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692-715
Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. ISSN 1679-3951
Identication of mechanisms for the increase of
transparency in open data portals: an analysis
in the Brazilian context
Abstract
Keywords:
Identicação de mecanismos para a ampliação da transparência em portais de dados abertos: uma análise no
contexto brasileiro
Resumo
benchmarking
Palavras-chave:
Identicación de mecanismos para la ampliación de la transparencia en portales de datos abiertos: un análisis
en el contexto brasileño
Resumen
Palabras clave:
hp://dx.doi.org/10.1590/1679-395173241
693 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 693-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
INTRODUCTION
The use of informaon technology (IT) by public administraons has been an important contributor to social, economic, and
polical changes, such as administrave reform and increased social scruny (YILDIZ, 2007). As a result of this process, new
models for relaonships between the State and society have emerged, generang opportunies to transform the connecon
between government and cizens (CUNHA and MIRANDA, 2013).
Several global open government data (OGD) iniaves have emerged in the last decade, with transparency and the reuse of
data as the two main objecves (ATTARD, ORLANDI, SCERRI et al., 2015). These iniaves have made a signicant amount of
public sector informaon available, free for use and unrestricted redistribuon (O’RIAIN, CURRY and HARTH, 2012), with the
aim of improving public accountability and cizen parcipaon, as well as collaboraon in intersectoral partnerships (LINDERS,
2013). Transparency can be considered the claricaon given to the cizen by the State—in reference to what occurs in its
sphere of competence—and making public informaon available quickly and accurately (LOURENÇO, 2015).
OGD is the data which can be freely used, reused, and redistributed by any person (ATTARD, ORLANDI, SCERRI et al., 2015),
made available free of charge from governmental enes, and used for civil society projects or integrated with new products,
applicaons or services, such as navigaon systems, weather forecasts, or nancial and insurance services (UBALDI, 2013).
Lourenço (2015) aributed to OGD the fulllment of two of the main objecves of open government. The rst is to promote
transparency through the publicaon of government data, thus enabling cizens to see what the government does and
enhancing accountability of public agents and elected representaves for their acons and decisions. The second objecve
involves disclosing government data and informaon that can be reused and provide social or economic value. OGD contributes
to social scruny, strengthened democracy, acve cizenship, improvements in public administraon, innovaon, cooperaon,
and transparency (HARRISON, GUERRERO, BURKE et al., 2012).
Nevertheless, in order for these results to be achieved, the data must be in an open, accessible, machine-readable format, and
the informaon generated from them should be produced by everybody and for everybody (HARRISON, GUERRERO, BURKE
et al., 2012). The manner in which OGD are made available in Brazilian portals that provide open governmental data (Brazilian
portals that disclose OGD – OGDBP) is of fundamental importance. Such portals must meet a number of requirements such
that the discovery, extracon, and use of the data can be performed eecvely (ATTARD, ORLANDI, SCERRI et al., 2015). To
contribute to this aspect, in 2007, the Open Government Working Group (OGWG, 2016) dened eight principles for the free
sharing of governmental data (VELJKOVIĆ, BOGDANOVIĆ-DINIĆ and STOIMENOV, 2014). However, these principles do not cover
important aspects such as reliability, authencity, and irrefutability. These aspects are important for ensuring the reliability
of the data and the connuity of the reuse of these data by dierent means, and they are a result of the maturity generated
by the use of the OGWG’s principles in the last 10 years.
Dawes (2010) highlighted two principles of transparency: usefulness and stewardship. According to these principles, the
governmental informaon made available needs to be appropriate for the purpose and use. Thus, transparency is not the
ulmate purpose but rather a means of making available data that aend to a purpose (BALL, 2009). This study analyzed the
increase in transparency to aend the purpose of the process of the Accountability Theory (AT) (VANCE, LOWRY and EGGETT,
2015), abstaining from other purposes that can be sased by transparency.
According to Vance, Lowry, and Egge (2015), in the AT, accountability may be a characterisc (virtue) of individuals when
demonstrang willingness to accept responsibility for their acons and decisions, or a process of advancing acons and decisions
with subsequent accountability. This study adopted the concept of accountability as a process in which individuals have an
obligaon to explain their acons and decisions to other individuals, who have the right to judge them and to administer posive
or negave consequences in response to the acons and decisions taken (VANCE, LOWRY and EGGETT, 2015). When adapted to
the focus and theme of this study, the accountability process of the AT is represented by the process of making OGD available
in the OGDBP, in relaon to the acons, decisions, and public data of public agents and governmental organizaons, such that
they can subsequently be made accountable (negavely or posively) by cizens, social organizaons, and supervisory bodies.
This study considered that an increase in government transparency is an increase in social scruny by cizens, because in
order to be funconal for democrac society and for cizens, transparency needs to enable the monitoring of government
iniaves (ATTARD, ORLANDI, SCERRI et al., 2015). From this perspecve, the increase in the transparency of portals that
provide OGD can be considered an increase in social scruny by cizens through data obtained from these portals.
694 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 694-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Considering the above, the criteria for evaluang the transparency in OGDBP can be improved by taking into account aspects
such as the opinions of experts and OGD users when dening the degree of importance of the aspects that lead to greater
transparency, with the purpose of sasfying the accountability process of the AT. This is the theme of this study, and the
queson that the research proposes is as follows:
• What are the mechanisms that increase the transparency of Brazilian portals and that make open government data
available for the purpose of aend the accountability process of the Accountability Theory?
The mechanisms represent the praccal implementaon of the high-level denions, such as transparency and accountability.
The term mechanism was used analogously to other research areas to idenfy procedures and groups of transparency
indicators in open government data portals. This study adopted the concept of accountability as a process in which individuals
have the obligaon to explain their acons and decisions to other individuals, who have the right to judge them and administer
posive or negave consequences (VANCE, LOWRY and EGGETT, 2015).
The objecve of this study was to idenfy and classify mechanisms that can increase the transparency of OGDBP, in order to
aend the accountability process of the AT.
To sasfy the objecve, a case study was conducted on the main OGDBP: the Open Data Portal of the Brazilian Federal Government
(hp://dados.gov.br). The remainder of this study is organized as follows: the theorecal framework is presented rst, followed
by the research method and then the analysis of the results, in which the characteriscs of the studies covered are described,
encompassing crical and systemac evaluaon; nally, the nal consideraons and the conclusions of the research are presented.
THEORETICAL FRAMEWORK
Accountability involves objecve and subjecve responsibility, scruny, transparency, mandatory accountability, juscaons
for the acons that were or have ceased to be undertaken, and rewards and penales (PINHO and SACRAMENTO, 2009). As a
dimension of accountability, the transparency of governmental acons is able to elicit more trust from those being governed
toward those governing because transparency is seen as being able to contribute to reducing corrupon in the public sphere,
and concurrently, it establishes more democrac relaons between the State and civil society (PINHO and SACRAMENTO, 2009).
However, according to Raupp and Pinho (2013), accountability may have an even broader perspecve, which considers
formalized and instuonalized control mechanisms, capable of requiring the accountability of public agents for the acts
pracced, and informal mechanisms, such as the scruny exerted by the press and by civil society. However, in the laer case,
there needs to be an ability to impose sancons on public agents in the relaonships developed from the informal mechanisms.
Through this approach, any relaonship of control and monitoring on public agents is allowed, using the mechanisms capable
of demanding accountability.
For the authors, the execuon of accountability requires the responsiveness of the public agents through the ability to report
on the acts, and it also depends on the capacity to suer penales and loss of power for those who have violated the dues,
which depends on the ability to punish (RAUPP and PINHO, 2013).
According to Janssen (2011), open data iniaves can help cizens learn about government acvies, improve government
accountability, and allow cizens to parcipate in the polical process. Höner, Marn, and Lehmann (2016) added that
open data about government spending has the power to reduce corrupon, thus increasing accountability and strengthening
democracy, because voters can make decisions by being beer informed, and an informed and condent public also strengthens
the government itself because the government is consequently more likely to commit to projects.
According to Lerner and Tetlock (1999) and Vance, Lowry, and Egge (2013), P. E. Tetlock developed the concepts and inial
mechanisms of AT in two seminal arcles (TETLOCK, 1983a; TETLOCK, 1983b), which then evolved through other arcles
(TETLOCK, 1985; TETLOCK and KIM, 1987; TETLOCK and BOETTGER, 1989; TETLOCK, SKITKA and BOETTGER, 1989; TETLOCK and
BOETTGER, 1994). J. S. Lerner later worked together with P. E. Tetlock on an arcle (LERNER and TETLOCK, 1999) to develop
what is referred to as AT (VANCE, LOWRY and EGGETT, 2015).
According to Vance, Lowry and Egge (2015), AT explains how the percepon of the need to jusfy behaviors to other
individuals produces a sense of accountability for the decision-making process. This percepon of accountability, about the
695 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 695-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
decision-making process and the outcome, increases the likelihood of a more profound and systemac raonalizaon of the
procedural behaviors themselves.
However, for Akutsu and Pinho (2002), the concept of accountability covers two parts. The rst part delegates responsibility
such that the second part proceeds to the management of the resources. Simultaneously, it generates the obligaon of the
resource administrators to account for their management, demonstrang the sound use of these resources.
Campos (1990) menoned that only from the organizaon of vigilant cizens who are aware of their rights will there be a
condion for accountability, for there will be no such condion as long as the people dene themselves as protected and the
State as the guardian. Therefore, accountability can only be ensured by the exercise of acve cizenship — not by cizens
individually but by the organized cizenry (CAMPOS, 1990).
Schillemans, Van Twist and Vanhommerig (2013) argued that accountability is not only benecial for cizens but also potenally
advantageous to the public organizaons themselves because by exhibing accountability for their acons, governmental
instuons can demonstrate their legimacy. According to the authors, accountability is a mirror for public organizaon—by
reecng on their past acons, the public organizaons can learn from their mistakes and successes and therefore improve
their performance in the future, which again can increase their support via the cizenry.
For De Kool and Bekkers (2015), the idea of publishing data on the Internet will help to improve not only the quality and
performance of a government but also the process of polical and public accountability.
The reuse of data maintained by government agencies has great potenal: encouraging the generaon of skilled services,
reducing work overload and redundant procedures, and guaranteeing unrestricted access to cizens (YANNOUKAKOU and
ARAKA, 2014). The portals that make OGD available can help to make public these essenal components of knowledge,
making the data localizable, accessible, reusable, interoperable, and machine-readable, in order to improve the eciency of
the analyses and insights (LINDERS, 2013). Kassen (2013) added that OGD is a concept that involves making government data
widely available for anyone, without any copyright restricon.
Accordingly, the main task of public enes is not only to open public data but also to encourage its use and reuse. Thus,
the focus is not only on providing new or improved services to cizens but also to make available to society instruments for
evaluang the work of the government and to produce substuve services or services complementary to those provided
by public sector bodies (MARAMIERI, 2014).
According to Harrison, Guerrero, Burke et al. (2012), the relaonships between informaon, transparency, and democracy are
fundamental and elementary. Informaon is essenal for the development of basic democrac skills, such as the formulaon
of preferences and opinions, the conjuncon of hypotheses, and parcipaon in decision-making. Without these skills, cizens
are denied their voice and exercise of their rights. Transparency increases the exposure of government operaons to the close
scruny of the various components of the polical system (STAMATI, PAPADOPOULOS and ANAGNOSTOPOULOS, 2015), thus
increasing the risk of corrupon being detected (ANDERSEN, 2009).
According to Ferran, Jacinto, Ody et al. (2009), transparency refers to the public and mely availability — with comprehensive
and relevant quality — of reliable informaon about the acvies of the government, and it is essenal for providing a
connuous basis for approval — by the cizenry — of those governing. It covers the voluntary and roune disclose of budget
data, audits, policies, and execuve acons, and it serves as a source of informaon for cizens to evaluate the eecveness of
administrave acon, increasing the demands on public services provided by the government. Coincidentally, this informaon
also creates pressure to improve performance, due to providing cizens with a connuous return of informaon and enabling
more comprehensive evaluaons of government services (HARRISON, GUERRERO, BURKE et al., 2012). Accordingly, Sol (2013)
added that transparency helps to hold government ocials accountable for their acons and omissions. Thus, as an essenal
requirement of transparency, the availability of OGD represents the method of making informaon available to the various
segments interested in its content (ATTARD, ORLANDI, SCERRI et al., 2015).
Transparency is considered a precursor of accountability (AL-JAMAL and ABU-SHANAB, 2016), and the laer is closely linked
to transparency as an important reducer of corrupon levels by making public agents liable (MURILLO, 2015). However, the
relaonship between the two is not total because, according to Worthy (2015), the accountability associated with transparency
— through open data — is sll sporadic and unpredictable, driven by parcular circumstances, by local issues, and by the
combinaon of random data usage. Thus, lack of data quality is one of the threats to transparency (KOUSSOURIS, LAMPATHAKI,
696 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 696-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
KOKKINAKOS et al., 2015), as is the lack of policies that guarantee the connuity of the availability of updated data (SOLAR,
DANIELS, LÓPEZ et al., 2014; NUGROHO, ZUIDERWIJK, JANSSEN et al., 2015; LEONTIEVA, KHALILOVA, GAYNULLINA et al.,
2015). According to Barry and Bannister (2014), in the United Kingdom, the ulmate objecve of accountability through
transparency was not aained due to the lack of cizen parcipaon caused by a lack of understanding and trust in the data.
However, parcipaon is primarily linked to the appropriate divulgaon, through adversing or public nocaon, such that
cizens are aware of the availability of OGD and how such data can be used (KHAYYAT and BANNISTER, 2015). Consequently,
it depends on the quality of the data (AL-JAMAL and ABU-SHANAB, 2016; SÁEZ MARTÍN, DE ROSARIO and PÉREZ, 2016; WANG
and LO, 2016), the trust in the government, and the understanding of the data provided (WIRTZ, PIEHLER, THOMAS et al.,
2016; AL-JAMAL and ABU-SHANAB, 2016). The study of Al-Jamal and Abu-Shanab (2016) indicated that informaon quality
is a determinant of the intenon to use government data.
Paradoxically, the improvement in quality can be achieved by the increase in parcipaon and the inherent feedback regarding
the publicaons (ATTARD, ORLANDI, SCERRI et al., 2015). Addionally, it can be obtained by adding services and applicaons
that depend on the data and that consequently generate pressure for higher quality (ZELETI, OJO and CURRY, 2016). Reliability
is another important aspect of data quality since it refers to the possibility of verifying and cerfying the compliance of the
procedures adopted as well as that the data were disclosed accordingly the principles of the government policies and the
desired data disclosure characteriscs (LOURENÇO, 2015). According to Carter and Bélanger (2005), reliability is one of the
signicant predictors of the intent of cizens to use an electronic government service. For Pérez, Hernández, and Bolívar
(2005), the reliability of nancial informaon can be enhanced if the informaon is subjected to an audit process that aests
to the authencity and accuracy of the informaon.
Informaon can only be obtained from the data when they are related to dierent contexts or semanc values (PRADO and
SOUZA, 2014). Therefore, the use of means that provide comprehensibility related to the OGD is highly relevant (VELJKOVIĆ,
BOGDANOVIĆ-DINIĆ and STOIMENOV, 2014; LOURENÇO, 2015). Data transparency involves ensuring that the data are well-
known, comprehensible, easily accessible, and open to all (VELJKOVIĆ, BOGDANOVIĆ-DINIĆ and STOIMENOV, 2014) because
although data may be available in a machine-readable format, they are not really useful unless they are easy to comprehend
(ATTARD, ORLANDI, SCERRI et al., 2015). Thus, a primary concern regarding publicly available data is their comprehension by
cizens who do not have specic knowledge in economic or administrave areas, which in turn will aect the ability of these
cizens to use the available data (LOURENÇO, 2015).
RESEARCH METHOD
This study adopted an exploratory strategy — it aimed to idenfy the inial concepts about a subject, seeking to discover new
possibilies and dimensions of the populaon of interest (PINSONNEAULT and KRAEMER, 1993). The nature of the research
is qualitave, due to the intended result. The research followed parcularly the recommendaons of Flick (2009) and Gibbs
(2009). The study was performed at a specic point in me. As data collecon techniques, the systemac literature review
(RSL) was used, especially following the recommendaons of Cooper, Hedges and Valenne (2009), interviews and discussions
with specialists, considering the indicaons of Gibbs (2009) and the electronic survey with DAG users, as recommended by
Malhotra (2012).
The study consisted of ve phases: Phase 1 idenes, in the literature, a list of mechanisms that meets the objecve of the
research; Phase 2 validates with experts and evaluates the mechanisms dened in the previous phase; Phase 3 empirically
evaluates the applicability of the mechanisms at the portal <hp://dados.gov.br>; Phase 4 evaluates the mechanisms with
OGD users and determines the weights of the mechanisms; and Phase 5 calculates the degree of transparency of the portal
<hp://dados.gov.br>. All phases of the research were conducted between September 2016 and July 2017.
Phase 1 was divided into ve stages, which, in an aggregated manner, allowed the idencaon of mechanisms that can
increase transparency in the OGDBP. In the rst stage, the bibliographic databases SCOPUS, Web of Science, and ScienceDirect
were consulted. The SCOPUS and Web of Science databases were chosen due to their being considered the most important
by Wang and Waltman (2016) and because, according to Tober (2011), ScienceDirect provides more results. Figure 1 shows
the terms, databases, criteria, and the number of arcles arising from the use of these criteria. This rst phase was conducted
between September and December 2016 and led to the selecon of 574 arcles, indexed to November 6, 2016.
697 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 697-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
In the second stage of Phase 1, repeated arcles and arcles originang from events and conferences were removed, which
le 310 arcles.
In the third stage, the arcles were veried, based on their content, in order to conrm whether they actually broached the
concept of OGD or its use. Arcles that did not meet these criteria were removed from the selecon. In terms of language,
only arcles in English and Portuguese were kept. Aer this phase, 186 arcles remained in the selecon.
In the fourth stage, the search tool of the MAXQDA 12 computer program was used, and the terms transparency, transparent,
transparência, and transparente were searched for in the 186 arcles. This stage was performed in order to sasfy the arcle’s
objecve of idenfying mechanisms that could contribute to the increase in transparency through open data. One hundred
and forty-ve arcles were idened using these search terms.
In the h stage, the content of the 145 arcles was analyzed — obeying the stages of reducon, display, conclusion, and
double vericaon — in isolaon (double blind), as dened by Flick (2009). During this analysis stage, 18 mechanisms that
could increase the transparency of open data portals were idened.
In Phase 2, the rst evaluaon of the mechanisms idened in Phase 1 was performed. In the rst stage, the 18 mechanisms
idened earlier were discussed at the “Roundtable Talk on Open Data” at the 1st Brazilian Open Government Meeng
(PARCERIA PARA GOVERNO ABERTO, 2016). The mechanisms presented were praised due to the high degree of evoluon in
relaon to the requirements for OGD.
In the second stage, a survey of the degree of importance of each mechanism was performed via semi-structured interviews with
OGD experts administered by the authors. All the individual interviews were performed face-to-face. Seven semi-structured interviews
698 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 698-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
were held in São Paulo and in Brasilia between November 30 and December 6, 2016, and were composed of a non-random sampling
for convenience, yielding results that are not generalizable (HAIR, BABIN, MONEY et al., 2005) but rather reect a specic context
of the main OGDBP (<hp://dados.gov.br>). All the respondents were recommended as references of renowned knowledge—at
the naonal level—regarding OGD and have strategic posions in the following organizaons: W3C Brazil, Cec.BR, NIC.BR, the
Ministry of Transparency or the Ministry of Planning. Five respondents had already used the data in scienc research and audits.
All respondents were directly or indirectly involved in dening data publicaon strategies at the portal <hp://dados.gov.br>. As a
collecon instrument for the interviews, an individual kit was prepared for each interviewee, consisng of one A3-sized sheet, ve
A4-sized sheets, and 18 post-it notes, each containing one of the 18 mechanisms and their indicators. When beginning the interviews,
the A3-sized sheet was presented—it contained the 18 items pasted on post-it notes, always in the same order. Also presented
were ve A4-sized sheets, which related to the dierent degrees of importance, varying from Extremely Important to Unimportant.
The objecve of the interview and the procedure were explained at the beginning of the interview. Subsequently, each
respondent was asked to place each post-it note on one of the A4-sized sheets in regard to their percepon of the degree of
importance of the mechanism. The collecon process enabled several reclassicaons of the degree of importance through the
rearrangement of the post-it notes on another A4-sized sheet. During this classicaon process, the respondent’s comments
were collected regarding the move for each degree of importance provided and the indicators of these mechanisms on
the portals. At the end, the respondents were asked to indicate other items they consider to be important. On average, the
interviews lasted 32 minutes. Figure 2 illustrates the collecon process, which was operated by the respondents themselves.
Source: Elaborated by the authors.
In Phase 3, the content analysis of the Open Data Portal of the Brazilian Federal Government (<hp://dados.gov.br>) was performed
between January 5 and 11, 2017, with the aim of idenfying the applicability of the mechanisms in a naonal empirical context.
The categories of informaon analyzed in this phase were based on the basic dataset indicator (BDS) of Veljković, Bogdanović-
Dinić, and Stoimenov (2014), which determines the presence of the most common predened open data categories: Finance
and Economy, Environment, Health, Energy, Educaon, Transport, Infrastructure, Employment, and Populaon.
In Phase 4, a collecon of data was performed with the OGD users through an electronic instrument sent via e-mail, which
contained the 18 mechanisms and their indicators, already adapted to the improvements indicated by the experts in Phase 2.
699 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 699-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
The electronic instrument had already passed the face-to-face and content validaon, which was performed by nine researchers
from the Administraon area—four of them were doctors with research related to OGD. Subsequently, the instrument
underwent a pre-test.
The electronic collecon with the open data users occurred between June 6 and July 15, 2017. The respondents were part
of a non-random sampling for convenience. The results were not generalizable (HAIR, BABIN, MONEY et al., 2005), but they
reected the usage context of the OGD. The sample used included respondents from 95 Brazilian cizen observatories, 10
respondents from Brazilian social acvism enes (Abraji, Argo19, Data Pedia, Gastos Abertos, LinKn, Operação Serenata
de Amor, PoliGnu, Radar Parlamentar, and Transparência Brasil), and 10 users who are members of the Dados Abertos (Open
Data) group on Facebook. The reliability of the instrument was measured using Cronbach’s alpha coecient. The SPSS 20.0
soware was used for the analyses. A Cronbach alpha of 0.677 was obtained for the group of 18 mandatory variables,
considering the 115 valid responders. According to Hair, Anderson, Tatham et al. (2009), Cronbach alpha values greater than
0.6 are acceptable in exploratory studies when dening new research instruments, as is the case in this study.
ANALYSIS OF THE RESULTS
Among the results from the content analysis of the arcles, six arcles were idened as presenng methodologies for evaluang
OGD transparency, which were noteworthy due to them having clear criteria for OGD. The arcle by Aard, Orlandi, Scerri et
al. (2015) covers the largest number of requirements for OGD in relaon to the increase in transparency. The requirements
of these methodologies — regarding transparency — are summarized in Box 1.
Authors
Criteria (alphabecal order) [Solar] [Veljković] [Aard] [Lourenço] [Murillo] [Vetrò]
XXXXX
X
XXX
X X X X
X X X X
X X X
X X
XXXX
X X X X
X X
X X X X
X X
X X
XXXXX
X X X X
XXXX X
XXXXX
Legend/Reference:
[Solar]: Solar, Daniels, López et al. (2014)
[Veljković]: Veljković, Bogdanović-Dinić, and Stoimenov (2014)
[Aard]: Aard, Orlandi, Scerri et al. (2015)
[Lourenço]: Lourenço (2015)
[Murillo]: Murillo (2015)
[Vetrò]: Vetrò, Canova, Torchiano et al. (2016)
Source: Elaborated by the authors.
700 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 700-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Policy was a recurring theme in the arcles analyzed in the systemac literature review (present in 146 arcles), which
emphasized policy for the generaon of incenve legislaon and connuity of OGD publicaons. In the sixth stage, it was
considered appropriate to perform content analysis of the naonal legislaon regarding the publicaon of governmental
data intended for cizens. The legal requirements desned to increase transparency in government publicaons are
detailed in Box 2.
Laws or decrees
(alphabecal order)
Mechanisms/Requirements
(alphabecal order)
Complementary
law
131/2009
Decree
7.185/2010
Law
12.527/2011
Decree
7.724/2012
Decree
8.777/2016
XXXXX
X X
X X
XXX
X X
XXX
X
X
XXXX
X
XXX
XXX
XXX
XXX
X
X X X X
Source: Elaborated by the authors.
The legislaon analyzed considered the laws and the decrees used in the research of the Instute of Socio-Economic Studies
(INESC) regarding governmental transparency (INESC, 2014), the Brazil Transparent Scale (CGU, 2016), and the Naonal
Ranking of Transparency (MPF, 2016).
The mechanisms are part of the praccal funconing of the high-level denions, such as transparency and accountability.
Drawing a parallel with the research in informaon technology governance (ITG), ITG mechanisms can be understood as being
procedures, arfacts, or a set of acons that must always be associated with one or more of the objecves of the ITG (VAN
GREMBERGEN, DE HAES and GULDENTOPS, 2004). In the case of transparency in OGDBP, the mechanisms are reapplied as
procedures, arfacts, or a set of acons that aim for transparency by respecng principles.
The principles, issues, criteria, and requirements related to the increase in OGDBP transparency — with the purpose of sasfying
the accountability process of the AT (VANCE, LOWRY and EGGETT, 2015) — are addressed as mechanisms in the course of this
study, when dening methods of implemenng them by means of indicators that show them in OGDBP.
The 18 mechanisms that can increase transparency in open data portals were idened during Phase 1 of the study —
especially in the h stage — and are described in Box 3.
701 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 701-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
Figures 3 and 4 show the groups of mechanisms with dierent numbers of indicators. The mechanisms with one indicator
are in Figure 3.
702 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 702-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
Among the 18 mechanisms, “Cizen parcipaon in quality evaluaon” and “Divulgaon” have, in total, four indicators that
evaluate the portal. The other 16 mechanisms have 32 indicators that analyze each dataset. Thus, in each dataset available
in a portal, 32 vericaons of indicaons of mechanisms are performed.
The mechanisms with mulple indicators are idened in Figure 4.
703 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 703-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
From the mechanisms idened in Phase 1 of the study, a conceptual model was dened with the relaonships between the
elements addressed in this study (Figure 5).
704 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 704-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
As presented, the principles direct mechanisms that meet the goals and that are monitored by indicators. Through the
mechanisms marked “(U)”, it is suggested that OGD becomes appropriate for the purpose of aend the accountability
process of AT. Similarly, by means of the mechanisms with the indicaon “(S)”, it is suggested that OGD is more suited to
this use, since they are authenc, reliable, comprehensible, whole, and irrefutable and have evaluated quality. Deference to
the principles of transparency — referred to as usefulness and stewardship — allows governmental data to be appropriate
for a purpose and a use (DAWES, 2010). Thus, transparency is not the ulmate purpose but rather a means to achieve
some purpose (BALL, 2009).
In this study, the purpose of the transparency was to attend the accountability process defined in the AT (VANCE,
LOWRY and EGGETT, 2015). In this process, individuals have an obligation to explain their actions and decisions to other
individuals, who have the right to judge and administer positive or negative consequences (VANCE, LOWRY and EGGETT,
2015). However, the objective of this research was not to measure the effectiveness of the accountability through OGD
but rather to identify and evaluate the mechanisms for increasing transparency for this purpose, through the perception
of experts and OGD users.
Thus, when adapted to the focus and theme of this study, the accountability process of the AT became the process for
making OGD available in portals, in relaon to the acons, decisions, and public data of public agents and governmental
organizaons, for them to be subsequently made accountable (negavely or posively) by cizens, social organizaons,
and supervisory bodies.
705 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 705-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Expert evaluation of the mechanisms for increasing transparency
The result of the classicaon by degree of importance — obtained through the interview with experts — is shown in Graph 1.
In this graph, the mechanisms are arranged in descending order of weight, and the values of each bar show the total number
of respondents who aributed a level of importance to the mechanism.
Source: Elaborated by the authors.
The 18 mechanisms obtained from the specialized literature were considered to be important by the majority of the
respondents. Those who aributed lower degrees of importance jused the importance by order of priorizaon in the
implementaon, considering the current situaon of the Brazilian portals. Thus, all the mechanisms are important, but they
should be implemented at the end. Therefore, the mechanisms received very posive evaluaons—current praccal problems
were reported concerning the non-compliance of the mechanisms proposed in this study. However, during the treatment of
the interview-support instrument, the respondents were asked to discuss the reasons for aribung some importance to each
mechanism. Figure 6 presents a summary of the comments of the respondents who most clearly jused the evaluaons of
the mechanisms.
706 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 706-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
During the interviews, suggesons of new mechanisms that could increase transparency in OGD portals were requested
(Figure 7).
Source: Elaborated by the authors.
707 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 707-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
The suggesons will be used in future collecons in order to idenfy the degree of importance of each one from the perspecves
of both data publishers and data users.
Classication by users of the mechanisms for increasing transparency
The result of the classicaon by degree of importance — obtained by means of the electronic data collecon instrument
— is shown in Graph 2, with the mechanisms in descending order of weight and the values of each bar showing the total
number of respondents who aributed the respecve level of importance to the mechanism. The last column was obtained
by mulplying the total number of respondents by the weight related to each item of importance. This total weight will be
used in the evaluaon of the portal <hp://dados.gov.br>.
Source: Elaborated by the authors.
The 115 respondents of the study use OGD daily — in most cases, by means of acve transparency, with the OGD made
available on portals, or by passive transparency, with the OGD requested from the “Cizen Informaon Service”, as shown in
Graph 3, thus valuing even more the responses of these respondents.
708 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 708-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Source: Elaborated by the authors.
The instrument used in the electronic collecon allowed each respondent (OGD user) mulple choices in the denion of
acvies performed with OGD (Graph 4).
Source: Elaborated by the authors.
The results show that from the percepon of users, OGD cannot have their transparency measured only by technical aspects
originated from the OGD principles of the OGWG dened in 2007. Nevertheless, they also cannot be measured based
solely on the number of datasets made available because transparency is not an end in itself; i.e., it is not the ulmate
purpose, and the amount of data must aend a purpose. In the case of the OGD users who responded to this survey, the
main purpose was to obtain OGD that can make public agents accountable, not only in the sense of sancons provided for
in legislaon but also in the idencaon of the people responsible who will be subject to various consequences, either
negave and posive. At the very least, the proposed mechanisms were considered important by a wide range of users
and for dierent means of using OGD in accountability, thus increasing the support for the results, in the increasing of
transparency for this purpose.
The purpose of increasing transparency to aend the accountability process of the AT produced the greatest appreciaon of
the Amplitude, Periodicity, Comprehensibility, Reliability, and Authencity mechanisms, in relaon to the other mechanisms,
due to the need for these mechanisms in the use of OGD for accountability.
709 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 709-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
Thus, the results showed that according to the percepon of these OGD users, the Amplitude mechanism is more valued than
the Complete Data mechanism, meaning that the detailing and coverage of the OGD — in accordance with the legislaon
— are more valued than the publicaon in the OGDBP of all the public data, when this concerns increasing transparency for
the purpose of accountability.
Application of the mechanisms in the analysis of the portal <http://dados.gov.br>
In Phase 3 of the study, the content of the Open Data Portal of the Brazilian Federal Government (<hp://dados.gov.br>) was
analyzed — it is a catalogue intended for the data federaon, since it allows the publicaon of data from various sources of
government data, from various spheres and powers. However, it mainly makes available data from the execuve branch in
the federal sphere.
From the denion of the weights of the mechanisms, dened by the OGD users in Phase 4, the points obtained by the portal
<hp://dados.gov.br> in each category were calculated — see Appendix A. Among the posive aspects of the content analysis
of this portal, the author’s recommendaon of the datasets from the Economics and Finance category and in the Health
category stand out — these correspond to indicaons of the Irrefutability/Author (Person) mechanism. The presence — in
various datasets — of informaon about the periodicity was also idened; however, it was not being respected during the
analysis. The edion number was informed in all datasets from this portal, which is evidence of the Authencity mechanism.
Another highlight was the divulgaon of new datasets in social networks, and the promoon of hackathons on at least an
annual basis —both of these are indicators of the Divulgaon mechanism.
FINAL CONSIDERATIONS
Although the experts interviewed did not refute the mechanisms presented during the interviews, many indicators were not
aended to during the analysis of the portal. Considering the posive opinions of the respondents about the mechanisms and
the fact that the respondents have been involved, directly or indirectly, in the denion of publishing strategies on this same
portal, it is possible to consider the mechanisms as an evoluon on OGD publishing requirements. No technical or nancial
infeasibility related to the adopon of the presented mechanisms was menoned during the interviews. The results of the
mechanisms evaluaon by the OGD users show their signicant importance in OGD publicaons in the Brazilian context, even
though some mechanisms were not yet present in the portal analyzed.
Considering the increasing importance of governmental acons transparency, the objecve of this study was to idenfy the
mechanisms that promote OGDBP transparency. The results obtained are relevant to the pracce of public managers who
want to assess the transparency and quality of open data portals and formulate strategies to disclose governmental data. The
method to idenfy and dene mechanisms that increase OGDBP transparency facilitates the understanding of criteria and
reuse form of those mechanisms in the future. This method allows a comparison with other portals, serves as a benchmark for
public managers, stakeholders, and researchers in the area, and enables a transparency ranking of the evaluated portals. The
theorecal contribuon comes from the unprecedented combinaon and vericaon of dierent mechanisms for increasing
transparency to achieve accountability, which can be the basis of future researches.
All idened mechanisms were considered important, very important, or extremely important by 92% of respondents using
OGD. These mechanisms broaden the principles of the OGWG (2016), with an emphasis on data reliability and the connuity
of reuse of these data by dierent purposes.
The study demonstrated the performance of parcipatory democracy in the Brazilian context through the evaluaons and
opinions collected from social acvism enes, such as the opinion of members of cizen observatories who use OGD for social
scruny. Addionally, through the percepon of users, the study showed that the OGDBP cannot have its transparency measured
only by technical aspects such as the type of electronic le, the type of licenses, and machine processable. Nevertheless,
transparency also cannot be measured based solely on the number of datasets available because transparency is not an end
in itself, i.e., it is not the ulmate purpose, and the amount of data must aend a purpose to be dened.
710 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 710-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
It is important to reect on the main objecve expected by the cizens who use OGD. According to the OGD users responding
to this survey, the main objecve was to inspect governmental and public agents accountability, not only on the legislaon
sancons, but also to idenfy those who will be subjected to the consequences, either negave or posive.
The evaluaon of the mechanisms by the percepon of experts and parcularly by the percepon of OGD users shows the
greater importance of data quality and stewardship of the correct OGD than data quanty. A large amount of OGD does
not mean an increase in governmental transparency if the OGD does not have the quality and reliability provided by the
informaon safeguard mechanism. In terms of government transparency, it is insucient for the informaon to be suitable
for the purpose if it is not suitable for the use.
The results also demonstrated that there is frequent use of OGD for accountability. The use of OGD by the cizen observatories
is a good example. They use the data both in consultaon with the OGDBP (acve transparency) and in the requests to the
informaon services for cizens (passive transparency). Nevertheless, the number of cizen observatories in relaon to the
number of Brazilian municipalies is low. Thus, it is suggested to idenfy in further researches the social and psychological
aspects that movate cizens to use OGD as a way to contribute to public agents’ accountability, provided this parcipatory
behavior in the accountability process is sll incipient in the Brazilian populaon. Rousseau (1973) proposed the direct
democracy, which currently relates to parcipatory democracy, because according to the author, democracy is that which
places the popular will above individual interests and requires the constant popular approval on issues that regulate policies,
not adming the representaon of this will. In the naonal context, the representave democracy seen in the elecons
overlaps parcipatory democracy, which could be more acve by means of instruments such as OGD. Further studies can
invesgate the reasons for the existence of this dierence in cizen parcipaon between these two forms of democracy. It
may be linked not only to compulsory vong in Brazil but also to the greater ease of parcipaon through vong, in contrast
to the processes of parcipatory democracy, which require greater involvement and eort on the part of the parcipang
cizens. However, there may be others social and psychological factors responsible for this dierence in engagement between
these two forms of democracy.
Thus, the use of OGD by the minority of the populaon may also be related to the lack of divulgaon, the diculty in
understanding the informaon regarding the public budget, and the low quality and lack of condence in the data, as already
discussed in the theorecal framework. These possible reasons are reinforced by the increased appreciaon of the mechanisms
suggested by this study, which provide the divulgaon, comprehensibility, quality, and reliability of the OGD made available
on OGD portals. In that way, to some extent, the groups of cizens that were respondents in this study (OGD experts and
members of cizen observatories) do not represent the democrac acvity of the majority of Brazilian cizens due to the
large number of parcipants in the electoral process. Future collecons that are able to obtain the percepon of these other
cizens may present dierent but equally important results.
This study also addressed the increase in transparency to aend the accountability process of the AT. Other objecves for
increasing transparency, such as the innovaon in or ease of access to public services, may enhance or revise the mechanisms
suggested by this study.
This study did not explore many other objecves for increasing transparency, e.g., the innovaon in or ease of access to public
services, which can be considered a limitaon. New studies may evaluate new objecves for increasing transparency in OGD,
in addion to increasing the consistency of the scores aributed to the mechanisms proposed, through focal groups or Delphi
techniques, emphasizing the opinion of OGD users. Addionally, these studies could check the relaonships proposed in the
conceptual model.
711 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 711-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
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Rodrigo Hickmann Klein
Deisy Crisna Barbiero Klein
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714 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 714-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
APPENDIX A
Source: Elaborated by the authors.
Notes:
(1) Each mechanism has indicators, and each indicator is checked again for each dataset. Each mechanism has a maximum score
of 1. Example: If a category has 27 datasets, and only 1 dataset has the requested indicator (as in the glossary case, which is worth
0.3 points), then the formula is as follows: 1/27 × 0.3 = 0.01;
715 Cad. EBAPE.BR, v. 16, nº 4, Rio de Janeiro, Oct./Dec. 2018. 715-715
Identication of mechanisms for the increase of transparency
in open data portals: an analysis in the Brazilian context
Rodrigo Hickmann Klein | Deisy Cristina Barbiero Klein
Edimara Mezzomo Luciano
(2) The Amplitude was evaluated according to Decree no. 7.185/2010 (BRASIL, 2010), which determines the elds that should be made
available when publishing budget data.
(3) The percentage of the weight of the mechanisms for each indicator—in the mechanisms that have mulple indicators—was evaluated
by a focus group with 10 parcipants: one user who is part of a cizen observatory; four users-researchers involved in research on
OGD, transparency, parcipaon, and open government; and ve professionals involved with the publicaon of OGD in Rio Grande
do Sul. The recommendaons of Barbour (2009) were followed in the focus group’s planning and execuon. The use of a focus group
was decided upon due to the large number of indicators that would produce a very extensive electronic quesonnaire, with constant
sum scales for the distribuon of the weight percentages of the mechanism between indicators, thus increasing the non-response bias
(HAIR, BABIN, MONEY et al., 2005).
(4) The sum of the weights of all the mechanisms resulted in a value of 6743. For this value to conform to the scale ranging from 0 to
100, the scale factor formula was applied: scale factor = 100/6473 = 0.01483. This formula was adapted from the Brasil Transparente
(Transparent Brazil scale (CGU, 2016). The weights of the mechanisms were mulplied by the scale factor such that the results stayed
in the range from 0 to 100.
