1 Introduction
Cities around the world continue to expand the integration of Internet of Things (IoT) senors within urban spaces [
34,
84,
92]. These sensors ubiquitously collect data to perform a range of tasks: quantifying noise pollution levels [
28], monitoring temperature [
82] and air quality[
86], counting foot-traffic [
89], or automatically detecting gunshots [
68], are just a few. Collections of IoT sensors make up a
smart city: techno-political initiatives that amass large quantities of data about the environment, infrastructure, and people living in urban environments. Smart cities strive to use data to improve decision-making, automate public services, and enhance the overall efficiency of governance.
One recurrent issue with smart cities is determining how to leverage the benefits of data-driven governance without encroaching on individual rights and public privacy [
87,
88]. Indeed, the power smart cities afford to the state (and private entities) to monitor and regulate public life is inherently in tension with individual rights and public privacy [
35,
81,
91].What are the rights of people living in public housing facilities embedded with bio-metrics sensors that allow authorities to monitor and control how and who can access buildings [
57,
72]? What is privacy in a city blanketed with facial recognition sensors that allow law enforcement to track and target people on streets [
61,
92]? The answers to these questions are part of the ongoing discourse between cities, technologists, and academics on the ethical and political ramifications of the smart city [
34,
50,
55].
The concept of transparency is gaining attention in response to the ethical and political dilemmas of the smart city [
4,
71]. Indeed, transparency (or lack thereof) was at the center of the recent criticism and backlash faced by both the Quayside smart neighborhood project in Toronto [
45,
67,
73] and the Smart StreetLights project in San Diego [
4,
92]. These projects show how inadequate transparency–of development plans, data collection practices, or sensor placement–can exacerbate the tensions smart cities present for individual rights and public privacy. That being said, it remains unclear how designers and policy makers should understand transparency and respond to the concerns of residents and other stakeholders in the context of the smart city.
New York City Office of Technology and Innovation (OTI) is currently exploring the above questions in their efforts to understand the role public transparency should play in the city’s growing sensor deployments. They approached us with a proposal to understand how physical, local signage could provide transparency of IoT sensors to people as they encounter the technology in everyday life. We used this proposal as the focal point of participatory design workshops hosted in collaboration with the OTI. In these workshops, city residents learned about IoT and the city’s current plans for this technology and then completed a series of activities using physical signage as a medium for materializing their transparency concerns about several IoT sensors. 40 residents participated across three iterations of the workshop where they worked together in small groups designing mock signage to express what they felt should be made transparent about the sensors, why that transparency was important, and what they hoped that transparency would accomplish. We analyzed their "Signs of the Smart City" to develop an understanding of the limits and opportunities for transparency in the smart city.
We found participants expressed a plurality of concerns for transparency some which have either nothing (or very little) to do with the technology itself. Indeed, rather than focusing solely on making the technology itself more transparent (by revealing the inner workings of the sensors) participants were concerned with transparency of public participation, civil rights, contact and responsibility, economics, community value, and dissent. We argue that these concerns people desired to reveal may open a new paradigm for HCI designers and city officials to explore, with regard to how to provide meaningful and actionable public transparency of smart cities. This would move beyond the tendency to frame transparency as a static object wherein the work of revealing is accomplished in singular, isolated, information processing tasks, to include frames of transparency as an activity wherein the work of revealing is accomplished in dynamic social interactions with policies, practices, sensors, people, and relationships. Using experiences related to participatory budgeting as a somewhat analogous example, we then unpick some of the key challenges and opportunities associated with this approach.
2 Research Context
This paper reports on a project initiated by the Director of Smart Cities + IoT Lab in New York City Office of Technology and Innovation (OTI). The city has been a leading proponent of open data and urban Internet of Things (IoT) initiatives, which has resulted in a significant expansion of networked devices being installed across city neighborhoods in the last decade; and subsequently impacted transportation, utility services, resiliency, health, safety, and quality of life, among other areas [
48]. To date, IoT devices have typically been deployed by individual city agencies seeking out specific opportunities to improve operations or introduce new services. However, this patchwork approach may present a number of future challenges for governance, and so an IoT strategy has been initiated to coordinate and standardize use across government by the OTI [
2]. The strategy introduces principles to guide design and implementation, and identifies challenges and opportunities for the city’s use of IoT moving forward. Of particular relevance here is the identification of the need to implement IoT initiatives with transparency foregrounded. Specifically, the city’s IoT strategy proposes that:
“there must be transparency and engagement with those affected by IoT use to ensure buy-in and trust" [
2]. The OTI approached the first author with an idea to explore how physical, local signage could provide transparency of IoT sensors to people as they encounter the technology in everyday life. The first author took this initial proposal from the city and formulated a participatory design approach using signage as the medium for city residents to explore and articulate their perspectives of transparency in the smart city.
2.0.1 Reflexivity statement.
The research team behind this work is composed of the following. The first author had a previous relationship with the city during his time as a postdoc in a local university. Part way through formulating the project, he began working as a research scientist at his current company. This paper has been reviewed by the first author’s company; however, the views here do not reflect the motivations of the company nor does the company have direct stakes in the work here. The company has a general interest in understanding public transparency and developing methodology for understanding end-user needs (like the workshops we designed) which could be applied to other products and services.
The first author worked closely with two officials from the OTI who helped craft the initial IoT strategy and were in charge of exploring public participation and transparency initiatives. The second author is faculty at a local university with expertise in smart cities and design research who came onto the project later to advise and help writing. While we all came from different institutions and personal perspectives, as a whole, we were aligned in a desire to make IoT technologies equitable and responsible. We were motivated to close the gap in understanding public perceptions and needs for transparency by taking a participatory approach grounded in the lived experiences of city residents. We were especially interested in engaging members of the public who have been historically marginalized and underrepresented in both technology development and public policy on urban IoT.
6 Findings
We organize our findings around six concerns for transparency reflecting the most salient themes from the workshops: public participation, civil rights, contact and responsibility, economics, community value, and dissent. Each of these is a distinct manifestation of what people thought should be made transparent and why. For instance, transparency of public participation concerns how to make the public participation processes used in a sensor’s deployment more transparent to ensure public legitimacy. Likewise, transparency of civil rights concerns how relevant civil rights policies for a sensor can be made transparent to provide community members’ sense of security.
The six concerns are not exclusive to specific sensors. For instance, transparency of community value was articulated in response to both the noise and flood sensors. While some concerns were more strongly tied to a specific sensor (e.g., transparency of civil rights for noise pollution sensor), it was not uncommon for concerns to overlap (e.g., transparency of civil rights and pubic participation for the noise pollution sensor). However, given that our goal at this stage is exploring how the concept of transparency can applied to IoT broadly, rather than determining the specific means by which an individual sensor might be made transparent, we chose to present the six concerns in their own right, as standalone, generalized perspectives of transparency. To help illustrate how these concerns emerged in the workshop activities, we include quotes (e.g., from share-outs and dialogue with city officials captured by audio recordings) as well as influential moments in a group’s design process (e.g, a discussion kicked off by a specific prompt selection: Stakeholders + Communities).
6.1 Transparency of Public Participation
The first area of concern we identify is with regard to public participation. In particular, how making the process and outcomes of public participation transparent could be instrumental to facilitating community legitimacy for deployments of urban IoT devices. We illustrate this concern through a group from Workshop #2 who had selected Stakeholders + Communities as their starting point. This concern emerges as one participant in the group remarked, “I’d like a sign that would tell us who did you involve in the process of this sensor being put here…what stakeholders in the community had some input it? I would want to know that they had talked to people ahead of time. Like, “we’ve involved members of clergy or you know, your community members, blah, blah….we held open forums…we talked about this, so that’s why this thing is here.” This statement illustrates a belief that public participation practices are needed in order to establish community-level relationships and understanding around the ways that urban IoT devices deployed in their neighborhood might actually be used.
The group’s expectations for meaningful public participation grew as the workshop progressed, and resulted in a desire to make transparent the story of how deployments can become legitimate through a meaningful process of public participation. During the share-outs a member from this group stated, We were thinking of telling a story… like I want to know who did you talk to. you know, maybe a video that says like, hey, six months ago we talked to these community members….then from that, the goal of this project is this then we would want you to be able to trust us and this device…
6.2 Transparency of Civil Rights
The second concern we identify is with regard to civil rights. In particular, how transparency of civil rights policies is necessary for community members’ sense of security. We illustrate this concern through a group from Workshop #1. The concern emerges through a process of questioning the OTE representative who had outlined the capabilities and proposed use-cases for the example urban IoT devices presented at the start of the workshop. Here we see an extract of a conversation around devices used to monitor environmental noise, (e.g. loud construction work after permissible hours.) These devices would be deployed on the outside of a complainant’s window to record noise levels and use artificial intelligence (A.I.) to attempt identify the source of that noise automatically, following complaints to the city’s 311 system (NB: In the US 311 is the phone number used for reporting non-emergency issues e.g., NYC311 is the New York City version of this service). The interaction starts with participant asking, “Would the NYPD have access to this information? ” To which the OTE representative replies, “No and well like I said it only activates one second every 10 seconds. And it’s really like it’s just like splashes of sound so you can barely pick anything up and it’s intentionally designed that way. They don’t want any liability like overhearing anybody’s conversations…”. This is followed up by another participant who then asks, “Is any of the data going to be sold to third parties?” This time the OTE representative replies, “That’s a great question. In some cases the city is working with third parties, like hiring companies to make the sensors. Would they get to do anything with the data? We’re negotiating with some of the vendors to ensure that the city owns the data and the companies can’t resell it or do anything with it.”
The first of these questions highlights a concern about the potential for surveillance, incidental as well as intentional monitoring, and especially with regard to the involvement of law enforcement. The second highlights a concern about privacy and data security, and the potential for commercial interests to play a role in data collection and use. Each of these concerns was raised on multiple occasions across the workshops. However, what made this group’s articulation stand out was the effort they put into codifying the response and making it available for community questioning. Specifically, they selected the Choices + Rights prompt, using it to declare, “Every citizen should have a Bill of Rights. So we want to know what our rights are and what choices we can make as it relates to the sensor.” This would be the focal point of an interactive experience, as described by one the group members, ”Our sign is an interactive multimedia image. So when we tap on any of our prompts (Choices + Rights; Data + Privacy; Motivations + Goals; Trust + Accountability) it takes over the screen. So we tap on Choices + Rights, it reads us our Bill of Rights... tap on Trust + Accountability it plays the video explaining how you are going to hold yourself accountable to what you said you are going to be to do and how we can trust that.”
6.3 Transparency of Contact and Responsibility
The third concern we identify is with regard to a point of contact and civic responsibility. In particular, revealing which city officials can provide information about the deployed urban IoT devices, and where and how they can be contacted. We illustrate this concern through a second group from Workshop #1, who suggested that making contact and responsibility transparent would be a key way to provide community reassurance. This concern emerges during discussion of the Choices + Rights prompt when a participant speculated with their group members, “Is there a number I can call to say this sensor is broken or the sensor is not where its supposed to be... or if I have other concerns about it and I want to talk to someone and ask questions can I call 311 or something like that…and maybe the sensor itself would have like an ID on it that I can reference it?” This question speculates about the role that 311, a familiar service and initial contact point for many civic questions or interactions, might play in urban IoT.
This group were also concerned with revealing and better understanding the reasons behind deployments, as was made clear in when another participant in the group stated, “The prompt that should have the most prominence is Motivation + Goals, because the first thing someone’s gonna want to know is: "Why is this here? And what it does? And what does the city want to learn?” This prompted our OTE collaborator to request clarification by asking, “Can I ask a question? So like, one thing that, you know, from my perspective in thinking about this was that people would want to know who is doing this? So I guess my question is, like, for you all, is it like, is the city a monolith? Or are you thinking like, I want to know if this is the Department of Environmental Protection or Department of Transportation, because I’m not necessarily sure if that would be captured in the motivation and goals alone?” To which the participant replied, “Yeah, that’s actually really important to know that like, okay, it’s not the police department. It’s Department of Transportation. That isn’t a ShotSpotter? It’s a totally, totally, different agency. I think that for me fell into trust and accountability. And that it should be like explicitly, like this is specifically the Department of Buildings and not just the City of Local Government generally.” This dialogue highlights the importance of revealing details about the organizations and people behind urban IoT deployments. The ‘sign’ this group created with their worksheet focused much more on the people and communication channels that exist (or should exist) around the technology deployments, rather than simply focusing on the technology itself.
6.4 Transparency of Economics
The fourth concern we identify is with regard to the economics of urban IoT deployments. In particular, revealing details about decisions over the relative costs and benefits when compared to other civic amenities and government funded services. We illustrate this concern through a third group from Workshop #1, who discussed how transparency over economic choices could help to increase community buy-in. We see this when participant from this group stated, “Our most important prompt was the Benefits + Costs. And we envision that taking up at least 50% of our sign in a video format, in kinda of maybe like a TikTok reel that is like continuously playing. And the question that we wrote for this is “How does it benefit the community?” So that’s the biggest one.” This participant then elaborated on why this was important to them by saying, “See I care about this because I want to know if they are taking resources from other areas... Like public libraries….this is paid for with taxpayer dollars... to do this?” More sarcastically, another participant in this group then added, “It doesn’t matter where the money comes from, they’re gonna do this regardless... they would do that instead of feeding the homeless...” This group’s discussions highlight how decisions regarding the selection and deployment of technological responses to civic questions inevitably have impacts elsewhere, if only because budgets are finite. As a group, they are all too aware of how social services are underfunded in their community, and across the city more broadly, and they want their ‘sign’ to reveal not only the direct benefits and costs of any urban IoT deployment, but also how the choices and decisions fit into a larger conversation about government spending.
These concerns prompted debate between participants and city officials during the share-outs. Starting with the City representative saying, “So this is interesting to hear about…the cost aspect of it. How does that play into it? Like would that change your feelings, knowing how much the city is spending...?” In response, the original participant then said, “That was really, really important, because my feelings on this would change if I felt like the city was allocating, taking resources from somewhere else where I think the funds would be more beneficial.” This group is not objecting to deployments out of hand, but the participants are keen to highlight how a focus on new technologies could be siphoning attention and funds away from other long-standing social issues, and they want the ‘sign’ they developed to reflect this expanded point of reference and encourage debate about how these choices are made.
6.5 Transparency of Community Value
The fifth concern we identify is with regard to the value that community members can expect to gain from deployments of urban IoT devices in their neighborhood. In particular, how the data that sensors generate might be grounded in practices that bring direct value to community members’ lived experience. We illustrate this concern through a group from Workshop #3, which emerged when they were discussing the Benefits + Costs prompt with participant saying,
“Again, when you get the data? What you’re gonna do with it? I know, you said it’s gonna be available online. Why do I care? Do I care? Is that a pastime, or like a hobby, I’m gonna happen, go read data, just for the sake of it!? So I want to know how the data is gonna help me personally.” This participant is questioning one of their group member’s acceptance that making data available online is of value to community members, as it implies the expectation that community members will be intrinsically interested in, and have the available time and capacities to identify, explore, contextualize, and make sense of data. This reflects how currently widespread official attempts at providing transparency, e.g. providing open data portals, may be ineffectual and reliant on intermediaries [
29] that are not always available.
As the activity progressed, this same participant developed their thoughts by saying, “Why do I care about the data? Or checking it? As long as it takes care of my noise problem. Like when the fire alarm goes off, we still have to call the fire department? That doesn’t make sense. They should come and check it automatically. They should have the noise detected and we shouldn’t have to report it. That’s efficiency.” In this statement, participant is challenging the city to act on the data that it is gathering, and to provide resources for responding to identified problems. In doing so they question whether the information sensors offer has value for community members if it does not have beneficial impacts on their day-to-day lived experience. Urban IoT deployments often aim at creating value for the city by increasing the efficiency of agency personnel and resource use. However, this participant views efficiency in terms of the time and effort required to actually resolve the problem. While these may be closely related, they are not necessarily the same thing. This finding highlights the need for transparency in how value for different stakeholders might be negotiated.
6.6 Transparency of Dissent
The final concern we identify is with regard to enabling community members to express dissent in ways that are visible to city, and also to others in their neighborhood. We illustrate this concern through a fourth group from Workshop #1, who were suspicious of the sensor as a technical object and also of its potential deployment as an artifact of social control and surveillance. This group made the
Trust + Accountability prompt the focal point of their ‘sign’ making activity, using it articulate distrust of almost every aspect of the sensor. For example, having selected the
Hardware + Software prompt, the question they asked of it was,
“Can we trust the hardware and software to do what it says it is supposed to do?’’. In response to selecting the
Data + Privacy prompt, the question they then asked was,
“Who wrote the data and privacy law?’’. This was because, when the OTI representative had introduced the sensor they were responding to (see figure
1-A: experimental prototype that uses computer vision to automate foot traffic monitoring at busy intersections) they had been told data would not be made available to the public and so they wanted to know why and who had decided that this data should be private. In addition, this group also expressed concerns, fears, and anger throughout, e.g. saying,
“We should be notified before these things are put up...’’ and
“What is that? Why is it there? I don’t like it. Uncomfortable...’’ and
“I’m really suspicious of all of them...’’ and
“it really don’t seem to benefit us...’’ For this group, issues were often framed as “us” against “them” (i.e., a struggle between adversaries). This was a sentiment that seemed to predate the workshop, but which design activities helped to articulate. Reading their worksheet ‘sign’ through this lens suggests a desire to reject both the sensor and the politics associated with its deployment, which can be seen as a source of surveillance and therefore of bureaucratic power that community members might wish to resist [
18].
8 Conclusion
Our collaborators initially approached us with a specific design problem: how to design physical, local signage to provide transparency of the growing array of IoT sensors being embedded in throughout the city. The presumption being that the information communicated by these signs accompanying the IoT sensing devices would not only help prevent criticism and backlash seen elsewhere regarding the of lack public transparency in smart city projects [
21,
54,
92], but also increase public trust in the city’s operations. Our prior experiences led us to suggest a participatory approach to this design problem in order to include members of the communities likely to be affected by such deployments in the process. At first, our aim was largely inline with the initial design problem posed by the OTI: we would use the workshops to gather requirements from the public to determine the specific means by which an individual sensors might be made transparent with signage. However, our experiences running the workshops described in this paper has led us to a different endpoint.
We argue that the concerns expressed in the workshops–public participation, civil rights, contact and responsibility, economics, community value, and dissent– are not readily addressed by, and conflict with the form of transparency signage is best suited to provide. We located the source of this conflict in the shortcomings of the information-centric transparency provided by signs. Subsequently, we argued this mode of transparency is fundamentally limited as a frame for engaging the complexities of transparency in the context of the smart city. To address this limitation, we provided an alternative frame– transparency-as-activity– which we argue is more amenable to providing meaningful transparency in the smart city.