Transparency of open data ecosystems in smart cities : Definition and assessment of the maturity of transparency in 22 smart cities
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This is a self-archived version of an original article. This version may differ from the original in pagination and typographic details. Author(s): Title: Year: Version: Copyright: Rights: Rights url: Please cite the original version: CC BY-NC-ND 4.0 https://creativecommons.org/licenses/by-nc-nd/4.0/ Transparency of open data ecosystems in smart cities : Definition and assessment of the maturity of transparency in 22 smart cities © 2022 Elsevier Ltd. Accepted version (Final draft) Lnenicka, Martin; Nikiforova, Anastasija; Luterek, Mariusz; Azeroual, Otmane; Ukpabi, Dandison; Valtenbergs, Visvaldis; Machova, Renata Lnenicka, M., Nikiforova, A., Luterek, M., Azeroual, O., Ukpabi, D., Valtenbergs, V., & Machova, R. (2022). Transparency of open data ecosystems in smart cities : Definition and assessment of the maturity of transparency in 22 smart cities. Sustainable Cities and Society, 82, Article 103906. https://doi.org/10.1016/j.scs.2022.103906 2022
Transparency of open data ecosystems in smart cities: Definition and assessment of the maturity of transparency in 22 smart cities Martin Lnenicka, Anastasija Nikiforova, Mariusz Luterek, Otmane Azeroual, Dandison Ukpabi, Visvaldis Valtenbergs, and Renata Machova Abstract: This paper focuses on the issue of the transparency maturity of open data ecosystems seen as the key for the development and maintenance of sustainable, citizen-centered, and socially resilient smart cities. This study inspects smart cities’ data portals and assesses their compliance with transparency requirements for open (government) data. The expert assessment of 34 portals representing 22 smart cities, with 36 features, allowed us to rank them and determine their level of transparency maturity according to four predefined levels of maturity - developing, defined, managed, and integrated. In addition, recommendations for identifying and improving the current maturity level and specific features have been provided. An open data ecosystem in the smart city context has been conceptualized, and its key components were determined. Our definition considers the components of the data-centric and data-driven infrastructure using the systems theory approach. We have defined five predominant types of current open data ecosystems based on prevailing data infrastructure components. The results of this study should contribute to the improvement of current data ecosystems and build sustainable, transparent, citizen-centered, and socially resilient open data-driven smart cities. Keywords: open data; smart city; transparency; maturity; ecosystem; expert assessment 1 Introduction Today, many cities worldwide join the smart city concept that relies on using Information and Communication Technologies (ICT) and Internet of Things (IoT) solutions in citizens’ everyday lives to improve their quality of life and assist local governments in overcoming challenges in the urban resource’ usage, reallocation, and delivery of services. These improvements are achieved through ICT, which transform cities into more sustainable and smart entities (Abbas et al., 2018; Gao et al., 2021; Patrao et al., 2020), using mostly human-oriented citizen-centered development (Nitoslawski et al., 2019). As a result, for a city to be sustainable, it must be smart, as many researchers claim (Bibria and Krogstie, 2017), which is only possible through the sociotechnical transition by adopting technological innovations in a complex social ecosystem (Kroh, 2021). With time, the definition of a smart city, which at the beginning referred mostly to its technological context, shifted to focus mostly on people, with ICT acting as tools to drive citizen engagement and participatory governance schemes, as the city cannot be truly smart without effectively harnessing the power of its social capital, entrepreneurship, and innovation (Kourtit et al., 2012; Møller et al., 2019; Nitoslawski et al., 2019). ICT can also support transparency, ensure the accountability of decision-makers, and promote the participation of citizens in governance (Bonina and Eaton, 2020; David et al., 2018; Nitoslawski et al., 2019). Tapping to that potential requires citizens and local innovators to be informed, which means that open data and Open Government Data (OGD) are indispensable components in open innovation, community engagement, and smart city development (Mak and Lam, 2021). They are used as reference points in local hackathons, citizen labs, and online platforms allowing citizens to share their opinions on matters relevant to the city’s life.
Real-time open data is a major component of smart cities that is critical for facilitating multi-scale urban management and improving other qualities such as adaptability, efficiency, interoperability, flexibility, transparency, and real-time response capacity (Sharifi, 2020). In addition, they are seen as a major enabler for transparency and trust, which is a pre-condition for the development of participative and smart communities. In both academia and practice, it is increasingly recognized that data, particularly open data, can provide clarity on previously underexplored ecosystem processes and dynamics and create more sophisticated modeling capabilities (Nitoslawski et al., 2019). At the same time, recent studies stress that the slow progress in open data initiatives has hindered the movement of smart cities’ development lowering their social and economic values (Mak and Lam, 2021). According to Orejon-Sanchez et al. (2022), there is a list of smart city-related actions to be conducted under the commitment to open data in the upcoming years with a strong focus on the availability of these data as open data and a detailed plan to attract technical talent and support the digital formation of its population. Transparency-by-design, together with participation and collaboration processes, are key concepts in the current debate on open government and open data initiatives in smart cities (Lněnička and Nikiforova, 2021; Lněnička and Saxena, 2021; Neves et al., 2020). Several studies have shown how data reuse can generate promising benefits in the smart city environment (Gupta et al., 2020). Open data are one of the most valuable resources in this context. They can be used as the only source or in combination with other data types to solve civil society problems, improve transparency and close the gap between local government and its citizens (Carrara et al., 2020; Johannessen and Berntzen, 2018). The report by Bertends et al. (2020) showed that more and more Member States of the European Union recognized the potential value of open data, and various open data portals are becoming increasingly supported by robust open data policies. Therefore, together with the pressures for more transparent and responsive government, open data policies have become increasingly widespread (Berrone et al., 2016; Gao et al., 2021), and open data portals are commonly developed to enable access to relevant data (Bonina and Eaton, 2020; Lněnička and Nikiforova, 2021). Such platforms include closed and open data, which value potential may vary (Gupta et al., 2020; Pereira et al., 2017). Data portals and other platforms usually provide features to search, filter, download, analyze, link, visualize, evaluate, discuss, request, and share datasets. Each city usually has more of these platforms, but their levels of integration and openness can be different (Buchinger et al., 2021; Davies, 2020; Nikiforova and Lněnička, 2021). The dynamics of the diffusion of open data are given by the characteristics of social systems in which they occur. These are technology-enabled and rely on the intensities of information flows (Harrison et al., 2012). The concept of delivering transparency relies on the technical standards of OGD and how they are implemented by corresponding features of data infrastructures (Davies, 2020). For this paper OGD can be defined as data produced by public sector agencies and institutions, freely available on data portals in open formats and under open licenses for everyone to be reused (Lněnička et al., 2021). Abella et al. (2017) defined a smart city as a public-private ecosystem that provides services to citizens and organizations with strong technological support and considers the economic and social impact on society. According to Abbas et al. (2018), smart cities are characterized by complex systems in openness, heterogeneity, complexity, dynamic work environments, and large-scale nature. In this regard, using an ecosystem approach enables us to understand and clarify the relationships and interactions between components (Bagheri et al., 2021; Caputo et al., 2019; Dawes et al., 2016; Lněnička
et al., 2017). Nurmi et al. (2019) reported that this approach inspired new models of public information and data flows, services, and products delivery, in which ecosystems-enabled co-creation is considered a key innovation to increase transparency. Therefore, together with increasing pressures on the adoption of sustainable development goals and practices, the concept of the smart city seems to interlink all efforts and form the ecosystem, in which the expected impacts and values can be achieved for stakeholders (Caputo et al., 2019; Gao et al., 2021; Lněnička et al., 2017; Neves et al., 2020; Pereira et al., 2017). Researchers identify different ecosystems aiming to provide solutions to specific problems (Ooms et al., 2020); considering the data-centric nature of the smart city (Bagheri et al., 2021; Korachi and Bounabat, 2018; Lněnička and Saxena, 2021), data ecosystems are especially relevant. They are represented by data portals, platforms, and other repositories and data sources providing OGD and other open data, in which citizens and other stakeholders can find datasets and features that enable them to work with these data making them actionable rather than static. The concept of transparency requires openness, accountability, and public participation (David et al., 2018; Davies, 2020; Lněnička and Nikiforova, 2021; Nitoslawski et al., 2019). As reported by Korachi and Bounabat (2018), smart cities need an assessment system to manage and assess the progress of smart city projects and the degree of ecosystem maturity (Danneels et al., 2017). Benchmarks and models should provide a way to identify the development paths of smart cities and enable their comparisons with other cities (Luterek, 2020). Considering these challenges, we aim to explore the transparency maturity of open data ecosystems in smart cities. Since smart cities are closer to their citizens and provide relevant services accordingly, they should consider the ecosystem, and transparency maturity approaches to prove that they as smart cities are efficient and sustainable. Regarding the current smart city approaches, we inspect different data portals in selected smart cities and assess their compliance with open (government) data transparency requirements. This allows us to define the concept of the open data ecosystem in the smart city context and determine its key components. The assessment results enable us to rank the ecosystems in selected smart cities, identify and discuss their transparency maturity, and introduce different types of open data ecosystems. For this study, we establish and attempt to answer the following Research Questions (RQs): RQ1: What components and relationships form open data ecosystems in smart cities? RQ2: Whether and how open data ecosystems in smart cities comply with transparency requirements for open (government) data? RQ3: What is the maturity level of transparency of open data ecosystems in smart cities, and how can it be assessed? Most of the large-scale research done on the OGD and data portals refers to the national level and solutions provided by the central government. The contribution of the paper is six-fold: (1) a benchmarking framework to assess the level of transparency of open data ecosystems in smart cities consisting of 36 features has been developed by adapting transparency-by-design framework for open data portals by Lněnička and Nikiforova (2021); (2) the developed framework has been applied to 34 portals representing 22 smart cities, allowing determination of the level of transparency maturity at general, individual, and group levels; (3) four-level transparency maturity model has been defined to allow the classification of the portal as developing, defined, managed, and integrated, thereby allowing to identify key issues to be transformed into corrective actions to be included into agenda and
navigate to the set of more competitive portals; (4) the portals concerned have been ranked based on their transparency maturity, thereby allowing more successful portals to be identified in order to be used as an example for improving overall or feature-wised performance by providing recommendations for the identification and improvement of current maturity level and specific features; (5) an open data ecosystem in the context of a smart city has been conceptualized and its key components were determined considering the data-centric and data-driven infrastructure and other components and relationships, using the system theory approach; (6) on the basis of the dominant components of data infrastructure, five types of current open data ecosystems have been defined, thereby opening up a new horizon for research in the area of sustainable and socially resilient smart cities by means of open data and citizen-centered open smart city governance. To meet the objectives of this study, the paper is organized as follows: Section 2 establishes the theoretical background, section 3 provides the methodology for the research, the initial results, and discussion, as well as limitations, are brought forth in section 4, 5 and 6, respectively, and the paper concludes in section 7 highlighting future directions for research and clarifying the primary contributions of this paper. 2 Theoretical background 2.1 Concepts – smart city, (open) data portal/platform, and ecosystem Smart cities have developed mainly due to innovative ICT industries and markets and began using and taking advantage of the IoT, cyber-physical systems, Artificial Intelligence (AI), big data, highperformance computing, and cloud computing to establish a link between each component and layer of a city (Kirimtat et al., 2020; Ramu et al., 2022). They use ICT to improve urban services' quality, performance, and interactivity, reduce costs and resource consumption, and improve relationships between citizens and government (Abella et al., 2017). All these processes and efforts produce large volumes of data that are fully, partly, or not processed (Caputo et al., 2019). Since it is widely agreed among researchers as well as public officials that these data can provide value for the development of the smart city and improve the quality of life of citizens, the principles of open data are recognized to enable the reuse of data (Abella et al., 2015; Abella et al., 2017). This relies on the assumption that the center of these efforts are citizens and their needs, so they can provide relevant feedback on what data should be published and what services should be provided or improved. Data sources in cities may be divided based on the basic actor and the nature of the process they were obtained with (Arribas-Bel, 2014). These are data from 1) individuals holding location-aware devices, 2) databases used to provide (usually free) services through the internet by web companies, and 3) public and government organizations that release data in an open format. Data platforms are essential infrastructure for data management, innovative data-based services, and smart city initiatives (Buchinger et al., 2021). Most data in smart cities are published under open data principles. Danneels et al. (2017) defined an open data platform as a data services architecture, along with the management of access and (re)use, created to allow third parties to create new value. According to Corrêa et al. (2017), the term data portal/platform can refer to local government endpoints used to disclose data or information. Data portals may vary from a typical implementation aimed at collecting and publishing datasets to provide a one-stop-shop for data consumers, maximizing their reuse, to a simple web page that does not provide any reuse. Citizens and other stakeholders can supply and sell data using data platforms or create new business models on top of them (Bagheri et al., 2021).
The concept of open data, especially OGD and transparency, are closely related terms in which ICT play as much an important role as in the case of smart cities. The current path of OGD evolution is towards open data sustainability and smartness (Gao et al., 2021). Since all processes should be transparent, the design of data infrastructures is a crucial task (Lněnička and Nikiforova, 2021). Johannessen and Berntzen (2018) provided an overview of the available technologies and tools for achieving different forms of transparency in smart cities. The relation between transparency and smart cities is linked to both technology and objectives that should follow the release of government data. Transparency data standards operate at the border between the internal data framework of the state and the public realm (Davies, 2020). Different infrastructures, especially social infrastructure, in the smart city need to be integrated to make it easy to share information between different city services and stakeholders (Dinah et al., 2019). By building data infrastructures, two-way communication channels between involved stakeholders can be established to discuss data collection, management, and use within governance. According to Davies (2020), this can allow citizens to build the data infrastructures that can shape the operation of smart cities and a modern data-driven policy environment. Similarly, ICT-enabled networks of interacting stakeholders can be considered the ecosystem’s social infrastructure, the socio-technical pipelines sharing and transmitting data, information, and ideas (Harrison et al., 2012). According to Abella et al. (2015), smart cities can be modeled as data sources and service providers’ ecosystems: populated by the main agent, the city, and shared with other stakeholders who will reuse open datasets. In general, open data ecosystems are built around OGD and other types of open data such as Open Citizen Data (OCD), Open Business Data (OBD), and Open Science Data (OSD), and information and data flows resulting from relations and interactions among involved stakeholders. The term open data ecosystem also encompasses many attributes, which further define its purpose and goals, such as smart, value-creating, sustainable, etc. According to Van Loenen et al. (2021), sustainable and value-creating open data ecosystems need to be user-driven, inclusive, circular, and skill-based. Ecosystems in smart cities are more service-oriented since their main objectives are to transform individuals’ lives and improve society’s well-being (Ooms et al., 2020). The impact of open data on smart cities ecosystems was explored by Neves et al. (2020). They highlighted their role in generating and analyzing actionable data and open data management to understand, manage, and plan the city. Gupta et al. (2020) reported that the open data ecosystem should allow the development of data innovation capabilities while facilitating data literacy and considering cross-boundary data collaboration and data access. Open and user-driven innovation ecosystems, consistent with smart city stakeholders' interests and needs, support a data-driven economy where data can help improve policy and business decisions (Berrone et al., 2016). The data-driven smart city ecosystem developed by Abella et al. (2017) comprises (1) the city as the source of data, (2) the citizens as end-users of data and innovative services, and (3) the agents as reusers of data. These ecosystems are framed by existing policies and practices that need to be managed and reconfigured over time to support innovation cultures and citizen interactions (Harrison et al., 2012). To reduce the complexity of data ecosystems, a data management framework that considers all relevant data lifecycle phases is needed to integrate processes, stakeholders, and systems (Sinaeepourfard et al., 2016). It should also help address this ecosystem’s challenges, which need to integrate different components and help with stakeholders’ communication (Lněnička et al., 2017).
2.2 Smart cities benchmarks, indices, and rankings Benchmarking is a performance measurement process with the top performers in the field as a reference point. In this case, it is conducted by obtaining a benchmark used to assess the city’s success in being smart(er) against other cities. Benchmarks are usually presented as indices, rankings, and reports that include analysis of the city’s smart characteristics, which level of detail may vary. Various indices and rankings have been presented in recent years (Berrone and Ricart, 2018; Patrao et al., 2020). Most of the benchmarks include indicators aligned with the dimensions defined by Giffinger et al. (2007). However, the structure and components of these benchmarks are still the subjects of debates among city leaders and other stakeholders, as it is difficult to identify sets of parameters acceptable among all cities assessed (Luterek, 2020). One of the primary challenges for smart city benchmarking is the diversity of concepts that are difficult to translate effectively into a single measurement method. As a result, many of those tools do not progress beyond the infancy stage – their publication stops after one-two editions, and the discussion on smart city assessment tools and their main gaps to improve future methodologies and tools is still ongoing (e.g., Patrao et al., 2020). The most frequently indicated shortcomings of these tools are the lack of recognition of the comprehensive determinants of specific phenomena, the lack of transparency in the process of data collection, their aggregation, and the assignment of weights to individual indicators (Sáez et al., 2020) Still, there is an obvious need for those benchmarking efforts – they can provide general guidance for planning the city’s further development into "smartness" and allow comparison with others, which can be an effective tool to keep various stakeholders involved. Sharifi (2019) critically analyzed selected smart city assessment tools, highlighting their strengths and weaknesses and examining their potential contribution to the development and evolution of a smart city concept. They argue that to develop better strategies, assessment tools should be based on the advancements of smart solutions and big data analytics. Others emphasize the importance of the human dimension. Cortés-Cediel et al. (2020) analyzed case studies reported by the EUROCITIES network that represents smart initiatives implemented in major European cities. They found that the top smart cities implement initiatives to improve people’s wellbeing and increase the citizens’ opportunities and participation and are complemented with initiatives that build and improve cities’ technological and physical infrastructures. The report by Carrara et al. (2020) presented 17 different topics, including around 100 indicators for the standardization of citydata. 2.3 Smart cities and open data – performance measurement and maturity models Various performance measurement and maturity models are used to overview the smart city’s current state, highlight strengths and weaknesses, and provide city leaders recommendations and guidelines towards its development. Smart cities are also compared and ranked against each other based on these models. Each model consists of different domains (dimensions), phases, and corresponding indicator(s) used to assess the city’s performance and maturity. The main difference between these models and benchmarks, indices, and rankings discussed in the previous section is their theoretical orientation and focus on the selected domain(s) and a sample of cities. Global indices and rankings can be considered more established and widely accepted than those models. Performance measurement and ma-
turity models usually aim to introduce, assess, and validate new approaches domains or delimit themselves from existing models. They also provide only limited findings, recommendations, and guidelines for developing smart cities. They usually focus on a small sample of cities and cannot be generalized properly to a larger sample of cities. Existing research presents various models and assesses different domains of smart cities. Still, the central pillar of these models is data-centric. Many researchers recognize the importance of information and data flows, and the efficient management of this domain is crucial to successfully implementing other domains and smart cities’ strategies. Thus, this is one of the main reasons this paper focuses on the domain of the open data ecosystem and its maturity. Danneels et al. (2017) applied a set of OGD ecosystem dimensions to assess the degree of ecosystem maturity. They considered three OGD platform types – cognitivist, connectionist, and autopoietic, including involved actors and their interrelationships. Bonina and Eaton (2020) explored the management of open data ecosystem processes. They focused on the governance of the demand and the supply side of open data portals by their owners to foster ecosystem development. They evaluated the maturity of the ecosystem in four dimensions: (1) enabling actors, (2) governance intervention, (3) interactions, and (4) dynamics over time. Lee and Kwak (2012) proposed the Open Government Maturity Model for assessing and guiding government agencies that aim to plan and implement open government enabled by social media and other relevant technologies. Five maturity levels represent the model: initial conditions (Level 1), data transparency (Level 2), open participation (Level 3), open collaboration (Level 4), and ubiquitous engagement (Level 5). It informs the government agencies of each maturity level's focuses, capabilities, processes, outcomes, problems, best practices, and metrics. Torrinha and Machado (2017) identified smart city maturity models and assessed them, considering an approach based on the design principles framework to develop maturity models. They compared each maturity model based on 1) description (purpose, scope, focus), 2) domains, and 3) maturity levels. Their analysis also considered design principles when developing a new model divided into basic principles, the descriptive purpose of use, and the prescriptive purpose of use. Ensuring data quality is an important step to transform a city into a smart city. It is also one of the key categories of data transparency (Lněnička and Nikiforova, 2021). Korachi and Bounabat (2018) proposed a model to evaluate the maturity of a smart city based on the quality of produced and consumed data. The model consists of these domains: connectivity, data center, data analytics, applications, and end-users. Corrêa et al. (2017) assessed selected local data portals in Brazil and how they comply with the OGD principles. They mapped items necessary for the disclosure for active transparency and technical requirements for Brazil’s access to information legislation based on the principles of the OGD. Warnecke et al. (2019) developed a web application that allows self-assessment of the maturity level of city authorities in terms of smart city performance and determination of their competitiveness by benchmarking. It allows the exclusion of irrelevant indicators to a city’s development priorities without compromising the benchmark function. 3 Research methodology This study is based on (1) the review of key concepts such as smart city, (open) data portal/platform, and ecosystem, smart cities benchmarks and performance measurement and maturity models of smart cities and open data portals, based on a descriptive literature review, (2) developing an experiment design by adapting the benchmarking framework for assessing the compliance of open (government) data portals with the principles of transparency-by-design proposed by Lněnička and Nikiforova
(2021), (3) applying the developed framework to 34 portals that can be considered to be part of open data ecosystems in smart cities, thereby carrying out their assessment by experts in 36 features context, which allows us to rank them and discuss their maturity levels and (4) based on the results of the assessment, defining the components and unique models that form the open data ecosystem in the smart city context. This section refers to the research methodology given in Figure 1, including methods used in each phase. The further sections explain these steps in more detail.
the applied framework. Finally, a ranking of assessed cities was conducted, thus identifying portals that comply with the transparency-by-design principle the most and should include some corrective actions. In presenting the results, the scale mentioned above was used, i.e., the level of agreement with the following statements: 1 (Strongly disagree), 2 (Disagree), 3 (Slightly disagree), 4 (Slightly agree), 5 (Agree), and 6 (Strongly agree), where agreement (4.5...6 of 6 points) is visualized in blue and corresponds to maturity level #4, disagreement (0…1.5 points) – red, corresponding to maturity level #1, while slight disagreement (1.5...3) – gray, corresponding to maturity level #2, and slight agreement (3...4.5) – light green, corresponding to maturity level #3. The best and worst results are depicted by dashed borders and result in either blue or red color for the best and the worst results, respectively. 4.1 Results by categories Regarding the open data portals, we have identified that the worst result is demonstrated by features representing the public engagement, collaboration, and participation dimensions. In contrast, the best result belongs to the data findability dimension, followed by data usefulness (see Figure 3). However, the difference between these two results is less than 1,5 points. The best-demonstrated result is 4.6 points out of 6, i.e., tends to be assessed by experts as between agree and slightly agree, i.e., there has been no strong agreement on the fulfillment of these assessed features. As shown in Figure 3, all open data portals assessed have significant room for improvement since none of the categories has achieved a strong positive result. This, however, can also be said about the negative trend, i.e., none of the categories have been assessed by less than 3 points. Figure 3. Mean values for open data portals (by category) As regards geodata portals, the results are even worse for all categories assessed, while the trends for best and worst results remain the same. However, if we refer to points that these dimensions have gotten from experts, they are 0.5 points and 0.3 points worse for geodata portals than open data portals. As a result, 2 of 8 dimensions were assessed as poorly implemented, i.e., below 3 points and gray bars in Figure 4. The most significant difference between the results is the “data quantity, structure and general features of the portal,” which refers to features such as data organization (the number of datasets and categories, i.e., an overview of the number of datasets and categories, thus demonstrating that the data are organized and available, proving that the portal is active), multilingualism,
dashboards, use of vocabulary, data linkage and data versioning, followed by data findability, which refers to data search, filter, and sort, as well as datasets categories and cataloging. The third major difference between the results is the data quality dimension, which focuses not only on the quality of data, such as data accuracy, but also on assessing the dataset description, attribute description, metadata presence, quality, and data timeliness frequency updates. This means that geodata portals are less organized than open data portals. This, however, can be easily explained by the current paradigm, when most of the efforts and resources are spent on the national OGD portal and local portals. In contrast, geodata portals are not meant to be primarily the source of open data. This is also seen in the literature and current benchmarks and rankings, where geodata portals are rarely an object of interest. Figure 4. Mean values for geodata portals (by category) For the last category represented by smart portals, the results are slightly different from what we have seen before (Figure 5) when referring to the best result now belonging to data quality. The worst result remains valid, although it should be noted that it is even lower compared to the two categories mentioned above. Surprisingly, the data quantity, structure, and general features of the portal, which were very challenging for the geodata portal, have been assessed relatively high (3.8 compared to 3.1), exceeding the result of the open data portals. In addition, better results were achieved by service quality dimension (referring to contact and technical support, guidelines, tutorials, etc., as well as monitoring and tracking features), and data usefulness dimension (which mainly refers to features that allow gaining insight into the result of a service or product creation (reuse/showcase or co-creation), mapping it to the data used, and whether the identification of the most up-to-date trends such as high-value datasets takes place and requests of dataset or service of interest for public). At the same time, data accessibility, which refers to open access, open license, download in bulk, API and SPARQL endpoints, preview and discoverability, data visualization, and data analytic tools, is assessed worse than the above dimensions. This may be partly because most smart data portals focus on the services and provide a reference from the service to the open data portal. Unfortunately, this is not always the case and sometimes not a reference to the open data portal or dataset, nor a license and preview and discoverability or data analytic tool take place, which significantly affects actionability and, consequently, users’ interest in both the service presented and the portal as a whole. Also,
the service's transparency and its creation are limited since the users cannot access the data on which the service was built. Figure 5. Mean values for smart data portals (by category) When combining the results on all the portals we have analyzed, the overall trend observed for the open and geodata portals is no longer valid, as the best result is demonstrated by data quality dimension with 4.1 points, followed by data findability (4.0 points), as can be seen in Figure 6. However, the most negative result remains public engagement, collaboration, and participation with only 2.9 points, i.e., tending to disagree slightly and can be seen as the most critical. This is followed by data usefulness (3.2), data quantity, structure, and general features of the portal (3.5), service quality (3.6), data understandability (3.7), and data accessibility (3.7), which although have been assessed as partly fulfilled, still have less than 4 points of 6. This means that changes and improvements should be subject to all dimensions and corresponding features, but public engagement, collaboration, and participation should become central. This is due to such low results and the importance of this category, considering data portals of all types, i.e., open, geodata, and especially smart data portals. Otherwise, if no features support public engagement, collaboration, and participation or the respective features are not well implemented, there are minor changes for any changes, value creation, and meeting the objectives of the initiatives concerned.
Figure 6. Mean values for all portals (by category) While in this section we have covered the dimension-wise results, let us refer to the results by portal and city. 4.2 Results by portals Although most dimensions with corresponding features were assessed as weakly implemented, i.e., below 4 points, this trend is not valid for all smart cities. More precisely, Figures 7, 8, and 9 provide a city-wise insight on the results, from which we see that the three smart cities, namely Helsinki, Madrid, and Paris, have demonstrated relatively high results with an average result of 4.52 for Helsinki and 4.49 for Madrid and Paris. All portals belong to open data portals. Although the results for the open data portals of Madrid and Paris are expected because the corresponding countries are constant leaders in the context of the maturity of open data (portal), as demonstrated by the recent Open Data Maturity Report (Hesteren and van Knippenberg, 2021), the city of Helsinki is something that is not so self-evident, particularly given that the report mentioned above states that Finland is among six countries, which were moved down from fast-trackers to followers this year. However, this shows that cities and smart cities can develop more rapidly than the whole country when humanand financial resources are allocated wisely. When different categories of portals are compared, it can be noticed that open data portals tend to demonstrate better results, mostly representing maturity level #3 (Figure 7), while geodata portals (Figure 8) – the worst, mostly falling in maturity level #2, with the best result of 3.9 points for Brussels. In comparison, Brussels’ open data portal gained 4.4 points, and the worst assessment was gained by the geodata portal of Sofia and Stockholm with 2.9 points of 6. Open data and geodata portals generally have three and two "outsiders," respectively, tending to be poorly implemented, i.e., gaining below 3 points. In contrast, open data portals have one expressed leader assessed at a little more than 4.5 points and a further three portals with almost similar points. Smart data portals (Figure 9), however, although not showing very strong positive results, were assessed at 3.6 to 3.8 points, with Dublin taking a leading position among the inspected smart data portals. This makes their average results slightly better than the average geodata portals’ results, having 3.7 out of 6 points for smart data portals, 3.7 for open data portals, and 3.4 for geodata portals.
Figure 7. Open data portals’ ranking Figure 8. Geodata portals’ ranking Figure 9. Smart data portals’ ranking Figure 10, however, provides an overall ranking of all inspected portals, where open data portals are shown in blue, geodata portals – in green, and smart data portals – in orange. This ranking proves that
open data portals are assessed best, with average results demonstrated by smart data portals and mostly weakest results compared to the general results of the above categories shown by geodata portals. None of the portals have gained more than 4.5 points; all have some room for improvements, while five portals have been assessed below 3 points with two geodata portals and three open data portals. Figure 11 then provides a more detailed look at assessed categories for the three best-performing portals and respective smart cities. Figure 10. All assessed portals’ ranking Figure 11. Leading portals’ results by category However, although we observed that open data portals are generally assessed higher compared to other data portals, it should be noted that the framework we have applied, i.e., dimensions and subdimensions/features assessed, were originally defined for open data portals specifically, which could lead to the above-discussed trend. 4.3 Definition of the open data ecosystem in the smart city context We can derive the open data ecosystem in the smart city context from the above. However, we should first set our findings into the existing body of knowledge on open data ecosystems. Van Loenen et al. (2021) argued that the scale of these ecosystems might vary: within institutions, countries, regions, worldwide, and within different disciplines and domains. Most of the existing definitions are based on the global or country-level views of components and relationships between them, which prevent
them from considering other regional and local components and characteristics that can be useful in exploring the dynamics and maturity of the ecosystem. Moreover, they often include a data domain as one of the components at the same level of importance, despite the components of data infrastructures and their full delimitation being the key ones around which other processes should be identified and formalized to achieve ecosystems’ goals. Dawes et al. (2016) reported that the components of the cityand municipal-level ecosystems are more evident and easier to analyze compared to more diffuse national systems. In general, the open data ecosystem, without considering specific levels, disciplines, or domains, can be defined as a set of components that constitute this ecosystem, a set of stakeholders involved and interacting with the system, which should be taken into account and affect those components, and existing environments (economic, social, technical, environmental, cultural, and political) that shape the ecosystem’s purpose, goals, processes occurring in it (transparency, participation, collaboration, and cooperation), and services delivering in it. Since the key asset of the open data ecosystem is the data, the first step in the definition’s formulation is to introduce the concept of the data-centric and data-driven infrastructure in the smart city context. This infrastructure can be defined as "a collection of online data sources providing city-level data for free in open formats and under open licenses for everyone to be reused.” Its main components are data portals, platforms, and other data repositories in the smart city and its administration and other public authorities, which vide OGD, OBD, OCD, and OSD, provided by other stakeholders and freely available for reuse. The data sources cover every data provider who publishes data under open data principles. They do not include institutions with separate tools/policies/approaches to providing data. The key data sources at the smart city level we found are (1) open data portal – publishes OGD and reuses, provides features to work with them, etc., (2) smart data portal – publishes data relevant to smart services and smart projects, (3) geodata portal – publishes spatial data in open formats, provides features and services to work with them, (4) IoT and big data portal – provides raw data and data streams, and (5) domain-specific portals such as smart education, smart transportation, smart energy, etc., usually correspond to domains listed by Giffinger et al. (2007). The last data source type can also be implemented as one platform, such as https://dublindashboard.ie/. The infrastructure dynamics are driven by information and data flow between these components represented by datasets’ requests, downloads, processing, sharing, etc. The intensity of these actions limits or enhances the flows in the ecosystem. The components and relationships can be described using a systems theory approach. This conceptual view enables us to take a second step, in which stakeholders are involved in the ecosystems’ dynamics to perform the actions defined above. The data portals vary considerably regarding their orientation towards their primary target groups. Since different stakeholders have different needs, goals, skills, and other characteristics, their interactions and activities result in prioritizing the importance of different actions that lead to the use of different online data sources. Our findings showed that we need to separate users from stakeholders as consumers of this ecosystem. A user can be defined as an individual or group of individuals who may not represent any organization, those who represent it, governments of municipalities, or governments of the country. However, their number and nature should not be limited. According to the concept of Society 5.0 or Super Smart Society, each individual or group of individuals can create added value by utilizing data and digital transformations, thereby applying creative thinking. To effectively and efficiently manage and gain value from the ecosystem,
the ecosystem orchestrator (city leaders) must consider these dynamics in their decisions on developing the open data ecosystem. Further, except for the core components that form the data-centric and data-driven infrastructure of the open data ecosystem, we can identify other components that form the surrounding environment outside the ecosystem boundary but still affect the dynamics of the ecosystem. The first category of these components consists of websites and platforms that do not directly provide open data and features to work with them. Still, support transparency, participation, collaboration, and cooperation processes to enable stakeholders' communication, discussion, and information sharing. For example, https://transparencia.madrid.es/, https://www.partizipation.wien.at/ or https://projektzukunft.berlin.de/. We can also include other digital platforms and channels in this category, such as wikis, forums, microblogging, video sharing, community groups, and other tools to enable citizens and other stakeholders to share their views and opinions. The second category includes online data sources that provide regional and national data, such as the national OGD portal. These sources can also provide city-level data and other services. Still, from the city’s point of view, these sources are not usually relevant for the consideration regarding the development of the open data ecosystem in the smart city context. We found a specific type of portal is, a smart cities’ platform, that centralizes datasets from more cities in one place and categorizes them according to projects or targeted areas. These components and their relationships are shown in Figure 12. Figure 12. Components and relationships of the open data ecosystem in the smart city context Finally, we found that concepts that should be considered since they affect/shape the ecosystem are: 1) stakeholders and their roles, 2) phases of the data lifecycle, in which a stakeholder participates in the ecosystem, 3) technical and technological infrastructure, 4) generic services and platforms, 5) human capacities and skills of both providers and consumers, 6) smart city domains (thematic categories) as the targeted areas for data reuse, 7) externalities affecting goals, policy, and resources, 8) level of (de)centralization of data sources – development, restrictions, 9) perception of importance and support from public officials, and 10) user interface, user experience, and usability.
Our definition is established based on the knowledge and experience of the experts involved and observations made during the above-described study. The open data ecosystem in the smart city context can be defined as "systematic efforts to integrate ICT and technologies into city life to deliver citizen-centric, better-quality services, solutions to city problems with open data published through the data-centric and data-driven infrastructure." It can also be viewed as a part of the transition to the knowledge economy. It is also a part of a local e-government system, and it is usually considered one of the e-government services. Generally, all these approaches to smartness and smart open data services evolved from the concept of e-government and respective websites that have been upgraded to meet the needs of smart cities. The definition of the open data ecosystem and its description aims to be general and include all components we found. However, some variations of this ecosystem can be identified based on the predominant components of the data-centric and data-driven infrastructure. Our study has identified the following types of ecosystems: ● Type 1: The city’s OGD portal is the center of the data infrastructure, and all OGD, including those labeled as smart, are published and centralized through it. For this type of open data ecosystem, other websites that had previously provided open data or other services to access public sector information have been replaced by the OGD portal. The focus is on datasets, providing features to work with them, reuse them, and make all data requests transparent in one place. ● Type 2: This ecosystem also usually has the OGD portal as the central point, but other portals and platforms publish open data. The smart data portal and online city dashboards focusing on different dimensions such as transport, health, air quality, etc., are important components of this ecosystem. ● Type 3: A decentralized type of ecosystem that includes many components such as OGD portal, smart data portal, geodata portal, etc. However, it increases the ecosystem’s complexity, which is more difficult to manage and less usable for stakeholders. ● Type 4: The smart city portal focused on projects and services is usually the center of this ecosystem, but it is not the priority to provide data and appropriate features to reuse them. Most services are developed by public sector organizations, research institutions, or businesses and provided to citizens. ● Type 5: Apart from the city’s OGD portal, there are additional transparency-, participation-, collaboration-, and cooperation-oriented websites and portals to support the formation and improvement of relations between stakeholders. This type of ecosystem is focused on processes to improve open data reuse. 4.4 Recommendations and best practices Based on the portals’ assessments, we can assign each city a maturity level (following the score scale presented above) and suggest recommendations and best practices to move from the current maturity level to the aimed (higher) one. Our study makes it possible to draw general conclusions and define specific, case-by-case recommendations. The self-determination of recommendations based on the results obtained may be done in at least two ways: (1) the sub-dimensional or dimensional, or (2) portal-wised. The first approach supposes the identification of specific sub-dimensions that have been assessed as poorly implemented and which should be a subject for improvements, their further inspection, and improvement. The latter refers to the identification of better portals, generally or in terms of a specific (sub-)dimension, which can be used by the holders of the relevant smart city portals
as an example to be examined, and which best practices to be adopted on the portal concerned. This may include passive and isolated investigation of the portal concerned and the leading one(s) and establishing cooperation with them, where this seems possible, e.g., neighboring cities or countries. However, it is possible to provide more general recommendations, rather than the portal-wised, considering the pre-defined transparency maturity levels and open data ecosystems and the current body of knowledge. In addition to the (sub-)dimension-wised assessment of portals, the appropriate maturity level can be identified. Depending on the maturity level of the portal, the general recommendations can be defined. They are provided in Table 3. In other words, very poorly performing portals falling at Level #1 of maturity should establish formal procedures for publishing data. In this case, the transparency efforts are likely falling to each data provider, which should be changed by establishing relationships between the components of the ecosystem and by establishing or improving the engagement of stakeholders. In this way, the current gaps and the way to make improvements can be determined, which can and should then be accompanied by feature-wised improvements based on the results of the experts’ assessment, as well as identifying actions to be made, e.g., what features affect the engagement of stakeholders. Table 3. Recommendations for improving the maturity level Current and targeted levels Recommendations Level #1 to Level #2 ● define formal procedures for publishing open (government) data, ● document and communicate these procedures with stakeholders, ● establish relationships between the components of the ecosystem, ● establish or improve engagement of stakeholders. Level #2 to Level #3 ● identify and implement actions and activities to involve stakeholders and encourage them to reuse data, ● ensure the possibility to provide feedback, collect it and use for defining agenda, ● determine the current and improve the level of automation of the open data ecosystem and its components. Level #3 to Level #4 ● ensure that procedures are based on the best practices, ● constantly identify and monitor stakeholders and their needs, ● optimize components and relationships between them for the city's environment and the requirements and needs of involved stakeholders. Berends et al. (2020) reported that smart city strategies are important drivers for open data, as a more crosslinked city and the use of intelligent devices lead to many useful data that can be used to improve the quality of life in the city. This requires solid data management systems and emphasis on promoting the re-use of these data to release the value they contain. This is important because it facilitates the interoperability between different systems, and data portals can more easily overcome certain barriers by sharing and exchanging best practices and experiences. Thus, the most important step in developing the data-centric and data-driven infrastructure in which all components are provided for the designated purpose (data service), and all are well interfaced with each other. Our study evinces critical compliance issues with transparency requirements for open government data. Of the eight dimensions, public engagement, collaboration, and participation received the lowest
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