens meet as community members to discuss issues that sustain community life and build civic

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commitment. Regardless of venue, the assumption is that all citizens have equal influence over decisions ultimately taken, and that they exert their influence under conditions of individual autonomy.

Applied to administrative agencies, public participation is the “process by which public concerns, needs, and values are incorporated into governmental and corporate decision making” [11, p. 7], a process that is democratically justified when it is acknowledged that decisions taken by administrative agencies have a political character. Public participation has the potential to include diverse citizens’ voices in the public policy process [18]; when traditionally excluded voices are included, policies may be designed that can help them overcome disadvantageous positions. Social equity is recognized as a core objective of public administration [24] and public participation is a means for achieving this objective by enabling citizens, “presently excluded from the political and economic processes, to be deliberately included in the future” [5, p. 216]. Public participation is also thought to yield concrete benefits for the decision making at issue since different perspectives can help decision makers make more informed decisions; citizens may know as well as bureaucrats, or perhaps even better because they deal with such problems more frequently, what options constitute desirable policy [34, p. 72].

Finally, like transparency, public participation has the potential to be assist contemporary governments address the issue of legitimacy [25]. Government action is considered legitimate if the public has good reasons to support it. Public participation in government decision making can increase legitimacy by incorporating the public interests in the decision making process; support comes from the recognition that the government is responsive to the interest of the public, rather than organized interest groups [25].

Although public participation in administrative decision making is acknowledged to hold considerable potential, there is also considerable evidence to suggest it is not always successful [34]. Participation varies according to (1) who participates, (2) how participants exchange information and make decisions, (3) the link between public participation and decision making [25]. It is not the case that more participation is always better; a contingency approach recognizes different levels of participation are more or less desirable depending on the characteristics of the policy process and the goals pursued. The extent and kind of public participation should depend on the potential contribution to be made and the potential adverse consequences that may ensue [10, p. 533].

3.3. Collaboration

Unlike transparency and participation, collaboration has not traditionally been directly associated with democratic political theory. Instead, Noveck [40] argues that collaboration is “a form of democratic participation” [40, p. 19] that differs in important ways from traditional participative and deliberative practices, which often take place in circumstances disconnected from decision making. While there are benefits to ensuring that diverse viewpoints are incorporated into government action (as we have seen above), she argues that collaboration brings individuals with expertise together with government decision makers to create solutions that will be implemented.

This approach to collaboration finds its foundation in recent public administration theory as collabora- tive public management, the “process of facilitating and operating in multiorganizational arrangements in order to remedy problems that cannot be solved – or solved easily – by single organizations” [38, p. 33] and in analogous models such as “new governance” [51, p. 8]. Collaboration helps governments address “wicked” public problems that lack easy solutions and require “a capacity to work across organizational boundaries, to think holistically and to involve the public” [9].

Like participation, collaboration can potentially enhance the effectiveness of government, but it does so by viewing impartiality, expertise, resources, discipline, and time to make public decisions as resources

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distributed in society that can be incorporated into policy processes. Collaboration calls for different sectors of society to work together, recognizing that citizens possess complementary information that can be used to solve public problems [51] and that collaboration may build social capital needed for citizens to play “value adding” roles [53]. The potential of collaborative approaches is greatly enhanced by new technologies that give rise to permeable “networked” structures allowing people to connect across organizational boundaries [38].

However, collaboration has also been criticized in the public administration literature. For instance, reliance on third party actors has generated the image of the hollow state to describe governments that become distanced from the services they deliver [46]. Additionally, holding these new participants responsible for their actions may present accountability issues [45]. There is limited understanding of the impact of collaboration on program outcomes and a generalized assumption that more collaboration is always desired [38]. But collaboration is desirable to the extent that it can achieve its potential and lead to more effective problem solving. Thus, like transparency and participation, according to Noveck collaboration “is a means to an end. Hence the emphasis is not on participation for its own sake but on inviting experts, loosely defined as those with expertise about a problem, to engage in information gathering, information evaluation and measurement, and the development of specific solutions for implementation.” [40, p. 39]

4. The public value framework

It should be clear from the prior discussion that transparency, participation, and collaboration are best viewed as policies that enable citizens to enact various roles as citizens. Thus, transparency is not an end citizens pursue for its own sake. Citizens may desire their government to be transparent, but that is largely because something else is at stake: Information and actions must be transparent so that citizens can scrutinize and assess the concrete outcomes of government action. Similarly, participation for the mere sake of participating is an empty and alienating exercise; instead, citizens participate in order to produce government action that responds to and reflects their input in meaningful ways. Collaboration only makes sense where participants can contribute useful expertise, and substantive decisions are under consideration. But although these policies may not be ends in themselves, when implemented, they must be genuinely enacted. Citizens must trust that these processes have not been co-opted in the service of other politicized agendas. At the same time, as we have pointed out, it is also not the case that more transparency, participation, or collaboration is necessarily beneficial. Instead, care must be taken to determine the ways and the occasions in which these processes are undertaken. Thus, in the face of these complexities, metrics that merely quantify how many datasets are available or how frequently opportunities to participate or collaborate are presented cannot be taken as unequivocal indicators that open government has been successful.

We suggest that when transparency, participation and collaboration are meaningful, it is because they enable people to pursue their objectives. If that is true, what are these objectives? Below we propose that the “public value” framework provides a way to determine the value of government activities and to do so from multiple stakeholder perspectives, not just a “citizen” viewpoint.

4.1. Public value in public administration

The public value perspective, introduced by Moore [39], assumes that administrative organizations make decisions that are inevitably political, and argues that managers must therefore determine how best

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to make such decisions. Just as privately owned economic organizations create “private value” for their owners, Moore proposes that public organizations create “public value” for citizens and a wide range of other stakeholders. Private value is created when goods and services are bought through transactions that produce a profit; it is reasonably easy to discern and measure. Public value, on the other hand, is the product of governmentally-produced benefits, produced when market mechanisms are unable to guarantee their equitable distribution. Part of public value is derived from the direct usefulness of such benefits; another part is derived from the fairness and equitability of their production and distribution, and meets citizens’ requirements for “properly ordered and productive public institutions” [39, p. 53].

This perspective makes clear that efficiency and effectiveness measures are not necessarily the only or even the principal way that government programs or services might be assessed. As Moore puts it [39, p. 38] “In the end none of the concepts of ‘politically neutral competence,’ ‘policy analysis’ and ‘program evaluation,’ or ‘customer satisfaction’ can finally banish politics from its preeminent place in defining what is valuable to produce in the public sector. Politics remains the final arbiter of public value just as private consumption decisions remain the final arbiter of private value.” Citizens have individual perspectives on the relative worth of governmental activities, but ultimately whether a government action creates public value is a collective judgment. The extent of value perceived is likely to vary based upon interest group perspectives, location in the hierarchy, and time period. Since the desirability of agency action is not derived from legislative mandate, public managers must attend actively to perceptions of public value produced by agency programs and services. Moore offers considerable advice about how best to manage such processes.

However, he does not offer a systematic method for analyzing public value. Since financial metrics such as efficiency, profit, and productivity cannot be wholly transported to this context, we must find analogous methods for analyzing public value. To address this problem, Cresswell and colleagues [12, 13] designed a conceptual scheme for linking the concrete interests of multiple stakeholders to specific government activities in the context of ICT investments. Below, we present this framework as we have applied it to open government; we then discuss the considerations that gave rise to the framework and assumptions regarding its future use.

4.2. Public value impacts

Public value, in the most general sense, focuses our attention on the individual and societal interests that are served by particular institutional forms and actions of government. We can speak in broad terms about those interests, but to be most useful the analysis of public value must center on particular stakeholder groups and their interests. The distribution of value across multiple stakeholders will vary according to their particular interests and expectations for government; some will benefit from a government action, some will lose. Past literature and government declarations link OG initiatives to the all-inclusive category of “citizens,” missing the variety of interests and benefits across stakeholders. Instead, we treat each government action as potentially presenting diverse values to multiple stakeholder groups both inside and outside the organization.

The cornerstone of the public value rationale lies in the link between government action and the multiple types of public value that can accrue. Public value types distinguish between the intrinsic value of government as a societal asset and the substantive value of government actions and policies that deliver specific benefits directly to individuals, groups, or organizations. Public value can be described in terms of six general types that capture the range of possible results of government in the ways of interest here.

– Economic – impacts on current or future income, asset values, liabilities, entitlements, or other aspects of wealth or risks to any of the above.

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– Political – impacts on a person’s or group’s influence on government actions or policy, or their role in political affairs, influence in political parties or prospects for public office.

– Social – impacts on family or community relationships, social mobility, status, and identity. – Strategic – impacts on person’s or group’s economic or political advantage or opportunities, goals,

and resources for innovation or planning. – Quality of life – impacts on individual and household health, security, satisfaction, and general

well-being – Ideological – impacts on beliefs, moral or ethical commitments, alignment of government ac-

tions/policies or social outcomes with beliefs, or moral or ethical positions. – Stewardship – impacts on the public’s view of government officials as faithful stewards or guardians

of the value of the government in terms of public trust, integrity, and legitimacy.

Of these, the first five types are outcomes related to the substantive private interests of individuals or groups. The remaining two types are related to intrinsic, societal and democratic outcomes. The public value of stewardship results from greater integrity (including fairness and equitability), responsiveness, and legitimacy of government leading to increased trust and satisfaction with the government overall. Ideological public value aligns government action with moral and ethical preferences or beliefs.

From identifying these seven basic types of value impacts, we move to considering issues related to how value is created. Value is produced by “value generating mechanisms”; identifying these mechanisms allows us to specify the means, or pathways, by which a government action may be related to the production of one or more public values. According to our framework, actions to operationalize transparency, participation, and collaboration belong within this group of value generators. Taken as a whole, the set of value generators consists of:

– Efficiency – obtaining increased outputs or goal attainment with the same resources, or obtaining the same outputs or goals with lower resource consumption.

– Effectiveness – increasing the quality of the desired outcome. – Intrinsic enhancements – changing the environment or circumstances of a stakeholder in ways that

are valued for their own sake. – Transparency – access to data or information about the actions of government officials or operation

of government programs that enhances accountability or influence on government. – Participation – frequency and intensity of direct involvement in decision making about operation,

policies, or actions of government or in selection of officials. – Collaboration – frequency or duration of activities in which more than one set of stakeholders share

responsibility or authority for decisions about operation, policies, or actions of government.

Connecting a value type with a value generating mechanism makes clear how a government program is expected to produce one or more public values. For example, an IT investment in putting license application and renewals online may increase efficiency or effectiveness and yield strategic or financial public value for stakeholders that use such licenses.

Transparent, participative, or collaborative actions taken by government may, when operationalized effectively, have the effect of enabling a citizen to derive substantive economic, social, political or strategic values and/or intrinsic value related to government itself. For example, when provided with environmental information (with transparency as the enabling value generating mechanism) a citizen may derive multiple types of value. In this case, a citizen who acquires information about a toxic chemical release in the neighborhood may derive social or quality of life benefits for his/her family and the community, but may also gain greater trust in the stewardship of a government agency that provides

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such information. Conversely, it is also possible that other stakeholders will derive negative public value from this release of information. The same citizen who learns of a toxic chemical release may sue the business allegedly responsible, resulting in negative public value for that business stakeholder. It is also possible that a group of internal governmental stakeholders may accrue positive political and strategic value by releasing the information because it meets an open government requirement; another set of internal stakeholders may see that as negative political impact. Therefore, determining the value of any government action requires analysis of multiple stakeholder perspectives so that both positive and negative effects are identified and understood. With the information generated through this careful analysis, we argue that more informed decisions can be made about open government initiatives.

4.3. Background and assumptions of the public value framework

The public value framework assumes the value of government action is best determined from the perspective of the citizens served. Historically, as government IT spending has increased, a persistent problem has been the need to represent the value of these expenditures in terms of expected return. Unlike private organizations that represent return in financial or economic metrics, we assume that public managers can best justify IT expenditures in terms of value to citizens. In the original formulation of our public value framework [12,13], Moore’s formulation was elaborated in the ways described above through the process of conducting five case studies by staff members of the Center for Technology in Government (including three of the current co-authors) working in consultation with public managers responsible for IT investments in the US (two separate cases), Israel, Canada, and Austria.

At that time, the goal was to create a conceptual method for assessing return on investment (ROI) that could be applied to virtually any IT expenditure and that focused directly on identifying citizen benefits. Each case study examined benefits from IT investments and the possible mechanisms generating them. The analysts considered the links between particular organizational business goals, implemented IT systems, changes in performance, and public returns. This produced a conceptual framework that focused on (1) characterizing public return in terms of types of value that might be obtained by citizens from IT investment, and (2) identifying specific enabling mechanisms – public value generators – that appeared to be responsible for producing value. The public value types were intended to constitute a basic, if not comprehensive, set of categories describing benefits that citizens could derive from government investment in IT.

Since, as we have noted, the OG initiative is highly dependent on information technology, our research team sought more recently to update and apply this public value framework to open government. We incorporated the six public value types from the original formulation and added a seventh (quality of life). Given the theoretical discussion above, which suggests that the processes of transparency, participation, and collaboration should be viewed as means toward other goals rather than ends in themselves, we describe them as enabling mechanisms, similar to efficiency, effectiveness, and intrinsic enhancements, which had been derived through the case studies. Two notes of caution are relevant here: First, the enabling mechanisms, which might also be viewed as anything IT can do to generate a value, may best be conceived as an open-ended category, since there is seemingly no end to innovations produced through IT. Second, transparency, participation, or collaboration may be pursued for their own sake (although, given our theory, we do not recommend doing so), and when that happens, these qualities may be seen as embedded in the larger value of stewardship.

The public value framework is rooted in an analysis of specific stakeholder groups. This is because the benefits and costs of government action differ among citizens based on their interests vis-a-vis

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Fig. 1. Steps in using the public value assessment tool.

any particular government program. This seems especially true for the open government context, which encompasses a wide variety of citizen stakeholders, civic advocacy and watchdog organizations, entrepreneurs seeking to use government data for business purposes, established businesses, etc.

Finally, as originally conceived, the PV framework was intended as a conceptual tool to be used by public managers to help them think through the process of proposing and justifying IT expenditures. Although there are causal dynamics embedded in the formulation (the effects of public value generators on resulting individual values, as benefits or costs to stakeholders) they involve complex, non-linear relationships among diverse stakeholder groups and potential feedback loops, which we have not yet attempted to model quantitatively.

Thus, no effort has been made to test this framework predictively; instead, we have developed a “public value assessment tool,” in the form of an online workbook application, which is intended to guide public managers through these conceptual processes according to steps described in Fig. 1 and to record the products of their analyses. We are currently pilot testing this approach among government OG planners to determine the extent to which this conceptual process provides relevant and helpful guidance.

OG planners are asked to consider each of their OG initiatives, preferably prior to deployment, in terms of identified stakeholders served by their unit. The goal of steps 1 and 2 is to link each OG initiative to the specific stakeholders it serves. Thus, the analysis requires a relatively complete inventory of stakeholders for a government unit. Further, the analysis assumes that planners situate their initiatives within the unit’s existing mission and priorities. In step 3, OG planners are asked to identify for each stakeholder group the particular public values that are relevant, as benefits or costs, to each OG initiative. The workbook enables planners to visually display the magnitude of the benefit/cost.

From there, OG planners are asked to determine for each initiative and related stakeholders the particular enabling/change mechanism(s) thought to be the means by which the value is achieved (step 4)

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for that stakeholder group. In step 5, planners are asked to consider the range of public values expected across stakeholder groups in a summary assessment of each initiative. No effort is made to reduce this data to singular scores; instead, the workbook enables planners to compare summary assessments across OG plans in a “portfolio analysis,” which permits them to visually assess their portfolios by proposal or by stakeholders.

Thus, OG planners may benefit by using this approach to plan, design, introduce, and qualitatively assess a portfolio of open government initiatives. The selection and design of open government initiatives can be enhanced by a clear understanding of who is served by a particular initiative, by specifying what kinds of value an initiative seeks to create, and by recognizing the value generating actions that are required to achieve benefit. This is a recipe for clear-minded planning and design that we trust will improve the progress of open government planning. Planners can conduct their analyses by initiative, asking what stakeholders and values are targeted by initiatives in their portfolios, thus insuring that initiatives each have a discernible audience and anticipated outcomes. They can also analyze their portfolio of OG initiatives by stakeholder, asking what initiatives serve each stakeholder group and in what ways they will derive value, thus insuring that the agency is addressing the needs of those segments of the public they are mandated to serve. They may also derive a deeper understanding of the way in which the enabling actions designed to operationalize transparency, participation and collaboration are related to the particular benefits (or costs) achieved for stakeholder groups.

Ultimately, this approach suggests that initiatives are best conceived and justified from the perspectives of initiative stakeholders, rather than an undifferentiated public or other government administrators. This presents new challenges to public managers in understanding the preferences of citizen stakeholders, as others have recognized [2,32] and in developing the skills required to manage conversations in which public values are expressed, defined, and come to acquire shared meaning [3,47] Indeed, public value practice more generally requires that public managers cultivate new forms of dialogue, deliberation, and relationship with citizen stakeholders.

5. Conclusion

The public value perspective in general has generated considerable interest by practitioners and academics alike. Viewed by some as a new paradigm with the potential to solve some of the puzzles that have plagued traditional or new public management paradigms, the meanings of public value, its place in the political process, and its status as an empirical theory, a normative standard, or both are still controversial topics [3,42]. In the current open government context, it is noteworthy that some have argued that public value management is rooted in the processes of dialogue and exchange that are required by contemporary approaches to networked governance [55].

Similarly, our public value approach to open government is a work in process. However, as e- government researchers, we believe that this effort is vitally important. As our analysis has shown, our field’s conceptualizations of e-government have roughly mirrored those advanced by elected leaders, rather than serving as inspiration to those who seek to lead. While we have included democratic enhancements in our e-government typologies, they have received little development. It is remarkable to see the e-government aspirations of the Obama Administration following the lead of the open source movement, rather than the field of e-government. As researchers, we must be proactive in helping federal government leaders develop, implement, and assess the open government vision.

This is all the more important since the nature of transparency, participation, and collaboration is so easily misunderstood. These open government principles are easily operationalized. However, doing so

T.M. Harrison et al. / Open government and e-government: Democratic challenges from a public value perspective 95

without reference to value carries the risk that such actions will be empty scaffolding. Transparency, for example, will not be achieved through the availability or mere downloading of data sets. The data sets must be reliable and valid; most crucially, they must enable citizens to do something they find valuable and important. If not, transparency is just another empty promise, and will contribute to growing cynicism within the electorate. Similarly, participation and collaboration must be meaningful, directed toward goals that are carefully defined, acknowledged by ample government feedback, and the citizen input they generate represented in outcomes that are visible to stakeholders in the decisions and the value produced.

At the same time, open government reconciles the divergent paths of e-democracy and e-governm- ent. While transparency, participation, and collaboration take time and resources, they bear the promise of ultimately improving policy performance – the historic focus of e-government – by creating shared understandings of current performance and generating pressure to improve, increasing the pool of applicable ideas, tapping into new sources of expertise, and building civic capacity. All these may ultimately turn out to be the key to concrete improvements in policy outcomes and public services.

But achieving such outcomes inevitably requires changes in the structure and organization of govern- ment. Fountain [23] has observed that such structural changes rarely materialize through e-government initiatives. Instead, technology enactment all too often reproduces existing rules, norms, and power relations, despite the innovative capabilities of new technologies. The promise of open government is to provide a source of pressure that counteracts these tendencies, a promise that may be fulfilled provided that open government changes the nature of relationships between stakeholders and government. The creation of public value may be the best possible argument for stimulating and justifying such structural changes.

Acknowledgments

This material is based upon work partially supported by the US National Science Foundation under Grant No. 0956356. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the National Science Foundation.

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