Open Government in São Paulo: An Analysis of Open Public Policies

Oliveira, Daniel José Silva; Ckagnazaroff, Ivan Beck

doi:10.1590/1982-7849rac2022210279.en

Daniel José Silva Oliveira ^** Corresponding Author

conceptualization

data curation

formal analysis

investigation

methodology

project administration

resources

writing - original draft

writing - review & editing.

Universidade Federal de Minas Gerais, Centro de Pós-Graduação e Pesquisas em Administração, Belo Horizonte, MG, Brazil.

https://orcid.org/0000-0002-0475-6564

Ivan Beck Ckagnazaroff

conceptualization

formal analysis

investigation

methodology

project administration

supervision

writing - original draft

writing - review & editing.

Universidade Federal de Minas Gerais, Centro de Pós-Graduação e Pesquisas em Administração, Belo Horizonte, MG, Brazil.

https://orcid.org/0000-0002-8179-269X

* Corresponding Author

Editor-in-chief:

Marcelo de Souza Bispo (Universidade Federal da Paraíba, PPGA, Brazil)

Associate Editor:

Gaylord George Candler (University of North Florida, USA)

Reviewers:

César Nicandro Cruz-Rubio (Universidad Carlos III de Madrid, Spain)

Thiago Ferreira Dias (Universidade Federal do Rio Grande do Norte, CCSA, Brazil)

One reviewer did not authorize the disclosure of his/her identity.

Authorship

Daniel José Silva Oliveira*

Universidade Federal de Minas Gerais, Centro de Pós-Graduação e Pesquisas em Administração

Av. Presidente Antônio Carlos, n. 6627, Pampulha, 31270-901, Belo Horizonte, MG, Brazil

E-mail: djso@ufmg.br

https://orcid.org/0000-0002-0475-6564

Ivan Beck Ckagnazaroff

Universidade Federal de Minas Gerais, Centro de Pós-Graduação e Pesquisas em Administração

Av. Presidente Antônio Carlos, n. 6627, Pampulha, 31270-901, Belo Horizonte, MG, Brazil

E-mail: ivanbeck00@gmail.com

https://orcid.org/0000-0002-8179-269X

Conflict of Interests

The authors have stated that there is no conflict of interest.

	Restricted public policy	Open public policy
Restricted government	These are governments that are not committed to open government principles and where public policy decisions are restricted to government actors.	Specific public policies that have achieved a significant level of transparency and citizen participation, from agenda-setting to evaluation, and that coexist with other restricted public policies in a government that has not committed to open government principles.
Open government	It refers to governments that have signed commitments to put the open government principles into practice, either through their initiatives or through partnerships with other governments, but which restrict decision-making and the development of public policies to government actors.	It corresponds to governments that have signed open government commitments and put into practice the principles of transparency, participation, and collaboration in the development of public policies.

Categories	Subcategories		Authors
Types of transparency	Direct	The information is directly observable by the public.	Figueiredo and Gazoni (2016Figueiredo, V. S., & Gazoni, R. L. (2016). Transparência nos sites dos municípios do estado do Rio de Janeiro. Revista Contabilidade e Controladoria, 8(2), 130-143. http://dx.doi.org/10.5380/rcc.v8i2.42996 http://dx.doi.org/10.5380/rcc.v8i2.42996... ); Fox (2007Fox, J. (2007). The uncertain relationship between transparency and accountability. Development in Practice, 17(4-5), 663-671. https://doi.org/10.1080/09614520701469955 https://doi.org/10.1080/0961452070146995... ); Heald (2003Heald, D. (2003). Fiscal transparency: Concepts, measurement and UK practice. Public Administration, 81(4), 723-759. https://doi.org/10.1111/j.0033-3298.2003.00369.x https://doi.org/10.1111/j.0033-3298.2003... , 2012; Hood (2007Hood, C. (2007). What happens when transparency meets blame-avoidance? Public Management Review, 9(2), 191-210. https://doi.org/10.1080/14719030701340275 https://doi.org/10.1080/1471903070134027... ); Vaughn (2014Vaughn, R. G. (2014). The associations of judicial transparency with administrative transparency. In P. Ala’i & R. G. Vaughn (Eds.), Research handbook on transparency (1. ed., pp. 80-112). Cheltenham: Edward Elgar Publishing. https://doi.org/10.4337/9781781007945 https://doi.org/10.4337/9781781007945... ); Zuccolotto, Teixeira and Riccio (2015Zuccolotto, R., Teixeira, M. A. C., & Riccio, E. L. (2015). Transparência: Reposicionando o debate. Revista Contemporânea de Contabilidade, 12(25), 137-158. https://doi.org/10.5007/2175-8069.2015v12n25p137 https://doi.org/10.5007/2175-8069.2015v1... )
	Indirect	The information is visible and verifiable only by agents or technical specialists.
	Active	Voluntary publication by organizations of the maximum amount of information of general interest.
	Passive	Grant access to non-secret information and documents to any citizen who requests it.
	Nominal	Publishing large data sets without worrying about their comprehensibility.
	Effective	Society can access, understand, and use information.
	Real-time	The information is released as soon as it is created and is disseminated on an ongoing basis.
	Retrospect	The information is made available ex-post, after a period required for publication.
Nature	Normative	It establishes the citizen’s right to know and the government’s duty to be transparent.	Dror (1999Dror, Y. (1999, October). Transparency and openness of quality democracy. Proceedings of the NISPAcee Civil Service Forum, Maastricht, The Netherlands.); Fisher (2014Fisher, E. (2014). Exploring the legal architecture of transparency. In P. Ala’i & R. G. Vaughn (Eds.), Research handbook on transparency (pp. 59-79). Cheltenham: Edward Elgar Publishing Limited. https://doi.org/10.4337/9781781007945 https://doi.org/10.4337/9781781007945... ); Heald (2006Heald, D. (2006). Varieties of transparency. In C. Hood & D. Heald (Eds.), Transparency: The key to better governance? (Vol. 135, pp. 25-43). Oxford: Oxford University Press. https://doi.org/10.5871/bacad/9780197263839.001.0001 https://doi.org/10.5871/bacad/9780197263... )
Nature	Instrumental	It seeks to prevent corruption and improve the functioning of government by forcing it to be more careful.
Perspectives	Transparency must include institutional, policy, fiscal, operational, and procedural perspectives.		Ball (2009Ball, C. (2009). What is transparency? Public Integrity, 11(4), 293-308. https://doi.org/10.2753/PIN1099-9922110400 https://doi.org/10.2753/PIN1099-99221104... ); Cucciniello, Porumbescu and Grimmelikhuijsen (2017Cucciniello, M., Porumbescu, G. A., & Grimmelikhuijsen, S. G. (2017). 25 years of transparency research: Evidence and future directions. Public Administration Review, 77(1), 32-44. https://doi.org/10.1111/puar.12685 https://doi.org/10.1111/puar.12685... ); Heald (2003Heald, D. (2003). Fiscal transparency: Concepts, measurement and UK practice. Public Administration, 81(4), 723-759. https://doi.org/10.1111/j.0033-3298.2003.00369.x https://doi.org/10.1111/j.0033-3298.2003... )
Determinants	Publicity, comprehensibility, and usefulness of the information		Michener and Bersch (2013Michener, G., & Bersch, K. (2013). Identifying transparency. Information Polity, 18(3), 233-242. Retrieved from https://dl.acm.org/doi/abs/10.5555/2659342.2659346 https://dl.acm.org/doi/abs/10.5555/26593... ); Platt Neto, Cruz, Ensslin and Ensslin (2007Platt Neto, O. A., Cruz, F., Ensslin, S. R., & Ensslin, L. (2007). Publicidade e transparência das contas públicas: Obrigatoriedade e abrangência desses princípios na administração pública brasileira. Contabilidade Vista & Revista, 18(1), 75-94. Retrieved from https://revistas.face.ufmg.br/index.php/contabilidadevistaerevista/article/view/320 https://revistas.face.ufmg.br/index.php/... )
Mechanisms	Access to information	It refers to the accessibility, quantity, quality, scope, relevance, and reliability of government information.	Attard, Orlandi, Scerri and Auer (2015Attard, J., Orlandi, F., Scerri, S., & Auer, S. (2015). A systematic review of open government data initiatives. Government Information Quarterly, 32(4), 399-418. https://doi.org/10.1016/j.giq.2015.07.006 https://doi.org/10.1016/j.giq.2015.07.00... ); Cucciniello et al. (2017Cucciniello, M., Porumbescu, G. A., & Grimmelikhuijsen, S. G. (2017). 25 years of transparency research: Evidence and future directions. Public Administration Review, 77(1), 32-44. https://doi.org/10.1111/puar.12685 https://doi.org/10.1111/puar.12685... ); Heald (2006Heald, D. (2006). Varieties of transparency. In C. Hood & D. Heald (Eds.), Transparency: The key to better governance? (Vol. 135, pp. 25-43). Oxford: Oxford University Press. https://doi.org/10.5871/bacad/9780197263839.001.0001 https://doi.org/10.5871/bacad/9780197263... ); Veljković et al. (2014Veljković, N., Bogdanović-Dinić, S., & Stoimenov, L. (2014). Benchmarking open government: An open data perspective. Government Information Quarterly, 31(2), 278-290. https://doi.org/10.1016/j.giq.2013.10.011 https://doi.org/10.1016/j.giq.2013.10.01... )
Mechanisms	Open data	Complete, primary, timely, accessible, machine-processable, non-discriminatory, non-proprietary, and license-free data.
Implications	Social control, accountability, and public integrity.		Fox (2007Fox, J. (2007). The uncertain relationship between transparency and accountability. Development in Practice, 17(4-5), 663-671. https://doi.org/10.1080/09614520701469955 https://doi.org/10.1080/0961452070146995... ); Huberts (2018Huberts, L. W. J. C. (2018). Integrity: What it is and why it is important. Public Integrity, 20(S1), S18-S32. https://doi.org/10.1080/10999922.2018.1477404 https://doi.org/10.1080/10999922.2018.14... ); Serra and Carneiro (2012Serra, R. C. C., & Carneiro, R. (2012). Controle social e suas interfaces com os controles interno e externo no Brasil contemporâneo. Espacios Públicos, 15(34), 43-64. Retrieved from https://www.redalyc.org/articulo.oa?id=67623463002 https://www.redalyc.org/articulo.oa?id=6... )

Categories	Subcategories		Authors
Types of participation	Direct	Citizens can interact directly with the government, and influence the course of policy.	Avritzer (2012Avritzer, L. (2012). The different designs of public participation in Brazil: Deliberation, power sharing and public ratification. Critical Policy Studies, 6(2), 113-127. https://doi.org/10.1080/19460171.2012.689732 https://doi.org/10.1080/19460171.2012.68... ); Bordenave (1986Bordenave, J. E. D. (1986). O que é participação? (4 ed.). São Paulo: Editora Brasiliense.); Richardson (1983Richardson, A. (1983). Participation. London: Routledge & Kegan Paul.)
	Indirect	Citizen participation takes place through systems of representation, without direct interaction with the government.
	Active	It is one in which the citizen engages, takes part, and acts in the face of reality.
	Passive	Citizens are inert; they make part, but they do not take part.
	Real	Citizens effectively influence political actions and decisions.
	Symbolic	Citizens have minimal influence over actions and decisions but are kept under the illusion that they wield power.
Determinants	Representativeness, independence, information, capacity, involvement, influence, frequency, and permanence.		Hassenforder, Smajgl and Ward (2015Hassenforder, E., Smajgl, A., & Ward, J. (2015). Towards understanding participatory processes: Framework, application and results. Journal of Environmental Management, 157, 84-95. https://doi.org/10.1016/j.jenvman.2015.04.012 https://doi.org/10.1016/j.jenvman.2015.0... ); Rowe and Frewer (2000Rowe, G., & Frewer, L. J. (2000). Public participation methods: A framework for evaluation. Science, Technology, & Human Values, 25(1), 3-29. https://doi.org/10.1177/016224390002500101 https://doi.org/10.1177/0162243900025001... )
Mechanisms	Public hearings, management councils, deliberative consultations, advisory committees, public forums, or digital platforms for citizen participation.		Orr (2013Orr, S. K. (2013). Environmental policymaking and stakeholder collaboration: Theory and practice. Oxfordshire, UK: Routledge.); Rowe and Frewer (2000Rowe, G., & Frewer, L. J. (2000). Public participation methods: A framework for evaluation. Science, Technology, & Human Values, 25(1), 3-29. https://doi.org/10.1177/016224390002500101 https://doi.org/10.1177/0162243900025001... )
Participation levels	Information, consultation, recommendation, co-participation, delegation, empowerment.		Arnstein (1969Arnstein, S. R. (1969). A ladder of citizen participation. Journal of the American Institute of Planners, 35(4), 216-224. https://doi.org/10.1080/01944366908977225 https://doi.org/10.1080/0194436690897722... ); Bordenave (1986Bordenave, J. E. D. (1986). O que é participação? (4 ed.). São Paulo: Editora Brasiliense.); Bruns (2003Bruns, B. (2003, July). Water tenure reform: Developing an extended ladder of participation. Proceedings of the Conference Politics of the Commons: Articulating Development and Strengthening Local Practices, Chiang Mai, Thailand. Retrieved from https://hdl.handle.net/10535/453 https://hdl.handle.net/10535/453... )
Implications	Strengthening citizenship, deliberative democracy, and legitimacy.		Chang and Jacobson (2010Chang, L., & Jacobson, T. (2010). Measuring participation as communicative action: A case study of citizen involvement in and assessment of a city’s smoking cessation policy-making process. Journal of Communication, 60(4), 660-679. https://doi.org/10.1111/j.1460-2466.2010.01508.x https://doi.org/10.1111/j.1460-2466.2010... ); Häikiö (2012Häikiö, L. (2012). From innovation to convention: Legitimate citizen participation in local governance. Local Government Studies, 38(4), 415-435. https://doi.org/10.1080/03003930.2012.698241 https://doi.org/10.1080/03003930.2012.69... ); Rowe and Frewer (2000Rowe, G., & Frewer, L. J. (2000). Public participation methods: A framework for evaluation. Science, Technology, & Human Values, 25(1), 3-29. https://doi.org/10.1177/016224390002500101 https://doi.org/10.1177/0162243900025001... )

Categories	Subcategories		Authors
Types of collaboration	Public-private, public-citizen, public-voluntary, intragovernmental, intergovernmental, and multilateral.		Batley and Rose (2011Batley, R., & Rose, P. (2011). Analysing collaboration between non‐governmental service providers and governments. Public Administration and Development, 31(4), 230-239. https://doi.org/10.1002/pad.613 https://doi.org/10.1002/pad.613... ); Sullivan and Skelcher (2002Sullivan, H., & Skelcher, C. (2002). Working across boundaries: Collaboration in public services. New York: Palgrave Macmillan.)
Modes	Cost-related	Self-interested actors aim to reduce their operating and transaction costs.	Aubouin and Capdevila (2019Aubouin, N., & Capdevila, I. (2019). La gestion des communautés de connaissances au sein des espaces de créativité et innovation: Une variété de logiques de collaboration. Innovations, 58(1), 105-134. https://doi.org/10.3917/inno.058.0105 https://doi.org/10.3917/inno.058.0105... ); Sullivan and Skelcher (2002Sullivan, H., & Skelcher, C. (2002). Working across boundaries: Collaboration in public services. New York: Palgrave Macmillan.)
	Resource-based	Actors actively engage in collaborative practices to learn or complement their resources, incorporating external resources and knowledge sources.
	Relational	Collaborative practices focus primarily on finding a synergistic effect of collaboration. The outcomes of collaboration must be greater than the sum of the interests of the actors involved in the collaboration activities.
Determinants	Capacity for joint action, leadership, and sharing of knowledge, resources, and responsibilities.		Emerson and Nabatchi (2015Emerson, K., & Nabatchi, T. (2015). Collaborative governance regimes. Washington, DC: Georgetown University Press.); Sullivan and Skelcher (2002Sullivan, H., & Skelcher, C. (2002). Working across boundaries: Collaboration in public services. New York: Palgrave Macmillan.); Thomson and Perry (2006Thomson, A. M., & Perry, J. L. (2006). Collaboration processes: Inside the black box. Public Administration Review, 66(S1), 20-32. https://doi.org/10.1111/j.1540-6210.2006.00663.x https://doi.org/10.1111/j.1540-6210.2006... )
Mechanisms	Partnerships, contracts, agreements, consortia, collaboration networks, etc., as long as there is joint work.		Di Pietro (2019Di Pietro, M. S. Z. (2019). Parcerias na administração pública: Concessão, permissão, franquia, terceirização e parceria público-privada (12 Ed.). Rio de Janeiro: Editora Forense.); Forrer, Kee and Boyer (2014Forrer, J., Kee, J. J., & Boyer, E. (2014). Governing cross-sector collaboration. San Francisco, CA: John Wiley & Sons.); Sullivan and Skelcher (2002Sullivan, H., & Skelcher, C. (2002). Working across boundaries: Collaboration in public services. New York: Palgrave Macmillan.)
Collaboration levels	Isolation, cooperation, coordination, interagency collaboration, integration.		Selden, Sowa and Sandfort (2006Selden, S. C., Sowa, J. E., & Sandfort, J. (2006). The impact of nonprofit collaboration in early child care and education on management and program outcomes. Public Administration Review, 66(3), 412-425. https://doi.org/10.1111/j.1540-6210.2006.00598.x https://doi.org/10.1111/j.1540-6210.2006... ); Thompson and Sanders (1998Thompson, P. J., & Sanders, S. R. (1998). Partnering continuum. Journal of Management in Engineering, 14(5), 73-78. https://doi.org/10.1061/(ASCE)0742-597X(1998)14:5(73) https://doi.org/10.1061/(ASCE)0742-597X(... )
Implications	Better outcomes in the production of public goods and services, open social innovation, and public value.		Chalmers (2013Chalmers, D. (2013). Social innovation: An exploration of the barriers faced by innovating organizations in the social economy. Local Economy: The Journal of the Local Economy Policy Unit, 28(1), 17-34. https://doi.org/10.1177/0269094212463677 https://doi.org/10.1177/0269094212463677... ); Emerson and Nabatchi (2015Emerson, K., & Nabatchi, T. (2015). Collaborative governance regimes. Washington, DC: Georgetown University Press.); Navarro and Mendoza (2013Navarro, F. M., & Mendoza, R. E. V. (2013). Gobierno abierto:¿ Más innovaciones?¿ más gobierno?¿ más sociedad?¿ en qué consiste?: Propuestas para los gobiernos locales. Ciudad de México: EGAP-MAPorrúa.)

[1] * Corresponding Author

Brasil

Brasil

Open Government in São Paulo: An Analysis of Open Public Policies

ABSTRACT

Objective:

Theoretical framework:

Method:

Results:

Conclusions: