[Paper review] Open data for electricity modeling: Legal aspects

This blog post is a quick review and notes relating to a research paper called: Open data for electronic modeling: Legal aspects.

It’s part of my new research notebook to help me collect and share notes on research papers and reports.

Brief summary

The paper reviews the legal status of publicly available energy data (and some related datasets) in Europe, with a focus on German law. The paper is intended to help identify some of the legal issues relevant to creation of analytical models to support use of energy data, e.g. for capacity planning.

As background, the paper describes the types of data relevant to building these types of model, the relevant aspects of database and copyright law in the EU and the properties of open licences. This background is used to assess some of the key data assets published in the EU and how they are licensed (or not) for reuse.

The paper concludes that the majority of uses of this data to support energy modelling in the EU, whether for research or other purposes, is likely to be infringing on the rights of the database holders, meaning that users are currently carrying legal risks. The paper notes that in many cases this is likely not the intended outcome.

The paper provides a range of recommendations to address this issue, including the adoption of open licences.

Three reasons to read

Here’s three reasons why you might want to read this paper

It provides a helpful primer on the range of datasets and data types that are used to develop applications in the energy sector in the EU. Useful if you want to know more about the domain
The background information on database rights and related IP law is clearly written and a good introduction to the topic
The paper provides a great case study of how licensing and legal protections applies to data use in a sector. The approach taken could be reused and extended to other areas

Three things I learned

Here’s three things that I learned from reading the paper.

That a database might be covered by copyright (an “original” database) in addition to database rights. But the authors note this doesn’t apply in the case of a typical energy dataset
That individual member states might have their own statutory exemptions to the the Database Directive. E.g. in Germany it doesn’t apply to use of data in non-commercial teaching. So there is variation in how it applies.
The discussion on how the Database Directive relates to statutory obligations to publish data was interesting, but highlights that the situation is unclear.

Thoughts and impressions

Great paper that clearly articulates the legal issues relating to publication and use of data in the energy sector in the EU. It’s easy to extrapolate from this work to other use cases in energy and by extension to other sectors.

The paper concludes with a good set of recommendations: the adoption of open licences, the need to clarify rights around data reuse and the role of data institutions in doing that, and how policy makers can push towards a more open ecosystem.

However there’s a suggestion that funders should just mandate open licences when funding academic research. While this is the general trend I see across research funding, in the context of this article it lacks a bit of nuance. The paper clearly indicates that the current status quo is that data users do not have the rights to apply open licences to the data they are publishing and generating. I think funders also need to engage with other policy makers to ensure that upstream provision of data is aligned with an open research agenda. Otherwise we risk perpetuating an unclear landscape of rights and permissions. The authors do note the need to address wider issues, but I think there’s a potential role of research funders in helping to drive change.

Finally, in their review of open licences, the authors recommend a move towards adoption of CC0 (public domain waivers and marks) and CC-BY 4.0. But they don’t address the fact that upstream licensing might limit the choice of how researchers can licence downstream data.

Specifically, the authors note the use of OpenStreetmap data to provide infrastructure data. However depending on your use, you may need to adopt this licence when republishing data. This can be at odds with a mandate to use other licences or restrictive licences used by other data stewards.

How do data publishing choices shape data ecosystems?

This is the latest in a series of posts in which I explore some basic questions about data.

In our work at the ODI we have often been asked for advice about how best to publish data. When giving trying to give helpful advice, one thing I’m always mindful of is how the decisions about how data is published shapes the ways in which value can be created from it. More specifically, whether those choices will enable the creation of a rich data ecosystem of intermediaries and users.

So what are the types of decisions that might help to shape data ecosystems?

To give a simple example, if I publish a dataset so its available as a bulk download, then you could use that data in any kind of application. You could also use it to create a service that helps other people create value from the same data, e.g. by providing an API or an interface to generate reports from the data. Publishing in bulk allows intermediaries to help create a richer data ecosystem. But, if I’d just published that same data via an API then there are limited ways in which intermediaries can add value. Instead people must come directly to my API or services to use the data.

This is one of the reasons why people prefer open data to be available in bulk. It allows for more choice and flexibility in how it is used. But, as I noted in a recent post, depending on the “dataset archetype” your publishing options might be limited.

The decision to only publish a dataset as an API, even if it could be published in other ways is often a deliberate decision. The publisher may want to capture more of the value around the dataset, e.g. by charging for the use of an API. Or they may it is important to have more direct control over who uses it, and how. These are reasonable choices and, when the data is sensitive, sensible options.

But there are a variety of ways in which the choices that are made about how to publish data, can can shape or constrain the ecosystem around a specific dataset. It’s not just about bulk downloads versus APIs.

The choices include:

the licence that is applied to the data, which might limit it to non commercial use. Or restrict redistribution. Or imposing limits on the use of derived data
the terms and conditions for the API or other service that provides access to the data. These terms are often conflated with data licences, but typically focus on aspects of service provisions, for example rate limiting, restriction on storage of API results, permitted uses of the API, permitted types of users, etc
the technology used to provide access to data. In addition to bulk downloads vs API, there are also details such as the use of specific standards, the types of API call that are possible, etc
the governance around the API or service that provides access to data, which might create limit which users can get access the service or create friction that discourages use
the business model that is wrapped around the API or service, which might include a freemium model, chargeable usage tiers, service leverl agreements, usage limits, etc

I think these cover the main areas. Let me know if you think I’ve missed something.

You’ll notice that APIs and services provide more choices for how a publisher might control usage. This can be a good or a bad thing.

The range of choices also means it’s very easy to create a situation where an API or service doesn’t work well for some use cases. This is why user research and engagement is such an important part of releasing a data product and designing policy interventions that aim to increase access to data.

For example, let’s imagine someone has published an openly licensed dataset via an API that restricts users to a maximum number of API calls per month.

These choices limits some uses of the API, e.g. applications that need to make lots of queries. This also means that downstream users creating web applications are unable to provide a good quality of service to their own users. A popular application might just stop working at some point over the course of the month because it has hit the usage threshold.

The dataset might be technically openly, but practically its used has been constrained by other choices.

Those choices might have been made for good reasons. For example as a way for the data publisher to be able to predict how much they need to invest each month in providing a free service, that is accessible to lots of users making a smaller number of requests. There is inevitably a trade-off between the needs of individual users and the publisher.

Adding on a commercial usage tier for high volume users might provide a way for the publisher to recoup costs. It also allows some users to choose what to pay for their use of the API, e.g. to more smoothly handle unexpected peaks in their website traffic. But it may sometimes be simpler to provide the data in bulk to support those use cases. Different use cases might be better served by different publishing options.

Another example might be a system that provides access to both shared and open data via a set of APIs that conform to open standards. If the publisher makes it too difficult for users to actually sign up to use those APIs, e.g because of difficult registration or certification requirements, then only those organisations that can afford to invest the time and money to gain access might both using them. The end result might be a closed ecosystem that is built on open foundations.

I think its important for understand how this range of choices can impact data ecosystems. They’re important not just for how we design products and services, but also in helping to design successful policies and regulatory interventions. If we don’t consider the full range of changes, then we may not achieve the intended outcomes.

More generally, I think it’s important to think about the ecosystems of data use. Often I don’t think enough attention is paid to the variety of ways in which value is created. This can lead to poor choices, like a choosing to try and sell data for short term gain rather than considering the variety of ways in which value might be created in a more open ecosystem.

Lets talk about plugs

This is a summary of a short talk I gave internally at the ODI to help illustrate some of the important aspects of data standards for non-technical folk. I thought I’d write it up here too, in case its useful for anyone else. Let me know what you think.

We benefit from standards in every aspect of our daily lives. But because we take them for granted, we don’t tend to think about them very much. At the ODI we’re frequently talking about standards for data which, if you don’t have a technical background, might be even harder to wrap your heard around.

A good example can help to illustrate the value of standards. People frequently refer to telephone lines, railway tracks, etc. But there’s an example that we all have plenty of personal experience with.

Lets talk about plugs!

You can confidently plug any of your devices into a wall socket and it will just work. No thought required.

Have you ever thought about what it would be like if plugs and wall sockets were all different sizes and shapes?

You couldn’t rely on being able to consistently plug your device into any random socket, so you’d have to carry around loads of different cables. Manufacturers might not design their plugs and sockets very well so there might be greater risks of electrocution or fires. Or maybe the company that built your new house decided to only fit a specific type of wall socket because its agree a deal with an electrical manufacturer, so when you move in you needed to buy a completely new set of devices.

We don’t live in that world thankfully. As a nation we’ve agreed that all of our plugs should be designed the same way.

That’s all a standard is. A documented, reusable agreement that everyone uses.

Notice that a single standard, “how to design a really great plug“, has multiple benefits. Safety is increased. We save time and money. Manufacturers can be confident that their equipment will work in any home or office.

That’s true of different standards too. Standards have economic, policy, technical and social impacts.

Open up a UK plug and it looks a bit like this.

Notice that there are colours for different types of wires (2, 3, 4). And that fuses (5) are expected to be the same size and shape. Those are all standards too. The wiring and voltages are standardised too.

So the wiring, wall sockets and plugs in your house are designed affording to a whole family of different standards, that are designed to work with one another.

We can design more complex systems from smaller standards. It helps us make new things faster, because we are reusing existing work.

That’s a lot of time and agreement that we all benefit from. Someone somewhere has invested the time and energy into thinking all of that through. Lucky us!

When we visit other countries, we learn that their plugs and sockets are different. Oh no!

That can be a bit frustrating, and means we have to spend a bit more money and remember to pack the right adapters. It’d be nice if the whole world agreed on how to design a plug. But that seems unlikely. It would cost a lot of time and money in replacing wiring and sockets.

But maybe those different designs are intentional? Perhaps there are different local expectations around safety, for example. Or in what devices people might be using in their homes. There might be reasons why different communities choose to design and adopt slightly different standards. Because they’re meeting slightly different needs. But sometimes those differences might be unnecessary. It can be hard to tell sometimes.

The people most impacted by these differences aren’t tourists, its the manufacturers that have to design equipment to work in different locations. Which is why your electrical devices normally has a separate cable. So, depending on whether you travel or whether you’re a device manufacturer you’ll have different perceptions of how much a problem that is.

All of the above is true for data standards.

Standards for data are agreements that help us collect, access, share, use and publish data in consistent ways. They have a range of different impacts.

There are lots of different types of standard and we combine them together to create different ways to successfully exchange data. Different communities often have their own standards for similar things, e.g. for describing metadata or accessing data via an API.

Sometimes those are simple differences that an adapter can easily fix. Sometimes those differences are because the standards are designed to meet different needs.

Unfortunately we don’t live in a world of standardised data plugs and wires and fuses. We live in that other world. The one where its hard to connect one thing to another thing. Where the stuff coming down the wires is completely unexpected. And we get repeated shocks from accidental releases of data.

I guarantee that in every user research, interview, government consultation or call for evidence, people will be consistently highlighting the need for more standards for data. People will often say this explicitly, “We need more standards!”. But sometimes they refer to the need in other ways: “We need make data more discoverable!” (metadata standards) or “We need to make it easier to safely release data!” (standardised codes of practice).

Unfortunately that’s not always that helpful because when you probe a little deeper you find that people are talking about lots of different things. Some people want to standardise the wiring. Others just want to agree on a voltage. While others are still debating the definition of “fuse”. These are all useful and important things. You just need to dig a little deeper to find the most useful place to start.

Its also not always clear whose job it is to actually create those standards. Because we take standards for granted, we’re not always clear about how they get created. Or how long it takes and what process to follow to ensure they’re well designed.

The reason we published the open standards for data guidebook was to help communities get started in designing the standards they need.

Standards development needs time and investment, as someone somewhere needs to do the work of creating them. That, as ever, is the really hard part.

Standards are part of the data infrastructure that help us unlock value from data. We need to invest in creating and maintaining them like we do other parts of our infrastructure.

Don’t just listen to me, listen to some of the people who’ve being creating standards for their communities.

The words we use for data

I’ve been on leave this week so, amongst the gardening and relaxing I’ve had a bit of head space to think. One of the things I’ve been thinking about is the words we choose to use when talking about data. It was Dan‘s recent blog post that originally triggered it. But I was reminded of it this week after seeing more people talking past each other and reading about how the Guardian has changed the language it uses when talking about the environment: Climate crisis not climate change.

As Dan pointed out we often need a broader vocabulary when talking about data. Talking about “data” in general can be helpful when we want to focus on commonalities. But for experts we need more distinctions. And for non-experts we arguably need something more tangible. “Data”, “algorithm” and “glitch” are default words we use but there are often better ones.

It can be difficult to choose good words for data because everything can be treated as data these days. Whether it’s numbers, text, images or video everything can be computed on, reported and analysed. Which makes the idea of data even more nebulous for many people.

In Metaphors We Live By, George Lakoff and Mark Johnson discuss how the range of metaphors we use in language, whether consciously or unconsciously, impacts how we think about the world. They highlight that careful choice of metaphors can help to highlight or obscure important aspects of the things we are discussing.

The example that stuck with me was that when we are describing debates. We often do so in terms of things to be won, or battles to be fought (“the war of words”). What if we thought of debates as dances instead? Would that help us focus on compromise and collaboration?

This is why I think that data as infrastructure is such a strong metaphor. It helps to highlight some of the most important characteristics of data: that it is collected and used by communities, needs to be supported by guidance, policies and technologies and, most importantly, needs to be invested in and maintained to support a broad variety of uses. We’ve all used roads and engaged with the systems that let us make use of them. Focusing on data as information, as zeros and ones, brings nothing to the wider debate.

If our choice of metaphors and words can help to highlight or hide important aspects of a discussion, then what words can we use to help focus some of our discussions around data?

It turns out there’s quite a few.

For example there are “samples” and “sampling“. These are words used in statistics but their broader usage has the same meaning. When we talk about sampling something, whether its food or drink, music or perfume it’s clear that we’re not taking the whole thing. Talking about sampling might help us be to clearer that often when we’re collecting data we don’t have the whole picture. We just have a tester, a taste. Hopefully one which is representative of the whole. We can make choices about when, where and how often we take samples. We might only be allowed to take a few.

“Polls” and “polling” are similar words. We sample people’s opinions in a poll. While we often use these words in more specific ways, they helpfully come with some understanding that this type of data collection and analysis is imperfect. We’re all very familiar at this point with the limitations of polls.

Or how about “observations” and “observing“? Unlike “sensing” which is a passive word, “observing” is more active and purposeful. It implies that someone or something is watching. When we want to highlight that data is being collected about people or the environment “taking observations” might help us think about who is doing the observing, and why. Instead of “citizen sensing” which is a passive way of describing participatory data collection, “citizen observers” might place a bit more focus on the work and effort that is being contributed.

“Catalogues” and “cataloguing” are words that, for me at least, imply maintenance and value-added effort. I think of librarians cataloguing books and artefacts. “Stewards” and “curators” are other important roles.

AI and Machine Learning are often being used to make predictions. For example, of products we might want to buy, or whether we’re going to commit a crime. Or how likely it is that we might have a car accident based on where we live. These predictions are imperfect. But we talk about algorithms as “knowing”, “spotting”, “telling” or “helping”. But they don’t really do any of those things.

What they are doing is making a “forecast“. We’re all familiar with weather forecasts and their limits. So why not use the same words for the same activity? It might help to highlight the uncertainty around the uses of the data and technology, and reinforce the need to use these forecasts as context.

In other contexts we talk about using data to build models of the world. Or to build “digital twins“. Perhaps we should just talk more about “simulations“? There are enough people playing games these days that I suspect there’s a broader understanding of what a simulation is: a cartoon sketch of some aspect of the real world that might be helpful but which has its limits.

Other words we might use are “ratings” and “reviews” to help to describe data and systems that create rankings and automated assessments. Many of us have encountered ratings and reviews and understand that they are often highly subjective and need interpretation?

Or how about simply “measuring” as a tangible example of collecting data? We’ve all used a ruler or measuring tape and know that sometimes we need to be careful about taking measurements: “Measure twice, cut once”.

I’m sure there are lots of others. I’m also well aware that not all of these terms will be familiar to everyone. And not everyone will associate them with things in the same way as I do. The real proof will be testing words with different audiences to see how they respond.

I think I’m going to try to deliberately use a broad range of language in my talks and writing and see how it fairs.

What terms do you find most useful when talking about data?

How can we describe different types of dataset? Ten dataset archetypes

As a community, when we are discussing recommendations and best practices for how data should be published and governed, there is a natural tendency for people to focus on the types of data they are most familiar with working with.

This leads to suggestions that every dataset should have an API, for example. Or that every dataset should be available in bulk. While good general guidance, those approaches aren’t practical in every case. That’s because we also need to take into account a variety of other issues, including:

the characteristics of the dataset
the capabilities of the publishing organisation and the funding their have available
the purpose behind publishing the data
and the ethical, legal and social contexts in which it will be used

I’m not going to cover all of that in this blog post.

But it occurred to me that it might be useful to describe a set of dataset archetypes, that would function a bit like user personas. They might help us better answer some of the basic questions people have around data, discuss recommendations around best practices, inform workshop exercises or just test our assumptions.

To test this idea I’ve briefly described ten archetypes. For each one I’ve tried to describe some it’s features, identified some specific examples, and briefly outlined some of the challenges that might apply in providing sustainable access to it.

Like any characterisation detail is lost. This is not an exhaustive list. I haven’t attempted to list every possible variation based on size, format, timeliness, category, etc. But I’ve tried to capture a range that hopefully illustrate some different characteristics. The archetypes reflect my own experiences, you will have different thoughts and ideas. I’d love to read them.

The Study

The Study is a dataset that was collected to support a research project. The research group collected a variety of new data as part of conducting their study. The dataset is small, focused on a specific use case and there are no plans to maintain or update it further as the research group does not have any ongoing funded to collect or maintain the dataset. The data is provided as is for others to reuse, e.g. to confirm the original analysis of the data or to use it on other studies. To help others, and as part of writing some academic papers that reference the dataset, the research group has documented their methodology for collecting the data. The dataset is likely published in an academic data portal or alongside the academic papers that reference it.

Examples: water quality samples, field sightings of animals, laboratory experiment results, bibliographic data from a literature review, photos showing evidence of plant diseases, consumer research survey results

The Sensor Feed

The Sensor Feed is a stream of sensor readings that are produced by a collection of sensors that have been installed across a city. New readings are added to the stream at regular intervals. The feed is provided to allow a variety of applications to tap into the raw sensor readings.. The data points are as directly reported by the individual sensors and are not quality controlled. The individual sensors may been updated, re-calibrated or replaced over time. The readings are part of the operational infrastructure of the city so can be expected to be available over at least the medium term. This mean the dataset is effectively unbounded: new observations will continue to be reported until the infrastructure is decommissioned.

Examples: air quality readings, car park occupancy, footfall measurements, rain gauges, traffic light queuing counts, real-time bus locations

The Statistical Index

The Statistical Index is intended to provide insights into the performance of specific social or economic policies by measuring some aspect of a local community or economy. For example a sales or well-being index. The index draws on a variety of primary datasets, e.g. on commercial activities, which are then processed according to a documented methodology to generate the index. The Index is stewarded by an organisation and is expected to be available over the long term. The dataset is relatively small and is reported against specific geographic areas (e.g. from The Register) to support comparisons. The Index is updated on a regular basis, e.g. monthly or annually. Use of the data typically involves comparing across time and location at different levels of aggregation.

Examples: street safety survey, consumer price indices, happiness index, various national statistical indexes

The Register

The Register is a set of reference data that is useful for adding context to other datasets. It consists of a list of specific things, e.g. locations, cars, services with an unique identifier and some basic descriptive metadata for each of the entries on the list. The Register is relatively small, but may grow over time. It is stewarded by an organisation tasked with making the data available for others. The steward, or custodian, provides some guarantees around the quality of the data. It is commonly used as a means to link, validate and enrich other datasets and is rarely used in isolation other than in reporting on changes to the size and composition of the register.

Examples: licensed pubs, registered doctors, lists of MOT stations, registered companies, a taxonomy of business types, a statistical geography, addresses

The Database

The Database is a copy or extract of the data that underpins a specific application or service. The database contains information about a variety of different types of things, e.g. musicians, the albums and songs. It is a relatively large dataset that can be used to perform a variety of different types of query and to support a variety of uses. As it is used in a live service it is regularly updated, undergoes a variety of quality checks, and is growing over time in both volume and scope. Some aspects of The Database may reference one or more Registers or could be considered as Registers in themselves.

Examples: geographic datasets that include a variety of different types of features (e.g. OpenStreetMap, MasterMap), databases of music (e.g. MusicBrainz) and books (e.g. OpenLibrary), company product and customer databases, Wikidata

The Description

The Description is a collection of a few data points relating to a single entity. Embedded into a single web page, it provides some basic information about an event, or place, or company. Individually it may be useful in context, e.g. to support a social interaction or application share. The owner of the website provides some data about the things that are discussed or featured on the website, but does not have access to a full dataset. The individual item descriptions are provided by website contributors using a CRM to add content to the website. If available in aggregate, the individual descriptions might make a useful Database or Register.

Examples: descriptions of jobs, events, stores, video content, articles

The Personal Records

The Personal Records are a history of the interactions of a single person with a product or service. The data provides insight into the individual person’s activities. The data is a slice of a larger Dataset that contains data for a larger number of people. As the information contains personal information it has to be secure and the individual has various rights over the collection and use of the data as granted by GDPR (or similar local regulation). The dataset is relatively small, is focused on a specific set of interactions, but is growing over time. Analysing the data might provide useful insight to the individual that may help them change their behaviour, increase their health, etc.

Examples: bank transactions, home energy usage, fitness or sleep tracker, order history with an online service, location tracker, health records

The Social Graph

The Social Graph is a dataset that describes the relationships between a group of individuals. It is typically built-up by a small number of contributions made by individuals that provide information about their relationships and connections to others. They may also provide information about those other people, e.g. names, contact numbers, service ratings, etc. When published or exported it is typically focused on a single individual, but might be available in aggregate. It is different to Personal Records as its specifically about multiple people, rather than a history of information about an individual (although Personal Records may reference or include data about others). The graph as a whole is maintained by an organisation that is operating a social network (or service that has social features).

Examples: social networks data, collaboration graphs, reviews and trip histories from ride sharing services, etc

The Observatory

The Observatory is a very large dataset produce by a coordinated large-scale data collection exercise, for example by a range of earth observation satellites. The data collection is intentionally designed to support a variety of down-stream uses, which informs the scale and type of data collected. The scale and type of data can makes it difficult to use because of the need for specific tools or expertise. But there are a wide range of ways in which the raw data can be processed to create other types of data products, to drive a variety of analyses, or used to power a variety of services. It is refreshed and re-released as required by the needs and financial constraints of the organisations collaborating on collecting and using the dataset.

Examples: earth observation data, LIDAR point clouds, data from astronomical surveys or Large Hadron Collider experiments

The Forecast

The Forecast is used to predict the outcome of specific real-world events, e.g. a weather or climate forecast. It draws on a variety of primary datasets which are then processed and anlysed to produce the output dataset. The process by which the predictions are made are well-documented to provide insight into the quality of the output. As the predictions are time-based the dataset has a relatively short “shelf-life” which means that users need to quickly access the most recent data for a specific location or area of interest. Depending on the scale and granularity, Forecast datasets can be very large, making them difficult to distribute in a timely manner.

Example: weather forecasts

Let me know what you think of these. Do they provide any useful perspective? How would you use or improve them?

That thing we call “open”

I’ve been involved in a few conversations recently about what “open” or “being open” means in different situations.

As I’ve noted previously when people say “open” they often mean very different things. And while there may be a clear definitions of “open”, people don’t
often use the terms correctly. And some phrases like “open API” are still, well, open to interpretation.

In this post I’m going to summarise some of the ways in which I tend to think about making something “open”.

Let me know if I’m missing something so I can plug gaps in my understanding.

Openness of a “thing”

Digital objects: books, documents, images, music, software and datasets can all be open.

Making things open in this sense is the most well documented, but still the most consistently misunderstood. There are clear definitions for open content
and data, open source, etc. Open in these contexts provide various freedoms to use, remix, share, etc.

People often confuse something being visible or available to them as being open, but that’s not the same thing at all. Being able to see or read something doesn’t give you any legal permissions at all.

It’s worth noting that the definitions of open “things” in different communities are often overlapping. For example, the Creative Commons licences allow works to be licensed in ways that enable a wide variety of legal reuses. But the Open Definition only recognises a subset of those as being open, rather than shared.

Putting an open licence on something also doesn’t necessarily grant you the full freedom to reuse that thing. For example I could open source some machine learning software but it might only be practically reusable if you can train it on some data that I’ve chosen not to share.

Or I might use an open licence like the Open Government Licence that allows me to put an open licence on something whilst ignoring the existence of any third-party rights. No need to do my homework. Reuser beware.

Openness of a process

Processes can be open. It might be better to think about transparency (e.g. of how the process is running) or the ability to participate in a process in this context.

Anything that changes and evolves over time will have a process by which those changes are identified, agreed, prioritised and applied. We sometimes call that governance. The definition of an open standard includes defining both the openness of the standard (the thing) as well as the process.

Stewardship, of a software project, or a dataset, or a standard are also examples of where it might be useful for a process to be open. Questions we can ask of open processes are things like:

Can I contribute to the main codebase of a software package, rather than just fork it?
Can I get involved in the decision making around how a piece of software or standard evolves?
Can I directly fix errors in a dataset?
Can I see what decisions have been, or are being made that relate to how something is evolving?

When we’re talking about open data or open source, often we’re really talking about openness of the “thing”. But when we’re making things open to make them
better, I think we’re often talking about being open to contributions and participation. Which needs something more than a licence on a thing.

There’s probably a broader category of openness here which relates to how open a process is socially. Words like inclusivity and diversity spring to mind.

Your standards process isn’t really open to all if all of your meetings are held face to face in Hawaii.

Openness of a product, system or platform

Products, platforms and systems can be open too. Here we can think of openness as relating to the degree to which the system

is built around open standards and open data (made from open things)
is operated using open processes
is available for wider access and use

We can explore this by asking questions like:

Is it designed to run on open infrastructure or is it tied to particular cloud infrastructure or hardware?
Are the interfaces to the system built around open standards?
Can I get access to an API? Or is it invite only?
How do the terms of service shape the acceptable uses of the system?
Can I use its outputs, e.g. the data returned by a platform or an API, under an open licence?
Can we observe how well the system or platform is performing, or measure its impacts in different ways (e.g. socially, economically, environmentally)

Openness of an ecosystem

Ecosystems can be open too. In one sense an open ecosystem is “all of the above”. But there are properties of an ecosystem that might itself indicate aspects of openness:

Is there a choice in providers, or is there a monopoly provider of services or data?
How easy is it for new organisations to engage with the ecosystem, e.g to provide
competing or new services?
Can we measure the impacts and operations of the ecosystem?

When we’re talking about openness of an ecosystem we’re usually talking about markets and sectors and regulation and governance.

Applying this in practice

So when thinking about whether something is “open” the first thing I tend to do is consider which of the above categories apply. In some cases its actually several.

This is evident in my attempt to define “open API“.

For example we’re doing some work @ODIHQ to explore the concept of a digital twin. According to the Gemini Principles a digital twin should be open. Here we can think of an individual digital twin as an object (a piece of software or a model), or a process (e.g. as an open source project), or an operational system or platform depending on how its made available.

We’re also looking at cities. Cities can be open in the sense of the openness of their processes of governance and decision making. They might also be considered as platforms for sharing data and connecting software. Or as ecosystems of the same.

Thinking about the governance of data

I find “governance” to be a tricky word. Particularly when we’re talking about the governance of data.

For example, I’ve experienced conversations with people from a public policy background and people with a background in data management, where its clear that there are different perspectives. From a policy perspective, governance of data could be described as the work that governments do to enforce, encourage or enable an environment where data works for everyone. Which is slightly different to the work that organisations do in order to ensure that data is treated as an asset, which is how I tend to think about organisational data governance.

These aren’t mutually exclusive perspectives. But they operate at different scales with a different emphasis, which I think can sometimes lead to crossed wires or missed opportunities.

As another example, reading this interesting piece of open data governance recently, I found myself wondering about that phrase: “open data governance”. Does it refer to the governance of open data? Being open about how data is governed? The use of open data in governance (e.g. as a public policy tool), or the role of open data in demonstrating good governance (e.g. through transparency). I think the article touched on all of these but they seem quite different things. (Personally I’m not sure there is anything special about the governance of open data as opposed to data in general: open data isn’t special).

Now, all of the above might be completely clear to everyone else and I’m just falling into my usual trap of getting caught up on words and meanings. But picking away at definitions is often useful, so here we are.

The way I’ve rationalised the different data management and public policy perspectives is in thinking about the governance of data as a set of (partly) overlapping contexts. Like this:

Governance of data as a set of overlapping contexts

Whenever we are managing and using data we are doing so within a nested set of rules, processes, legislation and norms.

In the UK our use of data is bounded by a number of contexts. This includes, for example: legislation from the EU (currently!), legislation from the UK government, legislation defined by regulators, best practices that might be defined how a sector operates, our norms as a society and community, and then the governance processes that apply within our specific organisations, departments and even teams.

Depending on what you’re doing with the data, and the type of data you’re working with, then different contexts might apply. The obvious one being the use of personal data. As data moves between organisations and countries, then different contexts will apply, but we can’t necessarily ignore the broader contexts in which it already sits.

The narrowest contexts, e.g. those within an organisations, will focus on questions like: “how are we managing dataset XYZ to ensure it is protected and managed to a high quality?” The broadest contexts are likely to focus on questions like: “how do we safely manage personal data?”

Narrow contexts define the governance and stewardship of individual datasets. Wider contexts guide the stewardship of data more broadly.

What the above diagram hopefully shows is that data, and our use of data, is never free from governance. It’s just that the terms under which it is governed may just be very loosely defined.

This terrible sketch I shared on twitter a while ago shows another way of looking at this. The laws, permissions, norms and guidelines that define the context in which we use data.

One of the ways in which I’ve found this “overlapping contexts” perspective useful, is in thinking about how data moves into and out of different contexts. For example when it is published or shared between organisations and communities. Here’s an example from this week.

IBM have been under fire because they recently released (or re-released) a dataset intended to support facial recognition research. The dataset was constructed by linking to public and openly licensed images already published on the web, e.g. on Flickr. The photographers, and in some cases the people featured in those images, are unhappy about the photographs being used in this new way. In this new context.

In my view, the IBM researchers producing this dataset made two mistakes. Firstly, they didn’t give proper appreciation to the norms and regulations that apply to this data — the broader contexts which inform how it is governed and used, even though its published under an open licence. For example, e.g. people’s expectations about how photographs of them will be used.

An open licence helps data move between organisations — between contexts — but doesn’t absolve anyone from complying with all of the other rules, regulations, norms, etc that will still apply to how it is accessed, used and shared. The statement from Creative Commons helps to clarify that their licenses are not a tool for governance. They just help to support the reuse of information.

This lead to IBM’s second mistake. By creating a new dataset they took on responsibility as its data steward. And being a data steward means having a well-defined, set of data governance processes that are informed and guided by all of the applicable contexts of governance. But they missed some things.

The dataset included content that was created by and features individuals. So their lack of engagement with the community of contributors, in order to discuss norms and expectations was mistaken. The lack of good tools to allow people to remove photos — NBC News created a better tool to allow Flickr users to check the contents of the dataset — is also a shortfall in their duties. Its the combination of these that has lead to the outcry.

If IBM had instead launched an initiative similar where they built this dataset, collaboratively, with the community then they could have avoided this issue. This is the approach that Mozilla took with Voice. IBM, and the world, might even have had a better dataset as a result because people have have opted-in to including more photos. This is important because, as John Wilbanks has pointed out, the market isn’t creating these fairer, more inclusive datasets. We need them to create an open, trustworthy data ecosystem.

Anyway, that’s one example of how I’ve found thinking about the different contexts of governing data, helpful in understanding how to build stronger data infrastructure. What do you think? Am I thinking about this all wrong? What else should I be reading?