Unlocking E-Government Potential: Concepts, Cases and Practical Insights

Unlocking E-Government Potential Unlocking E-Government Potential Concepts, Cases and Practical Insights Subhash Bha...

Author: Subhash Bhatnagar

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Unlocking E-Government Potential

Unlocking E-Government Potential Concepts, Cases and Practical Insights

Subhash Bhatnagar

Copyright© Subhash Bhatnagar, 2009 All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage or retrieval system, without permission in writing from the publisher. First published in 2009 by SAGE Publications India Pvt Ltd B1/I-1 Mohan Cooperative Industrial Area Mathura Road, New Delhi 110 044, India www.sagepub.in SAGE Publications Inc 2455 Teller Road Thousand Oaks, California 91320, USA SAGE Publications Ltd 1 Oliver’s Yard, 55 City Road London EC1Y 1SP, United Kingdom SAGE Publications Asia-Pacific Pte Ltd 33 Pekin Street #02-01 Far East Square Singapore 048763 Published by Vivek Mehra for SAGE Publications India Pvt Ltd, typeset in 11/13 pt CG Times by Diligent Typesetter, Delhi and printed at Chaman Enterprises, New Delhi. Library of Congress Cataloging-in-Publication Data Available

ISBN: 978-81-7829-928-0 (PB) The SAGE Team: Reema Singhal, Gargi Bhattacharya and Trinankur Banerjee

Contents

List of Tables List of Figures List of Boxes Preface

x xii xiii xiv

Introduction

xviii

1 E-Government: Definition and Scope 1.1 1.2 1.3

Nature of Clients Served and the Service Delivery Process E-Government: Different Stages of Evolution E-Government versus E-Governance

2 E-Government in the Context of Developing Countries 2.1 2.2 2.3 2.4 2.5 2.6 2.7

Nature of Applications for Different Types of Clients Challenges in Design and Implementation Investments in E-Government Reasons for Implementing E-Government E-Government Readiness of Countries Status of E-Government in India Key Challenges in Further Development of E-Government

01 04 06 07 11 15 17 19 21 24 26 27

vi


3 Potential Benefits of E-Government for Key Stakeholders 3.1 3.2 3.3

Benefits for Citizens: Results from an Impact Assessment Study Benefits for Businesses: Results from an Impact Assessment Study Benefits for Agencies Implementing E-Government Applications

4 Impact of E-Government on Transparency and Corruption 4.1 4.2 4.3

Results from a Study of Impact on Corruption Improvement in Transparency through E-Government Dealing with Corruption through E-Government

5 Guidelines for Implementing Projects Successfully 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10

Life Cycle of an E-Government Project Conceptualizing Project Definition and Scope: Starting Small Process Re-engineering Designing a Citizen-centric Service Delivery Mechanism Communicating with Users Seeking Partnerships: Avoiding Reinvention of the Wheels Phasing Implementation Capacity to Manage Change Strong Internal Leadership and Project Management Risk Factors in Implementing E-Government Projects

29 31 38 41 49 51 52 61 66 66 74 78 82 84 86 87 87 90 92

Contents

6 Guidelines for Designing a Countrywide Strategy for E-Government 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9

The Need for a Strategy and Implementation Plan Assessing E-Government Readiness Balancing Bottom-up versus Top-down Approach Selecting Quick-strike Projects Importance of Capacity Building Promoting Public–Private Partnerships Enabling Legal and Economic Frameworks Strategy for Reform: Incremental versus Big Bang Conclusion

7 Making E-Government Work for Rural Citizens 7.1 7.2 7.3 7.4 7.5

How Can ICT Use and E-Government Help the Poor? Challenges in Building Pro-Poor E-Government How Can Telecentres Be Made Viable? Examples of Pro-Poor E-Government Applications Gender Focus of E-Government Projects

8 A Framework and Methodology for Impact Assessment 8.1

Evaluation of E-Government Projects Done in the Past 8.2 Review of Literature on Impact Assessment 8.3 Proposed Measurement Framework 8.4 Methodology of Measuring Impact on Clients 8.5 Methodology for Measuring Impact on Agency and Society 8.6 Usefulness and Limitations Annexure 8.1 Suggested Questionnaire for Clients

vii

94 94 95 96 99 102 103 106 109 110 113 114 115 119 123 130 133 134 136 139 139 149 150 152

viii Unlocking E-Government Potential

9 Case Studies on Government to Citizen Applications 157 in E-Government 9.1 9.2 9.3 9.4 10

11

Computerization of Land Records in Karnataka (Bhoomi) Computer Aided Registration of Deeds in AP (CARD) Online Delivery of Municipal Services: Ahmedabad Municipal Corporation, Vijaywada, Kalyan–Dombivli E-Seva—Electronic Delivery of Citizen Services in Andhra Pradesh

160 175 185 200

Case Studies on Government to Business Applications in E-Government

221

10.1 Online Tax Filing Systems in Different Countries: Singapore, Guatemala, Chile and India 10.2 E-Procurement Experiences from Different Countries: Korea, Chile, Philippines and India (Andhra Pradesh) 10.3 Indian Customs Electronic Data Interchange (EDI) System 10.4 Computerization of Interstate Border Checkposts in Gujarat

223 236 259 267

Case Studies on G2G Applications in E-Government

275

11.1 CARING Gov—Andhra Pradesh Sachivalaya E-Application 11.2 Computerization of the Treasuries in Karnataka (Khajane)

276 290

Contents

12

13

ix

Guidelines for Design and Implementation of an E-Government Portal

300

12.1 Introduction 12.2 Key Features of an E-Government Portal—Single Access Point 12.3 Demand and Supply Factors for E-Government Portals 12.4 Standardization for Integrated Services 12.5 When to Move to an Integrated Portal? 12.6 Monitoring and Evaluation (M&E) Framework for Portal Projects 12.7 Conclusion

300 301

E-Government: The Way Ahead

321

Bibliography Index About the Author

302 307 312 315 319

327 346 352

List of Tables

2.1

Examples of application areas from different countries E-government project investment E-government readiness of countries

12

Potential benefits through e-government applications Examples of reduction in elapsed time Impact on key dimensions averaging over all states Impact on key dimensions across three projects Percentage growth in tax revenue and transactions

30

Goals of public sector reform through e-governance Proportion paying bribes: a comparison of manual and computerized delivery Transparency of information through e-government applications

50

5.1

Comparison of economic analysis across the two projects

78

7.1

Examples of pro-poor e-government applications

127

8.1 8.2

Key dimensions of impact on various stakeholders Counterfactuals in sample selection under different types of delivery modes

140 145

2.2 2.3 3.1 3.2 3.3 3.4 3.5 4.1 4.2 4.3

20 24

32 35 41 43

53 55

List of Tables

9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8 9.9 9.10 9.11 10.1 10.2 10.3 10.4 11.1 11.2 11.3 11.4 11.5 12.1 12.2

Comparison of Bhoomi with the manual system Investment in Bhoomi (Rs million) Comparison of CARD with the earlier system Revenue collection and growth in revenue over five years Comparison of civic centre with the departmental system Elapsed time (in days) for various services Transaction volumes and revenue collection from civic centres Number of complaints received, addressed and pending in ward offices and civic centres Reduction in litigations pertaining to property tax Reduction in number of tax objections Department-wise list of services offered through e-Seva, Hyderabad Use of the e-procurement platform by departments and agencies of GoAP Andhra Pradesh tender analysis (GoAP) Client impact of the e-procurement portal in AP Client impact of computerized checkposts

xi

170 171 180 181 191 192 193 194 194 194 202 246 248 250 272

Annual investment in Khajane (in Rs million) Annual operating expense in Khajane (in Rs million) Comparison of Khajane with the earlier system Cases of misappropriations and embezzlements in Karnataka Khajane: transaction volumes

296 296 297 298

Available solutions at different stages in service evolution Communication channels for different stages of the e-service model

310

299

312

List of Figures

1.1 1.2

E-government evolution: four critical stages Elements of good governance

06 10

3.1

Number of trips required for availing service across all three applications Perception of supervisors about impact on agency (in percentage)

33

3.2

47

4.1

Percentage of users paying bribes in different states

51

5.1

E-government project life cycle

66

6.1

Balancing risk and value in selecting projects

101

7.1 7.2 7.3

Where can ICTs help rural citizens? Basic conditions for making telecentres viable NeGP MMPs focusing on the poor

114 120 123

9.1 9.2

Application architecture of e-Seva Transaction volumes of e-Seva (TWINS and districts) over five years Role of e-Seva Directorate

204 205 213

10.1

A schematic view of customs online

262

13.1

Critical success factors for different stages of e-government Enablers of e-government

324

9.3

13.2

326

List of Boxes

2.1

Challenges in further progress of e-government in developing countries

28

3.1

MCA21 e-governance project

39

4.1 4.2 4.3 4.4

56 57 58 59

4.7

CRISTAL website, Argentina Centre for responsive politics, USA Right to Information Act Online grievance redressal, Mumbai Municipal Corporation Teachers’ transfers in Karnataka, India OPEN system [Seoul Municipality, South Korea (OPEN)] Central Vigilance Commission

5.1 5.2

Some measures for securing e-government systems ASYCUDA: Avoid reinventing the wheel

84 87

6.1 6.2 6.3

Columbia’s carrot-and-stick approach NeGP—National e-governance plan A tale of two states

98 104 111

7.1 7.2 7.3 7.4

Gyandoot project Lokvani Progress of e-panchayat in Gujarat India health care project

116 124 125 132

Singapore eCitizen portal

316

4.5 4.6

12.1

60 62 64

Preface

For the last three decades, I have been interested in the application of information and communication technologies (ICTs) for development. India has always been a fertile ground for innovations in ICT applications for rural development. Several successful pilots were developed by entrepreneurs amongst civil servants. I was involved in an action research project in the Surendra Nagar district of Gujarat where a mini-computer was installed at the collectorate in 1985. A team of researchers attempted to develop applications that would support planning and monitoring of development programmes at the district level. Fifty district collectors came together in 1985 in a workshop at the Indian Institute of Management Ahmedabad (IIMA), to discuss the Surendra Nagar project and share their own experiences of ICT use in district administration. Some of these pilots were scaled up through central government initiatives, but for many years the overall impact of ICTs on India’s development remained marginal. Interest in ICT use by governments revived in the late 1990s in India and other parts of the developing world. India began to emerge as an important software development centre. Several IT multinationals companies set up offices in India. Internet and e-commerce became buzzwords. India also progressed towards a more liberalized economy. Anecdotes about e-government projects began to trickle in from many developing countries. Andhra Pradesh, in India, pioneered with a few applications. There was considerable interest in the vendor community as it saw a large market opportunity. In October 1999, IIMA set up the Centre for Electronic Governance with support from three private sector companies. I was

Preface

xv

asked to coordinate the activities of the new centre. At the same time I was also coordinating the work of the Telecom Policy Research Centre at the institute. The work of these two centres provided me the opportunity to look at emerging uses of ICT, particularly within the government and the rural sector. In the year 2000, IIMA organized a workshop on ICT and Rural Development in India in which several project leaders of innovative projects shared their experiences. Some significant e-government projects from Andhra Pradesh were also presented. Publication of the workshop proceedings was well received, encouraging me to undertake further case research on ICT uses within the government. Soon thereafter, I moved to Washington DC on a two-year assignment with the Public Sector Group within the Poverty Reduction and Economic Management Network of the World Bank to mainstream e-government into the lending activities of the World Bank. The assignment provided me the opportunity to broaden my horizon by understanding the developments in the use of ICTs within the government in a number of developing countries. I was able to document two dozen case studies from many developing countries of the world. I was also involved in assessing the e-government plans of many countries and in providing advice to such countries. Based on my two years of intensive work done at the World Bank, I wrote a book on e-government in 2004. I continued to work for the World Bank as an e-government advisor to the Information Solutions Group for the next four years. During this period I conducted several workshops and training programmes in the Bank, in which the field experience that I gathered was distilled and communicated to the Bank staff. I coordinated an impact assessment study of 10 e-government projects in India and Chile done in 2006 and a major study of 40 projects done in India in 2008. This book is a sequel to my first book on e-government published in 2004. It is based on my recent work on e-government including my association with capacity building and impact assessment work for the National e-Government Programme in India.

xvi Unlocking E-Government Potential

The book provides a conceptual basis and empirical results for understanding the potential of e-government and practical insights for implementation of e-government. The book is intended to serve as a practical guide for conceptualizing and implementing e-government at a local, state or national level by IT professionals, civil servants and managers from multilateral institutions. It should be useful for practitioners, researchers, as well as students. Ten case studies have been included, which provide learning for different facets of e-government. Each case study is structured in a standard format to highlight the application context and learning from the experience. These cases can be used as a basis of class discussion for key issues in implementing ICT applications. Even though many of the cases are drawn from India and my own experience and understanding of the subject has been moulded by the Indian experience, the issues of implementing e-government are similar across the world. The book includes a few cases from countries other than India and should be equally useful to professionals, academics and students from any part of the world. Material for this book has been drawn from a variety of sources, including my previous book published in 2004; impact assessment reports that I authored for a World Bank study of five projects (2007), a Department of Information Technology (DIT), Government of India, study of five projects (2007) and a DIT study of 36 projects (2008). These projects were done while working for the IIMA. I am grateful for the support extended to me by IIMA, World Bank and DIT to carry out the research. In documenting the Indian case studies that are carried in this book, I was greatly helped by the civil servants who had implemented these projects. I wish to thank Rajeev Chawla, J. Sathyanarayana, P. Panneervel for facilitating field visits as well as their contribution in drafting the cases. I wish to acknowledge the contribution of Ms Nupur Singh, Incharge, Centre for Electronic Governance (CEG) at the IIMA, Ms Aryamala Prasad and Ms Anuradha Parekh, research associates with CEG at the IIMA. They provided research support, drafted some of the boxes, helped in the editing of the manuscript

Preface xvii

and provided me valuable suggestions to improve the manuscript. Final thanks are due to my wife Prof. Deepti Bhatnagar, for encouraging me to undertake this project. I wish to dedicate this book to my late father Prof. Brij Mohan Lal Bhatnagar, who instilled in me a love for academics and went beyond his means to send me to some of the best educational institutions in the country.

Introduction

E-government applications have emerged rapidly in the developing world. Many countries use e-government as an enabling tool to increase efficiency, enhance transparency, collect more revenue and facilitate public sector reform. Recent empirical studies on impact of e-government have shown that while e-government is not a panacea, it is a powerful enabling tool that has aided governments to achieve some of their development and administrative reform goals. Although e-government can be a catalyst for change, it is not a complete solution, and it must be part of a broader commitment to reform the public sector. Three factors are critical for the successful implementation of e-government. These include willingness to reform, availability of information and communication technology infrastructure and the institutional capacity to absorb and manage change. The book is based on the analysis of impact of dozens of projects from India and case studies from many developing countries where e-government has been implemented to address social and economic development challenges.1 Case studies on 10 of these projects have been included in this volume. It should be noted that documented case studies often highlight success stories. There may be a significant number of failed projects amongst the applications that have not been documented. The main source is the documentation of case studies carried on the website of Public Sector Group at the World Bank, http://www1.worldbank.org/ publicsector/egov. Another source is the IDPM website of Manchester University, http://www.mceg.org. uk/links.htm. Four detailed cost–benefit evaluations of Indian projects are available at http://www1.worldbank.org/ publicsector/bnpp/egovupdate.htm. 1

Introduction

xix

In the last 10 years, ICT investment by governments in developing countries has witnessed a dramatic increase. Most developing countries are using ICT to modernize and increase internal efficiency as well as improve service delivery. As a result, many developing countries have either embarked on e-government or are in the process of creating strategies. The book is intended to provide practical guidelines on selection of application areas, conceptualization of the scope, project design, strategy and implementation. Analysis of existing applications provide useful insights into the emerging trends of e-government in the developing world and also provide lessons on the many ways to overcome challenges in implementation. The book also documents the benefits and impact of e-government on different stakeholders, particularly citizens and businesses. Results from various impact assessment studies are reported. The book identifies critical success factors that must be present for e-government applications to improve governance. Critical success factors such as defining project goals that are measurable and focused on governance reform, institutional capacity and presence of reform-minded leadership are discussed in detail. Although no comprehensive framework exists, several countries have incorporated these factors into the design of their e-government programmes in many creative ways. The book presents the material in 13 chapters. Chapter 1 provides a comprehensive definition of e-government. Chapter 2 provides an overview of the global experience in implementing e-government, how it has emerged and for what purposes it has been used in different countries. Examples of e-government that include integrated service delivery portals and citizen service centres offering services to citizens such as transactions involved in obtaining certificates and permits, payment of taxes and services to businesses like customs, business licences and procurement are provided. The goals and delivery models used for e-government differ across countries. Many developing countries have used creative approaches to bridge literacy, infrastructure and digital divides in service delivery. Often a

xx


hybrid form of service delivery is used, combining manual and online mechanisms. Chapter 3 explores the potential impact of e-government on the cost of access, quality of service and quality of governance for the citizens and businesses that use e-government services. The benefits delivered to the various stakeholders including the agency implementing the system and its employees are described. The actual realization of such benefits in the projects that have been systematically assessed is discussed. Possible ways in which the potential benefits can be realized are analyzed. Chapter 4 analyzes the potential impact of e-government on transparency and corruption. The section details the extent to which corruption and transparency have been impacted in the projects that have been implemented on a wide scale in India. Evidence shows that e-government has had a significant impact on broader governance goals where political leadership and a commitment to reform have been present. Many illustrative examples are provided and the reasons for success or failure of such projects in enhancing transparency and reducing corruption are identified. Chapter 5 explains the different stages in the life cycle of an e-government project. It discusses best practices in project conceptualization, design and implementation with specific focus on managing change. Particular attention is given to the need for a well-defined project scope, goals and target audience. E-government projects must be accompanied by process re-engineering of back-office procedures. Processes should be re-engineered to reduce the cost and effort for the citizens and businesses that use the system, rather than to downsize the department. This is necessary to deliver effective and speedy service delivery with reduced corruption. Many e-government projects invest too little effort in process re-engineering because this exercise meets significant internal resistance from civil servants who fear losing their jobs and their power. Chapter 6 provides practical guidelines for the creation of a country-level strategy and implementation plan. The guidelines are drawn from best practices that document both risks and

Introduction

xxi

merits of different strategies that have been used in developing countries. One lesson of particular importance is the need for departments to have ownership of e-government projects. National strategy and standards are important in the long run for establishing interoperability. However, government departments need to take the lead in design, implementation and developing pilots that bring significant benefits to the target users. Chapter 7 discusses a strategy for making e-government work for the poor. Key challenges in providing access to rural population are discussed. Several examples of pro-poor applications are described. Lessons are drawn from successful experiments of service delivery in rural areas to propose some solutions for making rural telecentres viable. Chapter 8 emphasizes the need for the evaluation of egovernment projects and proposes a methodology for impact assessment. Many projects rely on purely anecdotal evidence to measure success. This has left little comprehensive information about the success factors and ways to tackle failure in e-government. The basic methodology provided in this section is based on the experience of two major impact assessment studies carried out in India. Chapters 9–11 present 10 case studies of e-government applications. These cases cover the whole range—serving different types of clients (citizens, business); focusing on different purposes (improving service delivery, transparency, increasing tax revenue, controlling government expenditure, empowering rural communities) and built by different tiers of government (federal, state and local). All the cases are structured in a similar format. They explain the application context, new approaches embodied in the e-government application, challenges faced during implementation, benefits delivered and costs incurred. The final section of the case study discusses key lessons that can be drawn from the case study itself. Reference to these cases has been made in the early chapters that present the analysis of the ‘what’, ‘why’ and ‘how’ of e-government. Chapter 9 presents four government-tocitizen (G2C) cases dealing with delivery of services to citizens. Chapter 10 presents four government-to-business (G2B) cases

xxii Unlocking E-Government Potential

dealing with delivery of services to businesses. Chapter 11 deals with two government-to-government (G2G) cases. Chapter 12 discusses delivery of e-government service through an integrated portal. It provides guidelines for design, implementation and evaluation of portals. The conditions necessary for developing portal based delivery are discussed. Chapter 13 looks ahead and also summarizes some of the important learnings that emerge in the book. The book is written for a diverse audience. It analyzes the trends that have emerged in developing countries and how e-government has impacted the delivery of services and broader governance reform goals. The book recognizes many different challenges that must be overcome for the implementation of e-government, and many diverse approaches that can be used to tackle these challenges. Successful e-government will be shaped by local contexts. The book provides a few guidelines that emerge from worldwide experience. A discussion of e-government can cover several perspectives. A technical perspective will focus on technical architecture of solutions; choice of technology and platforms; different ways of handling security and electronic payments. A public administration perspective may focus on outcomes—impact on efficiency, transparency and corruption. An economic perspective will focus on the questions of investments, cost and benefits. A managerial perspective may focus on systems analysis, re-engineering and management of change. It requires a multi-disciplinary approach to plan and implement e-government. While not emphasizing technology, the book attempts to integrate the many different perspectives.

1 E-Government: Definition and Scope Governments have been engaged in deploying Information and Communication Technologies (ICTs) for several decades to increase the efficiency and effectiveness of their functioning. Early applications were focused on building management information systems for planning and monitoring. Many large projects were undertaken and there were prominent failures.1 The record of using ICT to gain any benefit has been quite dismal. However, with the advent of the Internet and its explosive growth, fuelled by the use of e-mail, e-commerce prompted some governments to use the Internet for delivery of information and services to citizens. The growing use of Internet for advocacy, distance learning and fostering participation revived the hope that ICTs could indeed deliver value commensurate with investments. Borrowing from the world of e-commerce, a new term, e-government, was coined to describe a variety of use of the Internet by governments. The use of the term e-government has grown explosively: only a decade ago, the term was just beginning to get known even in scientific circles. Major English dictionaries do not list the word e-government or electronic government. The term was perhaps coined about 15 years ago after the success of electronic commerce to represent a public sector equivalent to e-commerce. The term is used in a loose manner to describe the legacy of any kind of use of information and communication technology within the public sector. For those who see it as some form of extension According to a survey, only 15 percent of the e-government projects are successful, 35 percent are total failures and 55 percent are partial failures (Heeks 2003). 1

2


of e-commerce to the domain of the government, it represents the use of the Internet to deliver information and services by the government. Most definitions use the word e-governance and e-government interchangeably.2 Although an Internet search on the phrase ‘e-governance definition’ can produce several thousand hits, there is no single universally accepted definition. Some examples of definitions are presented to illustrate the different perspectives that are represented. A definition of e-government that is used in this book is then provided to clarify the distinction between e-governance and e-government. In using a definition, it is important to note that ‘“too narrow” a definition can constrain opportunity and “too broad” a definition dilutes its value as a rallying force’ (Caldlow 1999). Some examples of the definitions are: 1. A rather restrictive definition inspired by e-commerce is ‘digital information and online transaction services to citizens’. A report by the United Nations Educational, Scientific, and Cultural Organization (UNESCO) and the Commonwealth Network of Information Technology for Development (COMNET-IT) (UNESCO and COMNET-IT 2000) defines e-governance as the delivery of government services and information to the public, and of public input to the process of government. This definition is less restrictive as it specifies a two-way exchange of information between the government and citizens. 2. International Institute for Communication and Development (Backus 2001) (IICD), focusing on processes, defines e-governance as the application of electronic means in: (a) the interaction between the government and citizens and the government and businesses, as well as (b) in internal government operations to simplify and improve democratic, government and business aspects of governance. The Council of Europe (Council of Europe nd) defines it as the use of electronic technologies in For various definitions and scope of e-government, see Pacific Council on International Policy 2002; Symonds 2000; Tambouris nd; Caldlow 1999. 2

E-Government: Definition and Scope

3

three areas of public action: (a) relations between the public authorities and civil society, (b) functioning of the public authorities at all stages of the democratic process (electronic democracy) and (c) the provision of public services (electronic public services). 3. From a public management perspective, the definition that has been proposed is: electronic government is a form of organization that integrates the interactions and the interrelations between the government and citizens, companies, customers and public institutions through the application of modern information and communication technologies. Another definition looks at e-government as the sum of new possibilities for public institutions to communicate with others electronically. Various forms of decision-making, business transactions or simply communication can take place through electronic networks, dramatically changing the way the government works. E-government is seen to be a technology-driven reform movement, whereby the reform strategy follows the potential created by modern ICT (Schedler and Scharf 2002). The term e-government, as it is used and understood in this book, borrows the essential feature from the given definitions: the use of emerging technologies for reforming processes of service delivery and citizen engagement. In addition, the definition includes a focus on outcomes. E-government is about a process of reform in the way governments work, share information and deliver services to external and internal clients. Specifically, e-government harnesses information technologies (such as wide area networks (WAN),3 the Internet and mobile computing) to transform relations with citizens, A Wide Area Network (WAN) is a geographically dispersed telecommunications network. The term distinguishes a broader telecommunications structure from a Local Area Network. A WAN may be privately owned or rented, but the term usually connotes the inclusion of public (shared user) networks. An intermediate form of network in terms of geography is a Metropolitan Area Network (MAN). 3

4


businesses and other agencies of the government. These technologies can serve a variety of ends: better delivery of government services to the citizens; improved interactions with business and industry; citizen empowerment through access to information or more efficient government management. The resulting benefits can be less corruption, increased transparency, greater convenience, revenue growth and/or cost reductions.

1.1 Nature of Clients Served and the Service Delivery Process Analogous to the concept of e-commerce, which brings customers closer to businesses (B2C) and enables businesses to transact with each other (B2B) more efficiently, e-government aims to make the interaction between government and citizens (G2C), government and business enterprises (G2B) and inter-agency dealing (G2G) friendly, convenient, transparent and less expensive. In fact, one way of classifying e-government applications is the type of clients being served. Chapter 2 discusses many examples of each type of application. Traditionally, the interaction between a citizen or business and a government agency took place in a government office at designated counters/desks where the clerical staff interacted with the client. At these counters, citizens could seek information on how a service could be obtained, collect an application form, submit the filled form, provide supporting documents, make a payment of fee or any other charge and receive the desired document. Normally, different counters needed to be visited for different tasks. Depending on the queues and time taken in transactions, different tasks could be done in one visit else, several visits were required. Operators at the counters recorded data in manual registers, looked up information from registers and wrote information in the documents that needed to be delivered. Different levels of computerization may exist at the back-end in different agencies but in traditional delivery, computers were not accessed by the operators for any task.


5

Many departments are moving to a basic form of e-government from the current manual processes, where the citizens interact with an operator who accesses data and information from online terminals located in the premises of the department. The first stage consists of departments computerizing the back-end so that records can be retrieved, modified and printed online. In such a mode of delivery, the citizens need to visit different departments for the services that they need although each department could be working more efficiently in comparison to the old manual system. The timings often remain inconvenient and restricted. With emerging ICTs, it is possible to locate service centres closer to the clients. Such centres may consist of an unattended kiosk in a public place or in a community service centre owned by a government agency or even a private service provider. Services may also be accessed from a personal computer via the Internet. Counters at community service centres are manned by public/ private agencies. Multiple services are offered at each location. Such counters can have extended timings (in comparison to the departmental counters) and even remain open on weekends and holidays. Operators are able to deal with citizens who are not so literate and comfortable with using technology themselves. Such centres can quickly wean off traffic from the departmental counters. Building these centres requires coordination among different departments. Services from municipal, state and federal governments can be offered under one roof. Citizen self-service through portals are popular in countries where Internet penetration and skills are high. The portals offer a variety of services and require a completely computerized backend in various departments. A portal can be accessed 24 hours a day at the convenience of the user. This model requires investment in security and the building of mutual trust. Many countries have experienced a gradual build up of its usage.4 Adoption rate has to be driven through training and the raising of awareness. Building For example, in Canada, currently only 11 percent of the citizens use the portal even though 60 percent of citizens have access to the Internet. 4

6


a portal requires strong centralized leadership to facilitate and encourage inter-departmental coordination. Even through interdepartmental portals, self-service is often difficult to achieve, particularly when the service requires approval from different departments.

1.2 E-Government: Different Stages of Evolution E-commerce has evolved through four stages: pure publishing, interactivity, completing transactions and delivery. Similar stages have been defined for assessing the maturity of e-government. E-government applications normally evolve through a four-stage process as depicted in Figure 1.1 (Gartner Dataquest 2000).The first stage includes the publication of information on a website for citizens to seek information about procedures governing the delivery of different services. The second stage allows for online interaction. Clients can download applications for receiving services. The third stage involves the electronic delivery of documents. The fourth stage offers integrated electronic delivery

Delivering value to citizens

Figure 1.1: E-government evolution: four critical stages

Web Presence Agency websites provide citizens with information on rules and procedures

Limited interactions Intranets link departments that allow for e-mail contact, access to online databases and downloadable forms

Transactions Electronic delivery of services with some or all stages automated Applications include issue of certificates and renewal of licences

Complexity of implementation and technology

Source: Gartner Dataquest 2000.

Transformation Joined-up government All stages of transactions including payments are electronic Applications include government portals such as ukonline.gov New models of service delivery with public–private partnerships


7

of services where more than one department may be involved in processing a request or service. Public–private partnership models are offered. The case study on computerized land records explains the four stages in the context of transactions relating to a property. E-government comprises an alignment of ICT infrastructures, institutional reform, business processes and service content towards the provision of high-quality and value-added e-services to citizens and businesses. Omnipresent e-government services require relaxation of time, place and other accessibility constraints and compliance to architectural principles such as true one-stop services and life-event orientation (navigation in portals made easy by organizing it according to key events in the life of a citizen where interaction with the government is needed). Critical issues arise with respect to prioritization and pilot scoping of e-government services projects, exploitation of multi-device/ multi-channel access technologies, re-engineering and security of back-end ICT infrastructure as well as evaluation of operational schemes. These issues are elaborated in Chapter 4.

1.3 E-Government versus E-Governance While the terms ‘e-governance’ and ‘e-government’ are often used interchangeably, the two terms bear different meanings. The confusion arose because over the last three decades ICTs have been used by governments for various purposes. Some of these purposes were directly related to efficiency and effectiveness in delivering a variety of services concerning different life events of key stakeholders. Another broad area where ICT was deployed was to make democracy function better. When the terms ‘e-government’ and ‘e-governance’ were coined, both usages were brought under its rubric. For example, the Internet is seen as a tool of empowerment of disadvantaged groups and rural communities (Smith 1997). Some experiments in infusing greater democracy and participation in the functioning of private sector companies through the use of tools of decision conferencing and electronic meeting

8


rooms have prompted new experiments in the use of similar tools in the context of citizen’s engagement in the governing process. Widespread access to the Internet has prompted some politicians to put forth ideas about direct democracy (Murray 1992). The Minnesota Electronic Democracy Project (MN E-D Project) was founded in July 1994 by Steven Clift to study the impact of new communication technologies on government organizations and the political process (Aikens 1996). Originally, the project was designed to create a place on the Internet for the public to access information from the candidates and about the candidates running for office in the upcoming state and national elections in November 1994. It had many features that collectively made the experiment unique: it was designed for the electoral process, it was based locally, it was organized by citizens and civic organizations, it sought to distribute political information directly from the candidates and it featured an interactive public forum. The most important was the preservation of the combination of the contacts created with candidates and the e-mail-based listserve for citizen dialogue in a hypermail archive at the Twin Cities Freenet. All such experiments within the local governments and political parties came to be collectively known as e-democracy and these were included within the scope of e-governance. As against such use of ICTs by elected members, e-government was seen as the use of ICTs in administrative functions (Clift 2003). After the World Development Report placed knowledge at the core of the development agenda, there has been much focus on the ‘knowledge society’ and the problems of digital divide (World Development Report 1998–99). Effectiveness of distance learning and experiments with computer-assisted learning in programmes have demonstrated the potential of ICT in promoting literacy, education and an opportunity for life long learning in remote areas.5 With the growth of the Internet within the educational system, new opportunities of virtual classrooms/degrees Like Programmed Logic for Automated Teaching Operations (PLATO), which began in 1963 with Control Data and the University of Illinois using a grant from the National Science Foundation to develop technology and content for a computer-assisted instructional system. 5


9

have been demonstrated. Many governments have launched initiatives to connect schools with the Internet. Many nations have come to believe that unless they address the problem of a digital divide by expanding their Internet infrastructure, they will not be able to participate in the global economy and will further lag behind. Policies for the growth of the Internet and equitable distribution of access are being designed. For a while, all these uses of ICTs within the government to achieve different objectives and goals and associated policies for promoting the use of ICTs were being collectively labelled as e-government in some articles (Heeks 2004). Discussions in the earlier sections and in subsequent chapters are largely with reference to e-government. This section discusses the meaning of governance and e-governance so that some distinction can be made between the two terms. Given the history of confusion, it would be difficult to draw completely separate boundaries around the two. However, it is possible to establish that e-governance subsumes e-government. The concept of governance generally refers to the task of running a government or any appropriate entity for that matter. Governance is a broader notion than government. It involves interaction between the formal institutions and those in civil society. Governance refers to a process whereby elements in society wield power, authority and influence, and enact policies and decisions concerning public life. E-government is the efficient delivery of government services using emerging technologies like the Internet. E-governance uses these technologies to facilitate effective decision-making in the community. E-governance has been defined as an all encompassing term—the process of enabling transactions between concerned groups and the government through multiple channels by linking all transaction points, decision points, enforcing/implementation points and repositories of data using information and communication technologies, to improve the efficiency, transparency, accountability and effectiveness of a government (Srivastava nd). Definitions often miss out on the major distinction between e-governance and e-government. If e-governance is treated as the

10


use of ICTs to achieve good governance (see Figure 1.2) we can easily understand that e-governance focuses on processes whereas e-government is predominantly concerned with improving the outcomes in service delivery for all the stakeholders. Figure 1.2: Elements of good governance Consensus oriented

Accountable

Transparent

Participatory GOOD GOVERNANCE Follows the rule of law

Responsive Effective and Efficient

Equitable and Inclusive

Source: Author.

E-governance is a broader concept that encompasses the state’s institutional arrangements, decision-making processes, implementation capacity and the relationship between the government officials and public. It is the use of ICT by the government, civil society and political institutions to engage citizens through dialogue and feedback to promote greater participation in the process of governance of these institutions. For example, e-governance also covers the use of the Internet by the politicians and political parties to elicit views from their constituencies in an efficient manner or the ability of civil society to publicize views that are in conflict with the ruling powers. E-governance consists of two distinct but intimately intertwined dimensions: one, political, and the other, technical, relating to the issues of efficiency and public management. With some overlapping goals between the two, e-government can be viewed as a subset of e-governance and its focus is largely on improving administrative efficiency and reducing administrative corruption.

2 E-Government in the Context of Developing Countries Assessments made by some consulting companies indicate that e-government is in a nascent stage of implementation in both developed and developing countries (United Nations 2001). Government departments, in many developing countries, publish information on websites as a first step towards e-government. Many of these sites are poorly designed and the departments do not update or monitor the quality of information. Initially, the online publishing of information was targeted at attracting foreign investments, but as the Internet penetration grew in urban areas, many sites began to focus on delivering information and services to the citizens and businesses. A large number of developing countries from Asia and Latin America have implemented transaction-oriented e-government applications on a pilot basis. However, only a few of these pilots have been replicated on a wider scale. Table 2.1 enumerates documented case studies of e-government applications from different developing countries. The table lists countries where such applications have been developed and identifies a few benefits that have been realized. These applications represent the low hanging fruit: applications that deliver significant benefit and yet are not difficult to implement. This table is used as a basis for further analysis to understand the types of clients that have been served and purposes for which e-government applications have been built. This chapter also presents salient features of design and implementation and provides some idea of the costs of different projects. Finally, some key overall trends and future challenges are enumerated.

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Table 2.1: Examples of application areas from different countries Application area

Examples of projects

1. Delivering citizen services Computerized in 10 states in India. Issue of record • See case on Bhoomi in Karnataka in Chapter 9 of rights of land and mutation of land (Case 9.1—Computerization of Land Records). records. Registration of property transactions.

Computerized in 11 states in India. • See case on CARD in Andhra Pradesh in Chapter 9 (Case 9.2—Computer Aided Registration of Deeds). • Also, see best case example: SARITA, Government of Maharashtra (India): Available at http://darpg. nic.in/arpg-website/bestpracticesingovt/sarita.ppt

Issue of driving licence and vehicle registration and checkpost administration.

Computerized in 12 states in India and several developing countries. • See ‘Description of computerized motor vehicles department’, Kerala. Available at http://keralamvd. gov.in/

Municipal services such as issue of birth and death certificate, payment of local taxes, etc.

• See case on Online Procedures Enhancement for Civil Applications (OPEN) in Seoul municipalities, in Chapter 4 (see Box 4.6); many municipalities in Latin America. • Also, see best case example: Citizen Facilitation Centres (CFC) of Kalyan–Dombivli Municipal Corporation (KDMC), Maharashtra, India: Available at http://www.iimahd.ernet.in/egov/ifip/ aug2007/kdmc.htm

Passport.

Computerized in several developing countries like Singapore and Malaysia. • Best case example: electronic passports in Malaysia: Available at http://www.stockholmchallenge.se/data/tamper_proof_electronic_p

Income tax online.

Brazil, Mexico and Chile • See case on Guatemala’s online tax administration (see Chapter 10—Case 10.1). • See case on ‘Chilean Tax System Online’: Available at http://unpan1.un.org/intradoc/groups/ public/documents/other/unpan022120.pdf (Table 2.1 contd.)

E-Government in the Context of Developing Countries

13

(Table 2.1 contd.) Application area

Examples of projects

Multiple services from local, state and national levels (bill payment, issue of certificates, tax collection).

• See case on citizen service centres in Brazil, Bahia: Available at http://unpan1.un.org/intradoc/groups/ public/documents/other/unpan022348.pdf • See best case example on e-Seva in Hyderabad, Andhra Pradesh: Available at http://www.apdip. net/resources/case/in07/view • See ‘Bangalore ONE’ in Karnataka, http://www. bangaloreone.gov.in/

Publishing budgets at central and municipal level, publishing project-wise expenditure, executing agency.

• Turkey, India—see case on the ‘Central Vigilance Commission’ website: Available at (http://unpan1. un.org/intradoc/groups/public/documents/other/ unpan022415.pdf). • See description of ‘Cristal: a tool for transparent government in Argentina in Chapter 4 (Box 4.1). • Panchayat websites in Karnataka, India. See website of Shimoga district in Karnataka, India: Available at http://shimoga.nic.in/

2. Delivery of services to business and industry E-procurement

Several developing countries like Brazil, Bulgaria, Mexico, Philippines and Chile. • See case on e-procurement in Mexico, Philippines and Chile in Chapter 10 (Case 10.2—Experiences from the developing world). • Also, see case on e-procurement in Andhra Pradesh, India: http://himachaldit.nic.in/ Casestudy-APeProcurement.pdf

New business registration.

Jordan, Jamaica, China. • Best case example: MCA21, India: http://www. mca.gov.in/MinistryWebsite/dca/aboutus/aboutus. html

Tax collection (sales tax, VAT and corporate income tax).

Gujarat checkpost, Cameroon, Chile and Mauritius. • See case on checkposts in Gujarat in Chapter 10 (Case 10.4—Computerized inter.state checkposts in Gujarat).

Customs online.

A total of 70 countries, including India, Philippines, Mauritius and Jamaica. • See case on Indian customs online in Chapter 10 (Case 10.3). (Table 2.1 contd.)

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(Table 2.1 contd.) Application area Trade facilitation

Examples of projects Dubai, Mauritius, Tunisia, Yemen, Singapore. • See case on trade facilitation in Tunisia: Available at http://www1.worldbank.org/prem/premnotes/ premnote89.pdf • See best case example on trade facilitation in Singapore: Available at http://www.unescap.org/ tid/publication/t&ipub2327_annex2.pdf

3. Increased efficiency within government Use of e-mail and video conferencing.

Government offices in a large number of countries.

Document management and workflow for paperless operations.

• See case on CARING-Gov in Andhra Pradesh Sachivalaya, India in Chapter 11 (Case 11.1).

Integrated Financial Management System.

Computerized treasuries in Karnataka, Kosovo and Afghanistan. • See case on Khajane (online treasury computerization project, Karnataka, India): Available at http://www. iimahd.ernet.in/egov/ifip/dec2006/article3.htm

4. Integrated portals Information and transaction services organized by life events of citizens and businesses.

• US government’s official web portal: FirstGov. gov; Available at http://www.stockholmchallenge. se/data/firstgov_gov_u_s_governme • UK Online with all government departments fully online: Available at http://archive.cabinetoffice. gov.uk/e-envoy/reports-annrep-2002/$file/07.htm, see description at: http://archive.cabinetoffice.gov. uk/e-envoy/mediacentre-pressreleases-2002/$file/ 26feb02.htm • eCitizen, Singapore, user friendly citizen-centric portal, gateway to all government services: Available at http://www.ecitizen.gov.sg/; http:// unpan1.un.org/intradoc/groups/public/documents/ APCITY/UNPAN014668.pdf

Source: Compiled by the author.


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2.1 Nature of Applications for Different Types of Clients The list of applications can be divided into three broad categories: (a) delivering information and transaction services to citizens, (b) delivering services to business and industry and increased efficiency within the government and (c) delivering services to internal clients (for example, employees in other departments). Some applications serve both citizens and businesses such as the online tax payments.

Delivering Services to Citizens The largest number of applications have been built for service delivery to citizens. Agencies which collect taxes from citizens have been quick to embrace e-government. Departments with regulatory functions have also made early moves, while developmental departments, such as education and health, have been slow. A large number of applications have been built to issue certificates and licences and often a fee is charged for such services. One of the reasons may be that the informational content for regulatory service makes them more amenable to electronic delivery. Applications have been built at all levels of government—by local, state and federal level agencies. In developing countries most of these applications are at the second or third stage of evolution (see Figure 1.1). There are very few examples of integrated portals offering services from agencies: It is something that is more common in developed countries. Some of the direct benefits to citizens include lower costs of access, enhanced quality and greater convenience. Some countries have used e-government applications to reach out to communities that do not have easy access to government information. Many of these applications, done on a pilot basis, require government departments to invest a significant amount of time in developing content that is relevant and useful to the community needs. In rural South Asia and Latin America, a number of these applications have resulted in limited empowerment of

16


communities that previously could not acquire information, such as government rules or prices of agricultural commodities, either due to physical distance or corruption. A number of governments in Asia, Latin America and Central and Eastern Europe are using the Internet to increase accountability through publication of budgets, civil servant assets and notices of procurement awards and procedures. Providing this kind of information online has increased the transparency of government spending and operations and also enabled civil society to monitor government performance and activities better.

Delivery of Services to Business and Industry Tax collection, customs and e-procurement have been popular and therefore quickly embraced by many governments in developing countries as they are often perceived to be more prone to corruption. Tax collection agencies also present opportunities for enhancing revenue collection—something that is attractive for most governments. Investments in such systems tend to have a quicker payback because of increased revenue collection. Businesses are also quick to use these services because they are provided with an easier and hassle-free channel to interact with the government. Businesses are often burdened with significant administrative road-blocks when interacting with the government. Rules can be made transparent and consistent across departments. A number of countries have implemented online business registration and trade facilitation systems at ports and customs to become more business friendly.

Increased Efficiency within the Government E-government can lead to higher productivity by interconnecting different government agencies and different offices of an agency, enabling them to improve communication by sharing data and documents. Integrated Financial Management Systems have


17

been implemented by a large number of countries by networking treasuries at different locations. Significant reduction in costs (of paper, storage space and processing time) can result from a paperless environment in which electronic documents flow across workstations for approval and action. Reduction in the administrative burden of decision-makers is a very significant benefit as it releases time for important issues of policy and decision-making. Applications that focus entirely on internal efficiency are limited, primarily because these are difficult to implement as they encounter resistance from a well-entrenched civil service.

2.2 Challenges in Design and Implementation The most severe challenge faced by the developing countries is the inadequacy of ICT infrastructure. Most government agencies operate with manual systems and procedures, making the digitization of archived data a mammoth task. Departments are not interconnected as the networking infrastructure is weak outside the capital cities and large urban centres. Internet penetration is low and access to broadband is limited. Some countries, like India, which have adopted e-government as a national priority, are fast building such infrastructure. Fortunately, the penetration of mobile phones has ramped up very well in many developing countries but e-government applications have not yet exploited the mobile phone as a mode of delivering some types of services. Many developing countries have adopted a creative approach in designing e-government applications to overcome the digital divide and lack of resources. As a result, e-government applications are quite different from similar applications in industrialized countries where the delivery model is based on self-service through the Internet. Often, the design is built around assisted delivery at community service centres, and the process of delivery is a hybrid of automated and manual processes. For example, the payment processes in most developing countries are not electronic, Chile and Brazil being exceptions. Payments are still handled by

18


traditional means of cash, cheques and credit cards. In fact, in many developing countries, like Africa and South Asia, credit cards are not used by a majority of citizens. Government service counters are not connected to credit card processing bureaus, thus, verification cannot be done online. Most countries have, therefore, not implemented an electronic payment gateway. For specific applications, such as toll fee, stored value cards are being tried. New technologies, such as radio frequency identification have already found a few uses such as collecting toll fee from cars (Booth-Thomas 2003). Many more applications are likely to be found in the coming years. In the absence of countrywide policies on data standardization and data sharing, security provisions have not been adequately handled in designing systems. Surprisingly, privacy has not been a major issue for citizens in the developing countries. Governments are now recognizing the need for authenticating users (particularly in highly distributed environments). Security over networks is becoming an issue and the need for a certification authority is being felt. The task of integration across departments has been particularly difficult. As a result, applications that involve a few departments and deliver a specific service to a limited constituency have had the most impact. Consequently, local governments have shown the maximum potential. Amongst the countries that use languages other than English, some countries were quick to develop a local language interface for their applications. For example, the Middle Eastern countries that use Arabic have been very successful in developing a standard for the local language interface. Similarly, in Latin America the use of Spanish is well developed. Other countries, like Malaysia, adopted the Roman script for writing in their own language. In India, which has many developed languages, a standard for local language interface was slow to evolve. In general, the lack of resources and technical capacity has meant that e-government applications cannot be scaled easily. Also, there is a great deal of variability in the technical sophistication of e-government applications built in the developing countries. Nowhere is it more pronounced than in the large number of websites put up by various departments. Resource constraints


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often force departments to use in-house software developers who are not up-to-date in their technical skills and tend to economize hardware/software purchase.

2.3 Investments in E-Government Costs of e-government projects depend on the initial conditions— whether the application is built from scratch replacing an existing manual system or an extension of an existing computerized system. Major cost elements are hardware and software at the back-end, data conversion, training and maintenance and communications infrastructure to link the public access points to the back-end. Costs vary quite dramatically according to scope and scale of application. Projects involving web publishing may cost in thousands of dollars (20 to 200), whereas online service delivery portals for a country takes millions of dollars to build. Table 2.2 indicates that the cost of a typical project may vary from USD 50,000 to USD 80 million. Most projects were done at a low cost because the design of these projects done at local/state level is simple: it does not involve any integration. Investment in e-government is relatively small in comparison to other types of development programmes or infrastructure project. For example, in India, the total expenditure to implement the National Rural Employment Guarantee Act for the year 2007–2008 was USD 419 million.1 However, comprehensive national programmes can be costly as in the case of the National e-governance plan (NeGP) in India. Given the low rates of Internet penetration, developing countries have to invest heavily in creating the infrastructure for citizen access. The cost of building applications that will deliver services through these centres would be separate. The cost of building e-government applications also depends on whether the software is developed or an existing packaged solution is used. Unless inexpensive software developers are available, as in India and China, it is often more costly to make the software The currency exchange rate of Rs 42 to a USD 1 was applied to convert the amount of Rs 1,783 crores reported in the NREGA (NREGA). 1

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than to buy it. Consultant services for re-engineering and change management can also be expensive if they have to be sourced from large multinational firms, which is often the case as such capabilities do not exist in developing countries.2 Capacity, both to build and manage software, is a key consideration. Mistakes made in software design can lead to high expenses for correction Table 2.2: E-government project investment Project

Current/projected investments ($)

National E-governance Programme, India

50 billion (spread over six years) 53 million 81.14 million 8.5 million 27 million 26 million 12 billion 2.70 million 4 million 3.7 million 4.3 million 4.5 million—(for the first phase) 5.88 million 35.28 million 55.8 million 13 million 1.8 million

e-Lanka, Sri Lanka Department of Company Affairs MCA 21 Treasury Computerization-Karnataka Customs Modernization, Philippines E-procurement, Korea E-procurement, Andhra Pradesh Computerization of Commercial Taxes Computerized Interstate Checkposts Bhoomi Online Land Title Registration AP CARD Online Services e-Seva, Andhra Pradesh Ahmedabad Municipal Corporation e-panchayat, Gujarat Tax System in Thailand Mandals Online Citizen Service Centres Poupatempos

Source: Compiled from investment amounts mentioned in various case studies written by authors. Note: Values in Indian rupee converted into USD as per the exchange rate of 1 USD = 42.517 INR, as on 16 May 2008. Change management can be viewed from two perspectives—from those implementing the change and from the recipients of change. Basically, they are the processes and steps that an organization undertakes to manage change. There are two dimensions of change management that must be incorporated in any strategy: the top-down managers’ perspective and the bottom-up employees’ perspective (see Business Process Reengineering Online Learning Centre nd). 2


21

in the future. A balance between software alternatives—open source and proprietary platforms and applications—can provide avenues for reducing costs.

2.4 Reasons for Implementing E-Government A major goal of e-government projects in developed economies is to enhance productivity of both the public and private sectors through the leveraging of ICT. E-government has captured the interest of developing countries. There has been a considerable demonstrative effect of the well publicized large projects of e-government in advanced economies in the delivery of services, provision of information and internal administration of the public sector. Many developing countries that have developed significantly in building IT applications feel that they can leap to take advantage of the new electronic channels that are available for delivering government services. The reasons for investing in e-government are quite diverse. A country’s ICT infrastructure and its openness to public sector reform play an important role in determining the types of applications and kinds of goals for which e-government is implemented. Countries that have an advanced ICT infrastructure invest in e-government because they are faced with a population that expects the government to provide services at the same rate of efficiency and speed that is offered by the private sector. Citizens in developing countries are experiencing a significant improvement in service levels in e-commerce, vis-à-vis the private sector. They feel that if the private sector can make systematic improvements in service delivery, why can the government not use the same technologies? Thus, citizens in some countries are, in fact, asking the government to go online. Yet, other countries are focusing on improving the efficiency of the public sector to increase economic competitiveness. A number of countries have invested in e-government applications that aim to reduce administrative burdens on the private sector and increase foreign direct investment. Governments are also

22


using e-government applications to encourage citizens to move towards self-service to save cost and time for both citizens and the government. Countries, where external accountability institutions are being strengthened, often use e-government tools to augment basic democratic principles such as citizen participation, fundamentally altering the contours of democracy and how citizens interact with the government. These governments involve their citizens in deciding the kind of services they should offer and the platforms through which these can be delivered. Other countries, after experiencing early successes, wish to be pioneers in the e-government field. These successes are a source of pride. For example, Brazil launched an electronic voting system. They are proud that it is a better system than that of the United States. There is a competition taking place amongst developing countries and also with developed countries, which spurs the development of new applications. In the last decade, many countries have gone through a process of political and economic liberalization and economic growth under advice from multilateral lending agencies. Many large countries, like India and China, have grown at 8 to 10 percent over the last decade. Having completed the first phase of economic policy reform, such countries are now under compulsion to move to the next phase of reform in the field of governance. Governance reform agendas have included e-government pilots that aim to reduce corruption, increase transparency and quality of service. When e-government has been used towards a specific governance goal that is backed by political leadership, it is seen as an effective tool for governance reform by these countries. Increasingly, governments in the developing world seek to tie e-government with their overall economic and social development goals. For example, in India, alleviation of poverty is an important goal and, therefore, many applications that deliver services online in rural areas are being tried out in spite of numerous infrastructural constraints. These applications have an effect on empowerment, poverty reduction and improving government responsiveness to poor communities who have had little


23

prior access to public services. Bhoomi (Case 9.1) in Karnataka, India is a striking example where land titles are delivered online to millions of farmers in 15 minutes instead of the earlier practice where bribes had to be paid and it took weeks to obtain a land title. In other cases, knowledge relevant to economic activities is being delivered to communities in local languages through rural Internet kiosks. In Latin America, corruption has been a key public issue and, therefore, e-procurement and transparency in public spending have been emphasized. A number of e-government projects in other countries have also focused on the reduction of administrative corruption and increase in transparency. E-government can have a direct impact on (a) reducing the number of intermediaries that citizens need to interact with in order to get a government service, (b) improving government ability to monitor, and (c) disclosing information about government processes and public budget spending to citizens. Increasingly, governments would like to use e-government as a tool to enhance transparency and reduce corruption, although this goal is sometimes not stated publicly as it may create resistance within the civil service. A country’s willingness to adopt basic public sector reform must determine the breadth and scope of e-government applications. Many times, e-government applications are used as a catalyst and enables further reform. E-government projects are funded with the expectation that these applications will increase efficiency and bring about more transparency and accountability to citizens. Success in reforms is directly linked to the openness of a government and its interest in pursuing basic reform goals. For example, many e-government applications would be incompatible with a regime that does not promote increased access to information. Several e-government projects have failed because they were not aligned with realistic expectations and the willingness of governments to introduce basic reform. It is critical that e-government projects become more closely aligned with the political context of a country and its pace of reform. A reform agenda needs to be encouraged more broadly and e-government cannot be perceived as a panacea or the driver of reform.

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There is a real danger that some governments may wish to appear to be modernizing and may implement e-government without making any serious attempt to reform government’s functioning.

2.5 E-Government Readiness of Countries A useful indicator to understand the current status of e-government in a specific developing country is to compare its e-government readiness rank with countries that are known to be leaders. There are many different e-government readiness indicators that are published. The UNPAN indicator (UNPAN 2008) is published every year, it is used here to analyze trends. Table 2.3 presents the performance of 21 countries (covering the entire spectrum of development and ICT infrastructure) as a useful benchmark. Australia, Canada, US, France and the Republic of Korea are ranked very high in telecommunications infrastructure and e-government readiness. Developing countries in South Asia rank lower on both these indexes and China, Philippines, Vietnam and Thailand are somewhere in the middle. However, in web presence and e-participation, the two measures that indicate existing e-government activity, India has done as well as the middle rung country. The use of community service centres as opposed to individual access by citizens in India seems to have enabled India to overcome the handicap of poor performance in telecom infrastructure index. Table 2.3: E-government readiness of countries

Index

Rank

Telecommunications infrastructure index2

0.7525 0.3512 0.7659 0.5084 0.8294

9 NA 8 47 5

0.6884 0.0246 0.6966 0.1600 0.5992

Web measure assessment1 Country Australia Bangladesh Canada China France

Index

Rank

E-gov. readiness rank

0.8864 0.1364 0.6136 0.4773 0.9318

5 78 11 20 3

8 142 7 65 9

E-participation3

(Table 2.3 contd.)


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(Table 2.3 contd.)

Index

Rank

Telecommunications infrastructure index2

0.5753 0.4783 0.3344 0.7425 0.6756 0.4214 0.2876 0.4247 0.5117 0.8227

33 54 NA 10 17 NA NA 70 45 6

0.6164 0.0435 0.0702 0.6232 0.3022 0.0911 0.0119 0.0540 0.1006 0.6886

0.1591 0.2500 0.0455 0.6136 0.2955 0.2727 0.0227 0.0909 0.2727 0.9773

74 49 135 11 41 47 152 98 47 2

22 113 106 11 34 82 150 131 66 6

0.6120 0.3946 0.5050 0.6923 0.9532 0.4448

25 NA 50 16 3 63

0.5853 0.0656 0.1510 0.7022 0.6663 0.1081

0.6364 0.0682 0.2955 0.4318 1.0000 0.5227

10 116 41 25 1 16

23 101 64 10 4 91

Web measure assessment1 Country Germany India Indonesia Japan Malaysia Mongolia Nepal Pakistan Philippines Republic of Korea Singapore Sri Lanka Thailand UK USA Vietnam

E-participation3 Index

Rank

E-gov. readiness rank

Source: Compiled from UN Global e-Readiness Survey (UNPAN 2008). Notes: 1 The web measure survey assessments were based on a questionnaire which allocated a binary value to the indicator based on the presence/ absence of specific electronic facilities/services available. The primary site was the national portal or the official government homepage of the member states. Where no official portals were available, other governmental sites were assessed. The web measure index provides the member states with a comparative ranking on their ability to deliver online services to their citizens. 2 The infrastructure index is calculated on the basis of the Internet index, PC index, cellular index, main telephone lines index and the broadband index. 3 In total, 21 citizens’ informative and participatory services and facilities were assessed across 189 countries, in instances in which these services and facilities were online and where data was available. The e-participation index assesses the governmental implementation of products and services concerning e-information, e-consultation and e-decision-making.

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2.6 Status of E-Government in India The extent of electronic delivery of government services in India is commensurate with India’s position in the readiness ranking produced by several agencies. At the end of 2008, the bulk of the individual tax payers will file their taxes on paper returns although many other tax related transactions, such as the taxes deducted at source, may be processed and reported electronically. The bulk of the new passport applications will be made manually and processed manually with piecemeal computerization at the back-end. The bulk of the import/export way bills of cargo handling agents will be processed on a computerized system although the extent of integration of the customs system with other trade facilitation partners (shipping, ports, banks) is still weak. Nearly all the new company registrations and old companies that file statutory reports with the department of company affairs will do the same online. So, in terms of the national agencies dealing with citizens and businesses, the extent of electronic delivery is still limited. At the state level, 3–4 agencies (transport department, land records and registration of property transactions) have started delivering services online but at the departmental counters. A recent assessment by the Department of Information Technology (DIT), Government of India, indicated that 10 states have computerized the delivery of these services covering the entire state. There are a dozen other departments which deal with citizens and businesses, where the delivery is entirely manual. At the urban and rural local government levels, perhaps less than 5 percent of the agencies have computerized delivery of services. The focus of e-government, till now, has largely been on urban areas. Creating access points in rural areas which have connectivity is a key challenge. The bulk of the applications were driven by reformist civil servants without much central coordination. A large number of government departments across all states have their websites. However, publishing information online has not had the kind of impact it was expected to create. In most states, citizens are not ready to engage in a dialogue on how they should


27

be governed. Intermediaries (non-governmental organizations, grassroots organizations and the media) are often required to generate a debate on public issues to draw in citizens. The total cumulative investment in e-government so far is of the order of USD 2 billion. Given the size of NeGP at USD 50 billion, India has just begun its journey of e-government. In summary, if India’s experience could be generalized to many developing countries, most countries have a long way to go in terms of the scale and scope of their e-government implementation. The impact is not assessed through independent evaluation. The largest number of applications has been built for service delivery to citizens. Tax collection, customs and e-procurement have been popular and quickly embraced because they create more efficient means to collect revenue: this is critical for governments that are cash constrained and cannot enforce payment. Departments with regulatory functions have been quick to embrace e-government while developmental departments such as education and health have been slow. There is a large urban/rural ICT divide that forces governments to adopt creative approaches to delivering services over ICT channels to communities with uneven access to ICT networks. Community centres with operator-assisted online counters have been the most popular mode of delivering services.

2.7 Key Challenges in Further Development of E-Government Box 2.1 summarizes the status of e-government and some key challenges in the further development of e-government in developing countries that emerge from the discussion in this chapter.

28


Box 2.1: Challenges in further progress of e-government in developing countries 1. 2.

3.

4.

5. 6.

7.

Very few government agencies have been covered. Expanding the scale of e-government to cover more agencies and larger population is a key challenge. Most of the applications are at the second stage of evolution converting manual delivery to a delivery from a computerized departmental counter. Often, only part of the delivery process is computerized. Even though such systems deliver value to citizens, the full potential can be harnessed by expanding the scope of the application and moving towards delivery through common service centres. There is a large urban/rural ICT divide that forces governments to adopt creative approaches to delivering services over ICT channels to communities with uneven access to ICT networks. Community centres with operator-assisted online counters have been the most popular mode of delivering services. Expanding the coverage of such centres in rural areas is a key challenge. Sharing data, scalability of key operations and security concerns have not been adequately reflected in design. So far, privacy has not been a major issue for citizens in the developing world. However, with the expansion of e-government and more integration and web-based delivery, security issues will become important. The task of integration across departments has been particularly difficult. There are hardly any integrated applications. Absence of a unique citizen identity card/number hampers integration. Existing applications have impacted the cost of access for citizens. However, the impact on transparency and corruption has been low. It is easy to show the impact when moving from manual to computerized systems, but further impact will come from constant innovation. E-government has to be seen as a process of continuous reform, rather than a one-time project. A large number of government departments across all countries have their websites. However, publishing information online has not had the kind of impact it was expected to create. In most countries, citizens are not ready to engage in a dialogue on how they should be governed. Intermediaries (NGOs, grassroots organizations and media) are often required to generate a debate on public issues to draw in citizens.

3 Potential Benefits of E-Government for Key Stakeholders There are three broad stakeholders who are impacted by the introduction of e-government: citizens/businesses who access services, agencies that deliver services and employees of the agency. Positive impacts may be considered as benefits. E-government helps in reducing the cost incurred by the citizens and businesses for obtaining services from the government agencies. Citizens need to spend less effort in finding out how a service can be obtained because such information is available on the websites (publishing rules and procedures). Services can be accessed from homes/offices or delivered to conveniently located service centres. Citizens have better documentation for follow-up action. Quick processing time reduces the total time of transaction and reduces waiting periods. This also involves fewer visits to government departments. Improving service delivery to citizens helps increase the all round productivity by diminishing time wasted in commuting, standing in queues and seeking information. In a longer time frame, e-government can subtly shift the balance of power between the service providers and clients. In many countries, e-government has made governments more citizen-centric. Several portals organize information and services according to the clients’ needs (SINGOV online) and not according to the government department structure. E-applications enable greater participation of citizens leading to their empowerment. For example, it is easy to strengthen feedback on services. Collection of statistics on performance in service delivery also becomes easy. This data can also be made public.

30


Departments/agencies that implement e-government may be able to collect more taxes, prevent fraud, reduce costs and be able to cope with growth in transactions. By automating routine clerical work, staff time is released for more substantive tasks. Employees can get better information for monitoring and decisionmaking. Table 3.1 lists various benefits for different stakeholders that are targeted by the designers of e-government applications. It is important to understand the conditions under which potential benefits can actually be realized. Realization of the benefits would depend on the manner in which the applications are designed, the mode of delivery of service and the extent to which basic processes were reformed. The chapter highlights examples where Table 3.1: Potential benefits through e-government applications Stakeholders Citizens and businesses

Civil servants

Government agency

Source: Author.

Potential benefits Improving service delivery • Shorter elapsed time for completing transactions. • Reduce costs of accessing service. • Improve quality and convenience. • Enhance geographic coverage to reach larger segment of population. • Less corruption. Improving performance • Increase the ability of managers to monitor task completion rates of civil servants. • Improve efficiency of civil servants by automating tedious work. Improving government finances • Reduce unit cost of transactions. • Increase revenue: tax and non-tax. • Prevent fraud and leakage in revenue. • Improved control of corrupt practices. • Provide better control of expenditure. • Increase speed and efficiency of inter-andinter-agency workflow and data exchange. • Eliminating redundancy of staff. • Ability to cope with growth.

Potential Benefits of E-Government for Key Stakeholders

31

e-government has delivered concrete benefits to citizens, businesses and the implementing agencies. The necessary conditions that can enhance the realization of benefits are discussed. The next section presents the results of a systematic study that measures the impact of e-government from the viewpoint of the users in terms of the cost of access and the quality of delivery of services.

3.1 Benefits for Citizens: Results from an Impact Assessment Study Many projects from different countries report shorter elapsed time to complete a transaction from application to the final delivery of documents (see Table 3.2). These gains come from reducing the number of steps involved, making each step more efficient and reducing the number of agencies that need to be consulted. Assessment studies of citizen impact of 36 e-government projects in 12 states in India, focusing on three services delivered to citizens, issue of copies of land record, registration of property and issue of driver’s licence (DIT 2008), report improvements in a number of indicators that determine the cost of accessing a service. The study engaged 11 market research agencies. Each agency was assigned the three projects in a given state in which they surveyed nearly 800 citizens being serviced by 16 service delivery points for each project. The survey captured the experience of using the manual and computerized modes of delivery for each service. Study results indicate an abysmal state of delivery of services in the existing manual system in all the three types of projects. Users need to make 3–4 trips to the government offices on an average (up to eight trips in some cases), wait for two hours or more (up to six hours in some cases) in each trip and pay frequent bribes (20–50 percent of all transactions) to get services. Even in a simple service, such as issue of a copy of land record, the elapsed time (submission of the application to the receipt of document) averaged five days. For property registration and drivers licence, the average time (over 12 states) was 33 and 23

32

Unlocking E-Government Potential Table 3.2: Examples of reduction in elapsed time

Country

Type of government application

Number of days to process before application

Number of days to process after application

Brazil

Registration of 29 documents

Several days

20–30 minutes per document, 1 day for business licences.

Chile

Taxes online

25 days

12 hours

China

Online application for 32 business services

2–3 months for business licence, several visits to multiple offices for filings.

10–15 days for business licence, several seconds for routine filing for companies.

India—11 states

Registration of property

33 days

13 days

India—5 states

Change (mutation) of land record

73 days

40 days

India—12 states

Issue of driver’s Licence

23 days

15 days

India

Registration of new company

15 days

1–5 days

Gujarat, India

Inter-state checkposts for trucks

30 minutes

2 minutes

Jamaica

Customs online

2–3 days for brokers 3–4 hours to process entry

Philippines Customs online

8 days to release cargo

4 hours–2 days to release cargo

Singapore Issue of tax assessments

12–18 months

3–5 months

Source: Department of Information Technology 2007, 2008; Bhatnagar 2000, 2001, 2007.

days respectively. In some states, the elapsed time was as high as 2–3 months. The need for reforming the delivery system is beyond doubt. The question is whether e-government can help make the system more citizen-friendly. Figure 3.1 presents a comparison of the average number of trips that were made by users in different


33

Source: Department of Information Technology 2008.

MP

WB

Punjab

Kerala

Punjab

MP

Kerala

WB

Uttarakhand

TN

Manual System Computerized System Statistically Insignificant Statistically Insignificant

Rajasthan

Orissa

HP

Haryana

WB

Uttarakhand

TN

Rajasthan

HP

Orissa

Manual System Computerized System

MANUAL SAVING 3.48 1.03 3 OUT OF 12 AT OPTIMAL LEVEL

Delhi

Uttarakhand

TN

Rajasthan

Orissa

HP

Haryana

Gujarat

Haryana

Delhi

Gujarat

10.00 9.00 8.00 7.00 6.00 5.00 4.00 3.00 2.00 1.00 0

Manual System Computerized System


Gujarat

PROPERTY REGISTRATION

10.00 9.00 8.00 7.00 6.00 5.00 4.00 3.00 2.00 1.00 0


Delhi

LAND RECORDS

10.00 9.00 8.00 7.00 6.00 5.00 4.00 3.00 2.00 1.00 0

TRANSPORT

Figure 3.1: Number of trips required for availing service across all three applications

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states for obtaining different services in the manual system and the computerized system. Citizens incur travel costs and waste precious time in making frequent trips to government offices to complete service transactions. In the manual system, in most of the states, 2–3 trips are required to get a Record of Right (RoR) issued. In three states, more than three trips are required and in one of them, six trips are needed to be made to get an RoR. Only two states do it in less than two trips. Computerization seems to have helped a great deal, reducing 1.15 trips from an average of 3.16 trips in the manual system. In fact, in five out of the 10 states, the number of trips after computerization averages 1.2. Considering that at least one trip to the service centre is necessary, in these five states, an ideal condition has been reached. On the other hand, in Orissa and Madhya Pradesh (MP), users need 3–4 trips for collecting an RoR even after computerization. In MP the average number of trips has gone up after computerization. These states need to investigate the reasons and strive to reduce the number of trips to around one. The cost of each trip averages about Rs 20. This cost can be further saved if the RoRs can be issued at Internet kiosks located close to the villages where the users reside. In the manual property registration, users in seven states needed 4–6 trips to complete the transactions. Only in three states could the transaction be done in 2–3 trips. After computerization, the average number of trips across all states has come down by 1.16 from 4.02 in the manual system. In eight (out of 11) states, the transaction can be done in nearly two days. Orissa, Gujarat and Haryana require 3–4 trips even after computerization. In the manual issue of driver’s licence in nine (out of 12) states, nearly three trips are required to obtain the service. In Haryana, seven trips were needed to obtain the service. With computerization, one less trip needs to be made. In eight states, the work can be completed in two trips whereas in three states, it needs nearly three trips. The study suggests that almost under any condition, moving from manual to computerized delivery at departmental offices, it


35

can cut down one trip for the user. The cost of a trip is roughly Rs 20–30. It should be possible to complete the transaction in one trip in transport and property registration even when paper documents need to be submitted. If the complete service—submission of documents, payment and delivery of document (by courier in case of paper/plastic documents)—could be made available online, more, if accessed from the users’ homes, then no trip would be needed. Overall, in all three types of services, there has been some improvement in various service levels indicators that were measured (see Table 3.3). The waiting time has been reduced by 20–40 percent. Reduction in time elapsed between an application for a service and its final delivery (example, a document being delivered) is important from the point of view of the clients. The RoR delivery is immediate in most of the states. In case of property Table 3.3: Impact on key dimensions averaging over all states Land record Number of trips Waiting time (minutes) Total elapsed time (days) Error rate (%) Service quality score (five–point scale) % preference for computerized system

Property

Transport

M

C

Change

M

C

M

C

3.2

2.0

1.2

4.0

2.3

1.7

3.5

2.4

1.1

127

91

36

132

76

56

122

91

31

11.0

5.5

5.5

32.5 12.9

19.6

22.7 15.4

7.3

4.2

3.9

0.3

6.3

3.2

3.1

4.4

3.4

1.0

3.0

3.9

0.9

3.0

4.1

1.1

2.8

3.7

0.9

91.0

Change

95.7

Source: Department of Information Technology 2008. Notes: M stands for manual. C stands for computerized.

87.8

Change

36


registration, computerization has significantly reduced the elapsed time from an average (across all states) of 33 days to 13 days, which is a 60 percent reduction. In transport, the impact is much smaller and in four states, the elapsed time is one month or more even after computerization. Perception of quality-of-service and governance shows an allround improvement. As seen in Table 3.3, in all the three applications, the overall perception of service quality has improved with computerization by about one point on a five-point scale. This represents a significant improvement of one notch—from ‘satisfactory’ to ‘good’ or from ‘good’ to ‘very good’. An important component of service quality is the error rate which can be measured directly. All the three projects reported a reduction in error rate with property registration halving the proportion of errors from 6 percent to 3 percent. Citizens indicated an overwhelming preference for computerized service delivery. Direct cost savings to citizens averaged from Rs 50–90 in the three projects across all states. In five projects, the cost went up significantly after computerization. Computerized service delivery in all the three projects is in the early stages of evolution. For example, in most states, land record computerization has been limited to the issue of RoR. Mutation, which is a more complex process, has been computerized in just five states. No state in India has reached an evolved stage in land record computerization which integrates the functioning of three related agencies—revenue department where land records are maintained, survey department where maps of land parcels are maintained and registration department where deeds of sale/purchase of land are registered and maintained. There is a great deal of difference in the performance of the best and the worst state in case of each of the three computerized applications. Given the fact that the processing steps in the delivery of the three services can be very similar across states, there is no explanation for the variation in performance, other than the varying quality of design and process reform in these systems. Each state has chosen to design its application without learning from best practices elsewhere.


37

Possible reasons why the number of trips is abnormally high in a few states are that such states have not cut down on the number of supporting documents that are required to avail a service. For example, in the case of property registration in Orissa, a large number of documents are required as proofs of ownership of property that is being transferred, whereas in other states this requirement has been trimmed. There has to be a balance between ensuring that a system prevents fraudulent transactions and the burden that extensive checks can place on honest people. Often information about the required documents for registration of property or issue of licence is not publicized well. Users need to make a trip to the agency just to determine the requirements. Alternatively, users prefer to go through agents as they know the requirements. Some times users make unnecessary trips as they find that on a given day their work will not get done because of long queues. This is because the capacity to process a service request and the demand for service may not match on many days. Some states like Gujarat have adopted the practice of building an appointment system through a web portal or phone to take care of such a problem. Whenever there is a mismatch in demand for service and capacity to handle the service request, the system of orderly queues breaks down. This can also happen because of equipment breakdown. Such opportunities are used by touts to get work done by paying speed money. In other cases, functionaries have unnecessary discretion to delay or deny a service without assigning a reason. Very often, there is no specified order in which service request should be processed. Functionaries abuse their discretion in all these cases to seek rent. In some cases, a particular step in the workflow of processing a service becomes a bottleneck. For example, the requirement of inspection of property before registration can often delay the registration and provide opportunity for rent seeking. Some states like Andhra Pradesh and Karnataka have done away with prior inspection. A selective post inspection may be done to spot malpractice and punish the guilty through cancellation or fines.

38


Most of the simple re-engineering principles like simplification and rationalizing of forms, putting in place an appointmentand-queue management system, post-inspection instead of preinspection, automated workflow enforcing a first-come-first-serve discipline, documenting the submission of an application and reasons in case the application is rejected, do have a significant impact on the number of trips, waiting time and bribes. Yet, in many projects, such a simple process reform is not undertaken.

3.2 Benefits for Businesses: Results from an Impact Assessment Study There are several areas where e-government can have potential economic impact. E-government can increase the competitiveness of a nation by reducing the costs of setting up and operating an enterprise. The costs of setting up an enterprise can be reduced by making the process of business registration, issue of a variety of licences and provision of services fast, efficient and corruption free. Corruption adds significantly to the cost of doing business and any lowering of corruption can make the industry more competitive. Through simplification of government rules and procedures and by increasing transparency in their implementation, the governments can reduce some amount of uncertainty for the investor. As we noted in Chapter 2, the primary objectives of some governments in implementing e-government is to enhance their image of being investor friendly. In India, the Department of Company Affairs launched a project called MCA21 which enables new companies to be registered and existing companies to file annual returns without having to visit the departments’ offices. All transactions (uploading document, making payments, accessing information and filing returns) can be done through their portal. See Box 3.1 for a description of the application and the concrete benefits delivered to businesses. Impact of two projects delivering services to business (eprocurement in Andhra Pradesh and inter-state checkpost in Gujarat) and one delivering services to government employees


39

of other departments (Khajane—computerized treasuries in Karnataka) was assessed in a study in 2006. The results show that computerized delivery reduced the cost of transactions for businesses by reducing wait time, number of trips and bribery (see Table 3.4). In the treasury application (Khajane), both Box 3.1: MCA21 e-governance project The MCA21 e-Governance Project was launched by the Ministry of Corporate Affairs (MCA), Government of India, as a pilot, at Coimbatore in February 2006, while the nationwide roll-out to 20 offices was completed by September 2006. MCA is primarily responsible for regulating the functioning of the corporate sector through administering rules and regulations framed under the Companies Act of 1956 and other allied Acts. Key services provided by the project are registration and incorporation of a new company, downloading of e-forms, annual and event-based filing of documents such as annual returns, balance sheets, profit and loss account statements, etc., payment of penalty and fees, registration, and tracking and redressal of complaints relating to shares, dividends, etc., filed against a company by an investor. Service delivery is done through three modes: the Virtual Front Office (VFO) or the MCA21 portal, which can be directly accessed by the citizen through the Internet from his/her home or office, 53 Physical Front Offices (PFOs) that have been set up across the country to ensure a smooth transition to electronic delivery of MCA’s services and about 550 Certified Filing Centres (CFCs) run by professional institutes like The Institute of Company Secretaries of India (ICSI), The Institute of Chartered Accountants of India (ICAI) and The Institute of Cost and Works Accountant of India (ICWAI), individual practising members and firms of professionals. While the PFOs provide services without any charge, the services provided by CFCs entail payment of pre-specified service charges. The cost of the project was Rs 3,450 million which provided for an implementation phase and an operations phase extending over six years from the start of the implementation. As of 30 November 2007, the portal had registered an average of 1.7 million hits per day, and about 3.4 million documents had been filed electronically. About 400,000 balance sheets and an equal number of annual returns have been filed by companies using the system. About 84 percent of the filings are made directly using the portal (VFO). Pending applications, which used to be 30–40 percent earlier, is now just about 10 percent. MCA21 has facilitated easy online access to documents by the corporate sector, research institutes, regulators and the (Box 3.1 contd.)

40


(Box 3.1 contd.) general public for a nominal payment of Rs 50 for a period of three hours. Nearly 225,000 people have availed of this facility. A comparative picture of the time taken in delivery of services under the pre-MCA21 and postMCA21 scenarios is given: Service

Prior to MCA21

After MCA21

Approval of company name Company incorporation Change of company name Obtaining certified copy of document Inspection of public documents Registration of documents Annual return Balance sheet Change in directors Change in registered office address

7 days 15 days 15 days 10 days

1 to 2 days 1 to 5 days 3 days 2 days

Physical visit to RoC

Online

60 days 60 days 60 days 60 days

Instantaneous Instantaneous 3 days 3 days

The role of middlemen and agents was eliminated through MCA21 as they were no longer able to manipulate, replace or mishandle company documents filed with RoCs. The back-office application that takes care of internal processing of e-forms filed by the corporate user automatically routes electronic documents to the concerned MCA official based on the type of service request. The application, especially the electronic workflow system, has brought transparency and accountability in the working of the department, as well as speed and certainty in service delivery. All e-forms along with their attachments are stored in the electronic repository which the MCA staff can view depending upon access privileges assigned to them. This has enhanced their efficiency in technical scrutiny ensuring close follow-up on matters related to compliance and facilitating identification of defaulters. Source: Ministry of Corporate Affairs.

pensioners and government employees indicated a significant reduction in error rates. The quality of governance and quality of service were measured on a five-point scale. Both indicators improved with computerization. More significantly, bribes were


41

Table 3.4: Impact on key dimensions across three projects Khajane

Performance indicator Number of trips

Waiting time (minutes) Error rate (%) Improvement in service quality (five–point scale) Improvement in governance (five–point scale) % paying bribes % preference for computerization

Mode Manual Computerized Saving Manual Computerized Savings Manual Computerized

Manual Computerized

Drawing and Disbursing Officer e-Procure(DDO) Payee ment Checkpost 2.7 1.6 1.1 63.2 21.7 41.5 12.79 3.49 0.40

2.11 1.21 0.9 60.1 24.7 35.4 14.94 1.14 0.55

2.42 1.54 0.88 115.0 Nil 115.0 NA NA 0.27

NA NA NA 29.6 20.7 8.9 NA NA 0.57

0.70

0.61

0.38

0.88

0.00 0.00 NA

5.7 0.00 NA

14.5 2.7 83.7

20.4 14.2 91.2

Source: Department of Information Technology 2007, Bhatnagar 2007.

reduced or eliminated in two of the projects. The three projects are discussed in detail in Chapters 10 and 11.

3.3 Benefits for Agencies Implementing E-Government Applications E-government can make a significant impact on government finances. Leakage in government revenues can be plugged by making tax collection services efficient (incentive for tax payers

42


to comply), providing tools for improved audit of likely defaulters and evaders and reducing collusion between taxpayers and collection agencies by minimizing opportunities for corruption. Investments in technology and operating costs for delivery of services can be passed on to a private partner who can recover the cost through a service fee. E-government can also help governments in expenditure control in a variety of ways. Transparent and efficient delivery of services connected with economic activity can stimulate production growth by correcting the incentive structure. For example, a fair payment system for procurement of milk and farm produce in rural areas, removal of intermediaries from the procurement process can provide the incentive for increasing investments in productive resources and improving yields (Chakravarty 2000).

Cost Reduction in Service Delivery The motivation to introduce e-government in industrialized countries is to save the high employee cost. The effort of entering data in records is shifted from employees to the users in e-governance applications and it works to the advantage of both parties. Such savings can accrue in the long run when services delivered through portals can be ramped up to cover a large proportion of the population. For example, Singapore’s income tax system has been able to cut manpower costs even in the 20th year of its operation (see Case 10.1). Even in developed countries, where Internet penetration is high, the proportion of citizens using portal for services is low when the applications are launched. In most cases, e-government becomes an additional channel to offer services. Until this proportion reaches a level when there can be some cut back in the number of personnel employed in delivering services through the traditional departmental channel or telephone, there will be little cost reduction. In fact, initially, the costs will rise on account of investments in organizing electronic delivery. In the developed countries, privacy and security issues seem to be holding the citizens back. In the developing countries,


43

the Internet penetration is very low. Even in urban areas, where this is high, there is an overwhelming preference for using service centres (see Case 9.4 on e-Seva). Table 3.5: Percentage growth in tax revenue and transactions Bhoomi Indicator

RTC

Tax revenues

NA

Mutation KAVERI NA

28.7

CARD 24.0

e-Seva AMC NA

44.7

Number of transactions

22.2

87.8

10.6

16.8

87.7

38.0

Source: Bhatnagar 2007.

Perhaps, the most concrete benefit of any computerization is the ability of an agency to cope with growth of transaction volumes. Table 3.5 indicates that yearly growth percent of transactions has been 10–87 percent in the five agencies that were studied. In all these agencies, the manpower remained static. Of course the employee cost in government is affected by broader policies on recruitment and salaries.

Control of Government Expenditure Many countries have implemented Integrated Financial Management Systems (IFMS) (Dorotinsky nd) to track and control payments made out of government treasuries. For example, the Karnataka has connected all its 215 treasuries through a satellite– based network (see Case study 11.2). Every payment is now centrally authenticated to ensure that a budget provision exists for the payment and that it is not exceeded. By reducing the error rate from 12.8 percent to 3.5 percent in processing payments to nearly 20,000 drawing and disbursal officers from all over the state, the system has enhanced productivity, as errors in 9.3 percent of the transactions do not need to be corrected any more. Similarly, for pensioners, 13.8 percent transactions do not need any correction. Of course this benefit to the agency is in addition to the benefit to the users. Experience suggests that it is difficult to implement IFMS as they are complex and need to be

44


comprehensive in their scope to deliver concrete benefits. Inland Revenue Authority of Singapore (IRAS) has been able to save paper costs by continuously encouraging more tax payers to file online (see Case 10.1). Another strategy to control expenditure is to introduce paperless offices in large government departments. Few of these applications have been implemented. The Committed, Accountable, Responsive, Inspiring, Nationalistic and Genuine Government (CARING Gov) project (see Case 11.1) in Andhra Pradesh is an example where the entire state secretariat is being made paperless. The more potent savings through downsizing governments has not yet happened, however, because of the strong resistance from well organized unions of government employees. Some projects in Latin America have reported tremendous savings on rental of office space because of e-government applications. In India, many projects continue to hold paper records (even those which have been digitally archived) because the laws governing archives are not clear and as yet not e-friendly. E-procurement systems are often designed to save total cost of procurement. For example, savings have been reported through reduced advertising requirements, lower prices of procurement through more competition and reduced cost of paper work within procurement agencies and at the supplier end (see Case study 10.2 on e-procurement implementation in Mexico, Chile and South Korea). The government of Andhra Pradesh claims that use of e-procurement has lowered the amount spent on 1,212 projects, amounting to an estimated Rs 28,010 million, by 22 percent (Agarwal 2006). Savings on account of reduced advertising costs were Rs 2.5 million at the end of one year (see Case 10.2).

Collecting Revenues from Service Fee in E-Government Applications With a large push for public–private partnership (PPP) in implementing e-government, it is perceived that additional revenues


45

can be raised to set off investment and operational costs through a transaction fee charged for e-delivery of services. In some applications, this has been possible, but in other cases, a fee may not be acceptable. A fee that would be accepted by users can be charged if the application delivers direct economic value to the user that is significantly more than the fee. The framework discussed in Chapter 8 has to be used to ascertain the monetized value delivered to a user. When a user fee is only a small fraction of the total value of the transaction, people may find it easier to accept. Experience has shown that even rural poor citizens are willing to pay a reasonable fee for a useful service. There are a few examples, such as the Bhoomi project in Karnataka (see Case 9.1) where farmers pay a transaction fee of Rs 15 for receiving a signed copy of land title from an online kiosk. In the first year, 5.5 million farmers have collected the title, forking out nearly Rs 80 million which is half the cost of the entire project.

Growth of Tax Revenue The inefficient collection of taxes in many developing countries has led to the increasing use of ICTs in tax collection agencies. Moreover, corruption in the collection process leads to less money going to the government and a lack of public confidence in the system. Modernizing tax systems through e-government applications has been a priority for many countries. Through online tax filing and processing system, governments aim to reduce corruption and enhance transparency to create more public trust. In 2005, Chile’s tax collection increased by 19 percent to USD 19,981 million, reflecting higher economic growth and an effective e-filing system. Chile’s strategy of focusing the tax auditing on certain areas of higher evasion risk is showing its effectiveness. In the first semester of 2007, a record figure of USD 612.2 million was demanded as additional tax based on detailed scrutiny. Computerized inter-state checkposts in Gujarat, India, have resulted in a growth of 21 percent in the penalty collected on

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account of a 26 percent increase in the number of violations being detected between 2000–01 and 2004–05. In 2004–05, the penalty collected on account of violations of transport norms by commercial vehicles was Rs 2,872 million while paying back the total project cost of Rs 625 million in just one year of operation (see Case 10.4).

Employee’s Perceptions of Impact of E-Government Although it is widely believed that e-government will enhance employee performance because it permits better management and analysis of data, actual measurement of impact on employees is not easily available. A study collected data on perceptions of impact on costs, governance and work on a five-point scale, from 85 supervisors in the five projects in India (Bhatnagar 2007). Most supervisors considered that except for the employee and stationery costs, other costs like establishment and communication costs increased after computerization. None of the costs were perceived to have reduced. There was a strong perception of improvement in all dimensions of governance among supervisors (see Figure 3.2). About two-thirds of all respondents indicated significant positive impact on transparency, corruption and the level of discretion to deny services. Nearly half of the respondents indicated a significant positive impact on accountability, the presence of intermediaries and the effectiveness of the complaint-handling mechanism. There was a positive impact on the quality of information handling. More than two-thirds of the respondents perceived an improvement in the accuracy of data, traceability of transactions and effectiveness of disaster-recovery measures. Supervisors believed that their effectiveness in monitoring subordinates, decision-making and policy formulation had been enhanced. Most supervisors reported that the extent of re-engineering and integration of services was only moderate during the computerization process, yet the impact on achievement of overall organizational goals is perceived as being significantly positive. Somewhat similar results were reported from the tax agency in Chile. Both employees and supervisors rated the new work


47

Figure 3.2: Perception of supervisors about impact on agency (in percentage) 120

Impact on Governance

In Percentage

100 80 60 40 20 0 Transparency

Accountability

Level of corruption

Presence Unnecessary Discretion Effective- Compliance with citizens’ ness of to deny discretion of intercharter services complaint with mediaries handling employees

Role of Supervisors In Percentage

In Percentage

Improvement in Information Handling 120 100 80 60 40 20 0

120 100 80 60 40 20 0

Accuracy Traceability Effective- Effort in of data of transac- ness of generating tions disaster statutory recovery reports Increased Significantly

Increased Marginally

Moni- Decision Effectivetoring of support ness of subordipolicy nates formulation Same

Decreased Marginally

Work- Workload – load – Super- Subordivisors nates

Decreased Significantly

Source: Bhatnagar 2007.

environment as significantly positive, with ratings of most items above four on a five-point scale. For the employees, there are a number of perceived benefits. However, to realize these benefits so that overall organizational performance is positively impacted will require a strong managerial culture. Improved information systems do not automatically translate into better decisions or effective monitoring. Civil servants need to have the incentive to improve performance and the capacity to analyze and profit from new information that is available. They need to be trained to use information for purposes of planning and monitoring.

Conclusion Results from the assessment of many projects indicate that most benefits outlined in Table 3.1 have been realized in some

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project or the other. In fact, for users (citizens and businesses), an e-government project is very likely to reduce the number of visits to offices, waiting period and elapsed time. Case studies discussed in Chapters 9 and 10 indicate that the quality of conceptualization, design and implementation of the project determines the extent of benefits that are actually delivered. Chapter 5 explores these processes in some detail. Chapter 4 discusses the potential impact of e-government on transparency and corruption. Different agencies can hope to realize some benefit or the other in terms of lowering costs, improving quality and improving governance. Often, the least likely cost to be impacted is the employee cost.

4 Impact of E-Government on Transparency and Corruption E-government has been used by a number of public agencies as an enabling tool that can help achieve broader goals of improving governance. Some governments are beginning to link their public sector reform initiatives that pursue both social and economic goals with e-government strategies. E-government cannot be considered a magic bullet that can solve governance problems. When accompanied by the right mix of complementary initiatives in governance reform and tailored to specific institutional contexts, e-government applications have demonstrated meaningful impact on the governance and public sector reform goals given in Table 4.1. Through its pioneering surveys in recent years, the Transparency International (TI) has tried to gauge the extent of corruption in different countries, identify government departments where corruption appears to be most rampant and establish some reasons why it seems to grow (TI 2003). Consequences of administrative corruption are quite severe for developing societies. 1. Largest cost of corruption is borne by the poor. 2. Corruption raises the cost of doing business for small and medium enterprises by 20 percent. 3. Corruption is an irritant to investors and impedes Foreign Direct Investment flows. 4. There is a significant loss of revenue for the government. 5. Corruption creates a disincentive for honest and efficient employees and citizens.

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Unlocking E-Government Potential Table 4.1: Goals of public sector reform through e-governance

Governance reform goals

Measure of achievement of goals

Increasing transparency

• Citizens can access and understand government rules and procedures to obtain a service. • Disclosure of public assets, government budget and procurement of information. • Citizens can access decisions of civil servants. • Proportion of transactions that need a payment of bribe. • Amount of bribes paid directly to civil servants or through agents. • Reduce costs of accessing service. • Improve quality and convenience. • Enhance geographic coverage to reach larger segment of population. • Provide channels for feedback and consultations. • Making governments more accountable. • Reduce the brokerage power of intermediaries.

Reducing administrative corruption

Improving service delivery

Empowerment

Source: Author.

6. Frequent payment of bribes by citizens increases tolerance for corruption; society begins to value wrong attributes. 7. Petty corruption can be organized to collect illicit funds for politicians. 8. Petty corruption opportunities lead to bigger corruption in appointments and transfers. Recent studies on the impact of e-government projects in India have reported a reduction in bribery in some projects, not all. These results seem to suggest that e-government can potentially impact administrative corruption in a significant way. The chapter highlights examples where e-government has delivered concrete benefits by increasing transparency, reducing corruption and empowering people. The necessary conditions that can enhance the realization of benefits are discussed.

Impact of E-Government on Transparency and Corruption

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4.1 Results from a Study of Impact on Corruption This section discusses the results from systematic assessment studies of citizen impact of 36 e-government projects in 12 states, focusing on three services delivered to citizens: issue of copies of land record, registration of property and issue of driver’s licence. The study measured the proportion of users who had to pay bribes to get the service, the amount of bribes paid and the proportion of the user who engaged agents to get the service. The study engaged 11 market research agencies. Each agency was assigned all the three projects in a given state in which they surveyed nearly 800 citizens being serviced by 16 service delivery points for each project. The survey captured the experience of using the manual and computerized modes of delivery for each service. Figure 4.1 charts the proportion of users paying bribes for getting a copy of the land record issued in the manual and computerized modes of delivery. The chart indicates an abysmal state of delivery of services in the existing manual system. Incidence of bribery was very high. In the issue of Record of Rights (RoRs) bribes had to be paid in nine out of the 10 states in the manual system. Even in a simple service such as the issue of a copy of land record mostly required Figure 4.1: Percentage of users paying bribes in different states 100.00 90.00

In Percentage

80.00

MANUAL 38.36

SAVING 13.39

70.00 60.00 50.00 40.00 30.00 20.00 10.00 0 Delhi Gujarat Haryana

HP

Orissa Rajasthan TN Uttarakhand WB

Computerized

Manual

Source: Department of Information Technology 2008.

MP

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by poor farmers, on an average, Rs 50 had to be paid as a bribe by as many as 80 percent of the farmers in some states. After computerized delivery, the percentage of users paying bribes declined from an average of 38 percent to 25 percent over the 10 states. It is noteworthy that in five states there is a significant reduction in bribes. In the transport and property registration also the users needed to pay frequent bribes (20 to 50 percent of all transactions) to get services. However, computerization did not reduce bribery by any significant margin. A peculiar feature of these two services was the presence of agents. Nearly 50–55 percent of all transactions in the case of transport and property registration in all states were done through agents. Although the outcome in reducing corruption is mixed, egovernment seems to have the potential for significant reduction in corruption, as indicated by the fact that the need for bribes in the issue of RoRs has either been eliminated or significantly reduced in five states after computerization. Another study, carried out in 2006 which covered eight agencies (G2C and G2B) in three states of India, corroborates the results from the quoted study. The impact on proportion paying bribes was not uniform across projects, but in some projects, the reduction was significant (see Table 4.2). At least in three different projects—land record computerization in Karnataka (Karnataka was not covered in the study quoted in Figure 4.1), e-procurement in Andhra Pradesh (AP) and payment to pensioners by treasuries in Karnataka—bribes have virtually been eliminated. Since bribery has been impacted in a number of projects, it is worthwhile to explore the ways in which e-government applications can be designed to impact administrative corruption.

4.2 Improvement in Transparency through E-Government Two major factors that contribute to the growth of corruption are the low probability of discovery and perceived immunity against prosecution. Secrecy in government, restrictions on access


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Table 4.2: Proportion paying bribes: a comparison of manual and computerized delivery Proportion paying bribes (%) Project Issue of RoR, Karnataka Mutation of land record, Karnataka Property registration, Karnataka Online treasury, Karnataka—DDO Online Treasury, Karnataka—Payee Property registration, AP e-procurement, AP Multiple services—e-Seva, AP Ahmedabad Municipal Corporation Inter-state checkposts, Gujarat

Reduction after Manual Computerised computerization 29.7 33.8

0.8 0.7

28.9 33.1

34.3 0.0

21.6 0.0

12.7 0.0

5.7

0.0

5.7

28.0 14.5 0.4 3.4

23.7 2.7 0.0 0.8

5.0 11.8 0.4 2.6

20.4

14.2

6.2

Source: Compiled from Department of Information Technology 2007.

to information by citizens and the media, ill defined/complex and excessive rules and procedures and regulations can all lead to a low chance of discovery. A lack of transparency in the functioning of the government agencies can make it easy for the perpetrators to cover their tracks and unearthing corruption becomes very difficult. The weak character of institutions, which are supposed to investigate charges of corruption and prosecute the guilty as well as an inefficient or corrupt judiciary, further exacerbates the problem of corruption and facilitates immunity against prosecution. Moreover, lack of transparency induces the users of services to offer bribes in the hope of being able to manipulate the system in their favour. Other users find it difficult to deal with government systems that are ambiguous and complex, preferring instead to use agents to get their work done. Just the mere presence of agents can create a market for bribes.

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A few applications have demonstrated that e-government can serve as one of the key tools to fight against corruption by opening up government processes and enabling greater public access to information (Bhatnagar 2003). E-government systems can lead to greater transparency resulting in reduced administrative corruption.1 If the right procedures are in place, e-government can make financial or administrative transactions traceable and open to challenge by citizens. Those responsible for particular decisions or activities can be readily identified. By providing enhanced accounting, monitoring and auditing systems, e-government applications can ensure that public finances are fully open to senior managerial and external scrutiny. As the possibility of exposure of wrong doing gets enhanced, the fear of consequent embarrassment can be a deterrent to corrupt practices. There is an implicit hierarchy and sequentiality of objectives on which e-government applications must focus to reduce corruption. Increasing access to information, presenting the information in a manner that leads to transparency of rules and their application in specific decisions and increasing accountability by building the ability to trace decisions/actions to individual civil servants represent the successive stages in the hierarchy. All these objectives in tandem can curb corruption significantly and ignoring some of them can defeat the whole purpose. For example, numerous websites created by government departments are ineffective because they tend to focus on the single objective of providing electronic access to information. Not enough effort is made to ensure that transparency and accountability are increased.2 Table 4.3 presents the type of information where greater transparency can be enabled through e-government applications, Administrative corruption refers to the intentional distortion of prescribed implementation of existing laws, procedures and regulations to provide an unfair advantage to an individual or a firm in return of an illicit private gain to a public official (World Bank 2000). 2 Katherine Reilly (Reilly 2001) quotes an OECD (1998) study which reported ‘…many homepages have been mounted less for reasons of information and education than for reasons of prestige—to show that the government or department in question is ‘WITH IT’ and not lagging others in the new digital world’. A September 2001 article in the Costa Rican newspaper El Financiero stated that while some innovative online government services are emerging, most Central American government websites are brochures with static information. 1


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Table 4.3: Transparency of information through e-government applications Type of information being made transparent. Rules and procedures governing services, public officials responsible for different tasks, citizen’s charter, enhancing citizen’s exposure.

Information about decisions and actions of government functionaries: outcome and process, for example, award of contracts and licence, allocation of resources. Data about individual entities in government records such as land records, comments on application for licence, bill of entry for goods, status of tax payments. Information on performance of economy: statistical employment, income, trade, etc. Performance indicator for government departments. Names of citizens with large outstanding loans, taxes; civil servants under investigation or convicted, index of corruption, performance of investigating agencies. Disclosure of assets, income, profile of election candidates, elected representatives, ministers and civil servants.

Resulting benefits.

Illustrations of e-government applications. Leads to standardized Websites of procedures for delivery government of service. Citizens can departments in resist attempts to delay many countries. processing. Reduces arbitrariness, for example, demand for additional documents. Exposure of corruption E-procurement in and improved Chile, Philippines accountability. (see Case 10.2).

Exposure of manipulation for exchange of bribe and corruption.

Civic engagement in governance. Greater accountability.

Bhoomi, online land records in Karnataka (Case 9.1), OPEN in Seoul and Korea (see Box 4.6). CRISTAL-Budget disclosure in Argentina (see Box 4.1).

A kind of punishment for the corrupt through public exposure.

Central Vigilance Commissioner Website, India (see Box 4.7).

Creates disincentive for corruption by creating fear of exposure.

Centre for Responsive Politics, USA (see Box 4.2), Public Affairs Council, India.3

Source: Author. (CARD). For more details of the project see the case study at (World Bank 2002). 3

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which in turn can create disincentives for corrupt officials and businesses by increasing the chances of exposure. As indicated in Table 4.3, publication of budgetary allocations and expenditure on the web, systems for tracking status of applications for a variety of licences, sharing citizen’s charter and performance data on the web are all known to increase accountability. CRISTAL is one of the early examples of building transparent government in one of the South American countries. Not all efforts at publishing data have been successful. Increasing availability of information on the Internet does not mean Box 4.1: CRISTAL website, Argentina The CRISTAL government website was launched in early 2000 to fulfil the mandate of the September 1999 Fiscal Responsibility Law, which required that the Argentine state make available to its citizens information related to the administration of public funds. The website disseminates information on the use of public funds in Argentina in an easily understandable format, which enables the citizens to exercise a more effective control over their political representatives. The information is on the execution of budgets to the lowest level of disaggregation, purchase orders and public contracts, payment orders submitted to the National Treasury, financial and employment data on permanent and contracted staff and those working for projects financed by multilateral organizations, an account of the public debt, inventory of plant and equipment and financial investments, outstanding tax and customs obligations of Argentine companies and individuals and regulations governing the provision of public services. The website is currently organized into three thematic areas: ‘The State within Reach of All’, which explains how public monies are redistributed between the national government and provinces, ‘Goals and Results’, which gathers information on all national policies to evaluate their management and the manner in which public funds are allocated and ‘Accountability and Representatives’, which gathers information related to the fight against corruption, both in government and in non-governmental sectors. Tutorials explain each of the themes in a clear and easy-to-grasp fashion. Users can also interact with website staff and feedback is provided within 24 hours. To further strengthen the transparency, CRISTAL itself is externally audited by Foro Transparencia, a coalition made up of 15 non-governmental organizations concerned with government transparency. This initiative is proving significant as it seeks to improve governmental transparency, and many agencies have actually started to improve their data gathering practices in response to CRISTAL’s requests. Source: (World Bank 2000).


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that citizens will automatically use the information to demand greater accountability. The proportion of citizens who are willing to be constantly engaged in the process of governance is very small. Conscious efforts are required to drive citizens to the portal through advertising campaigns and education. Intermediaries that can analyze such information and highlight exceptional conditions which deserve citizens’ attention are needed. Even in a country like the US, which is a well developed democracy, such agencies are needed and are indeed present (see Box 4.2). Traditional media can also play this role. As an alert watch dog, media needs to highlight such information and generate Box 4.2: Centre for responsive politics, USA The centre’s website, interestingly called ‘OpenSecrets.org’, illustrates the constructive role of intermediaries in presenting information to citizens in a format that makes it actionable. The website provides a comprehensive review of finances received by political parties from lobbyists and campaign contributors and examines its impact on the American public policy. The analysis is based on data, that is, in the public domain, but not in a form that illuminates any corrupt practice. The site provides timely analysis of voting patterns in the Congress and the amount of money donated by the interest groups. For example, in an ongoing debate on a bill that provides immunity to telecom companies facing lawsuits for monitoring US residents’ phone calls, it was observed that 68 senators who, on an average, got more funding from telecom companies voted in favour of the bill compared to the 29 senators who got nominal funds from the telecom companies. Source: Compiled by author.

widespread debate around significant issues of public concern. The web is a new medium for the traditional media reporters. Through workshops and seminars, they need to be made aware of the detailed information made available on the web. E-government can lead to transparency provided that the legal framework supports free access to information. Until a few years ago, most countries still had strict national secrecy laws. These have been repealed in favour of Freedom of Information Laws in the US and much of Europe, but only after decades of lawsuits. Secrecy laws are still in effect in much of the developing countries. While increasing citizens’ access to information,

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the governments must also address risks to privacy and security. India offers an excellent example of such a law that has already made some impact. The Right to Information (RTI) Act in India came into effect on 13 October 2005 and applies to all public authorities in India (see Box 4.3). Many NGOs help the citizens to use the RTI to expose corruption in public spending.4 Box 4.3: Right to Information Act According to this Act, a citizen can request for information by filing an application and paying the prescribed fees with the public authority. The RTI Act gives citizens the right to (a) inspect works, documents, records (b) take notes, extracts or certified copies of documents or records (c) take certified samples of material and (d) obtain information in form of printouts, diskettes, floppies, tapes, video cassettes or in any other electronic mode or through printouts of information related to public. There are exemptions applied in 11 cases covered under Section 8 of the Act—national interest, privacy of third party and commercial secrets are few of them. As per the Act, every public authority must appoint a Public Information Officer (PIO) to provide information requested under the Act. The applications are submitted to PIOs in person or through post and it is the responsibility of the PIO to collect information from relevant departments and officers. The law mandates that PIO must, in any case, reply to the request within 30 days of receiving the application. A PIO cannot refuse to accept an application under any circumstances. If an application is not accepted, the applicant can approach the Central/State Information Commission to file a complaint. In case the answer given by the PIO is not satisfactory, the applicant can then appeal with first appellate authority appointed by the government agency. The Central/State Information Commission/s (CIC/SIC) are also established to ensure the proper implementation of the RTI Act. CIC/SICs are in charge of ensuring that public authorities abide by the provisions of the Act. Applicants can also file complaints related to the Act with information commissions. The decisions of these complaints are published on CIC website for reference. State Information Commissions have similar responsibilities as CIC, only that the SICs are state specific. Source: Compiled by author. For example, an NGO, Parivartan, has brought accountability in local government in Delhi by seeking information on expenditure on roads in housing colonies. In a number of cases, no roads were constructed but payments were shown in the books. 4


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In addition to making rules simple and more transparent, e-government should explicitly empower citizens to question the rules. Citizens and businesses should feel emboldened to question unreasonable rules and procedures and their arbitrary applications (Rose 2002). Experience from some projects has shown that the objective of transparency can be enhanced through the following means: 1. Publishing on the web: a citizen’s charter stating clearly the service level that a citizen can expect in transacting with the government, actual performance in the past on the parameters that measure service levels and details of how governments spend money. 2. A mechanism to receive feedback from citizens on the quality of service offered (see Box 4.4). Box 4.4: Online grievance redressal, Mumbai Municipal Corporation The online grievance redressal system developed by the Greater Mumbai Municipal Corporation (BMC) and the NGO, Praja (http://www.praja. org/), allows users to file their complaints online, receive a tracking number and check on the status of a complaint at any time. Complaints are sent first to a complaints officer. If this person fails to resolve the problem within a stipulated time-frame (three days at most), the complaint automatically escalates to a higher office and finally to an Additional Municipal Commissioner. Praja and BMC follow up on unresolved issues. Over 400 people file complaints daily—one can also do so in person in which case the data is entered into the same system. Funding for the system was provided by some private trusts. The role of the NGO is critical in this process. Source: Compiled by author.

Transparency is not just a valid objective in G2C and G2B services. Even while dealing with other government agencies and with government employees, transparency can lead to a significant impact on corruption. In countries like India, transfers of the government employees in departments that employ tens of thousands of employees is a corruption industry. Karnataka’s experience in making rules of transfer simple and transparent and building a simple e-government application to process transfer requests produced a very significant impact (see Box 4.5).

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Box 4.5: Teachers’ transfers in Karnataka, India The Department of Public Instruction in Karnataka has introduced a new system of processing 15,000 requests received every year for a transfer to a place of their choice from teachers working in government schools. The process of handling these requests is riddled with corruption and nepotism. In the manual system, every teacher seeking a transfer would submit an application to the administrative controlling authority, the state level authority and also forward another application through politicians known to the person. Often, action was initiated at different points, resulting in multiple transfer orders. Guidelines for processing transfers were not outlined. District authorities were unable to keep track of the vacant posts in the district as transfer orders were issued at various levels. Exodus of teachers from backward districts created serious manpower crisis in schools. The need-based distribution of manpower within the district was also disturbed. The system also gave room for a lot of human interference, corruption and harassment for the hapless teachers. The teacher transfer process was streamlined in 2001 by automating the entire process. Under this system, the transfer requests were prioritized based on the ‘reasons’ cited for a transfer. After long deliberations with teachers and officers at various levels, the priority for each reason was determined. Applicants with reasons such as ‘terminally ill’, ‘suffering from serious illness’, ‘physically handicapped’, ‘spouse in government service’, ‘verge of retirement’ and ‘working in the same place for more than seven years’ were prioritized in that order. All transfer aspirants were instructed to apply to the concerned district authority in a pre-defined format. A computer generated list containing the names of the transfer aspirants along with their ranking (decided based on the reason for transfer) was published on the notice board of the department and objections if any were invited. By doing so, the whole method became very transparent. During the counselling, the teachers were called in the order of priority and were allowed to select the place of posting from among the vacant teacher posts in the database. Once the selection was made, a transfer order was printed and handed over to the teacher and his/her current place of posting was released in the database. Since the vacancy positions were announced in advance, the teachers could make a decision on the place of posting prior to the counselling session. The entire counselling session, including the printing of the transfer order, took around 2–5 minutes. This enabled the counselling of 75–100 teachers on a daily basis. After every session, a list of new posting and another list containing vacant positions are published. Source: Write-up provided by Lakshmisa S., Senior System Analyst, National Informatics Centre Education Unit, Government of Karnataka, India.


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4.3 Dealing with Corruption through E-Government E-government can be used to combat corruption in two ways. First, e-government can become one of the key components of a broader anti-corruption strategy as is demonstrated by the OPEN system installed in the Seoul Municipality in Korea (see Box 4.6). The OPEN system of Seoul Municipality exemplifies the impact on corruption of making transparent the decisionmaking processes and actions of individual civil servants. Extensive municipal regulations, spurred by the expansion of the municipal bureaucracy, had created new opportunities for corruption. In 1998, the Mayor of the city declared an all-out war on corruption through preventive and punitive measures, increased transparency in administration and enhanced public–private partnership. Some other measures introduced prior to computerization included simplifying regulations and actively involving citizens in various anti-corruption activities. Citizens could track the processing of an application for service (those that are not delivered across the counter) thus increasing transparency. Supervisors can also track unusual behaviour. Second, service delivery improvement initiatives can be implemented in corrupt departments, specifically targeting transparency and reduced corruption as objectives. The very process of building an online delivery system requires that rules and procedures are standardized across regions and made explicit (amenable for computer coding). This reduces the discretion and opportunity for arbitrary action available to the civil servants in dealing with every applicant on a case by case basis. E-government can be used as an entry point for simplification of rules and reengineering processes. E-government can lead to centralization of data which can be used for improving audit and analysis. Unbiased sampling procedures can be applied for audit purposes. Integration of data across applications can provide improved intelligence. Not all e-government applications have profited from such integration, as the technical challenges in integrating data are considerable (see Customs Computerization in India, Case 10.3).

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Box 4.6: OPEN system [Seoul Municipality, South Korea (OPEN)] A portal called OPEN—Online Procedures Enhancement for Civil Applications—was a key element in this fight. The portal explains to users the elements of the anti-corruption drive, displays an anti-corruption index (compares five services that are most susceptible to corruption), educates citizens on rules and procedures and enables real-time monitoring of progress of an application for a permit or licence. The system enables online tracking of individual applications for a variety of municipal licences. It makes completely open and transparent those administrative practices that were vulnerable to corruption. In the first 13 months of the OPEN system, civil applications published by each city department totalled 28,000 and the number of visits to the OPEN site reached two million by the end of year 2000 (Kang 2000). The OPEN system has been evaluated in different ways. Results from a survey of 1,245 citizens showed that 84.3 percent believed that OPEN led to greater transparency. Other surveys conducted by the local chapter of Transparency International in 2000 and 2001 indicate a growing interest but a marginal decline in user satisfaction over time (Transparency International Korea 2001).5 There was little change in the perceived benefits of ‘reduced time’ or ‘easy access’. However, the percentage of respondents identifying ‘greater transparency’ (25.1 percent in 2000) and ‘prevention of corruption’ (9.3 percent in 2000) as benefits did go down over this timeperiod by 3.3 and 1.4 percent respectively. The focus of the anti-corruption programme was not on IT but on simplification of regulations and procedures, re-engineering of work practices, transparency in procedures and effective communication with the citizens. The learning emerges that in order for anti-corruption efforts to be effective, reformers must look beyond individual instances of corrupt behaviour and focus on the structural factors that allow corruption to develop. Two factors contributed to the success in implementation. First, there was strong leadership provided by the Mayor. Second, there was widespread citizens’ participation. Source: OPEN: Seoul’s Anticorruption Project. Available online at http:// www1.worldbank.org/publicsector/egov/seoulcs.htm The percentage of respondents (from a random sample of 1000 people) familiar with OPEN grew by 19 percentage points to 74 percent. Nearly 90 percent intend to use (up by 20 percent) OPEN in future, while actual users grew to 16 percent of respondents (up by 5 percentage points). The proportion of satisfied users declined from 56 percent to 48 percent and the proportion of dissatisfied users grew marginally to 9 percent. 5


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By providing an alternative to a departmental channel for service delivery, e-government introduces competition which improves service levels and lowers corruption. Publishing government information on the web builds accountability by providing documentation to citizens to substantiate their complaints against corrupt practices. Corruption often reflects the power distance between the civil servants and the citizens, particularly in case of poor, illiterate and ignorant citizens in remote areas. Demand for a bribe even when no favour is involved cannot be easily refused (as in the case of truckers without overload in the border checkpost case). It is important to supervise and monitor the performance of newly installed e-government systems until the norms of higher levels of service get ingrained in the civil servants. Much of the evidence linking e-government with reduction in corruption is anecdotal. Only in a couple of cases has the impact on corruption of e-government applications been audited independently (PAC 2000). Systematic surveys of citizens and other stakeholders can help establish the linkage more clearly and will also provide invaluable feedback on the parts of the system that need improvements. There is some evidence that use of ICT in the government can also enhance opportunities for corruption (Heeks 1998). Several case studies on e-government applications from developing countries report varying impact on reducing corruption.6 Amongst the cases included in this book, Bhoomi (see Case 9.1) demonstrates a significant impact on corruption, whereas in computerized interstate checkposts in Gujarat (see Case 10.4) and CARD in AP (see Case 9.2), corruption continued unabated after implementation. The example of Central Vigilance Commission website (see Box 4.7) describes a brave attempt to strengthen the institutions that are supposed to check corruption and stigmatize senior civil servants who were being investigated for corrupt practices. For example, the cases on Beijing’s Business e-park, Philippine customs reform, OPEN system in Seoul Municipality report less corruption as one of the benefits. 6

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Box 4.7: Central Vigilance Commission In an effort to propagate the idea of zero tolerance for corruption, the Central Vigilance Commission (CVC) in India began to share a large amount of information related to corruption through its website in January 2000. The CVC website communicates with the general public by providing details on convictions of public servants by the courts and penalty imposed on officers. Monthly reports are published with names of the officers, designation and penalty imposed and also reveals the number of complaints received against individual government agencies. The statistical reporting of the achievements of the commission is available through the annual report. The website also gives details on how to file a complaint against specific officers. The commission then scrutinizes the information so received and if the information is considered sufficient for carrying out detailed investigations, the CBI (Central Bureau of Investigation) or the Income Tax authorities would be advised accordingly. The commission clearly states that it does not entertain anonymous or pseudonymous complaints. However, the identity of the complainant can be protected if he/she so desires. Both print media and radio have been able to transmit the content of the CVC website throughout the country. Thus, the site has had a much bigger impact than what could be expected based on India’s computer density alone. Source: Author.

Many governments have chosen to go online in departments such as customs, income tax, sales tax and property tax which have a large interface with citizens or businesses and are perceived to be more corrupt. In Philippines and Indian customs, face-to-face contact of inspectors and cargo agents was removed by introducing electronic submission. Procurement by the government is also seen to be an area where corruption thrives and some states/countries have been able to lower corruption through e-procurement (Case 10.2). Although these examples indicate the potential of e-government in impacting corruption, it would be fair to conclude that overall exploitation of this potential has been quite limited. Many applications have been able to build an efficient (less time to transact) service delivery system but only a few have succeeded in tackling corruption. E-government needs to be seen as one of


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the many tools to combat corruption and should be implemented as part of a wider programme for tackling corruption. Benefits from e-government such as reduction of corruption opportunities are often incidental and not part of the design objectives. To extract maximal benefit from such applications, some features that can lead to greater transparency and accountability needs to be consciously built in the design objectives (Gopakumar 2001). By reducing administrative corruption in service delivery, e-government can reduce the tolerance of corruption amongst citizens who would no longer be required to compromise their honesty by paying a bribe to public officials. In addition, a massive societal education effort is required to reinforce fundamental values like honesty.

5 Guidelines for Implementing Projects Successfully This chapter explains the various tasks that need to be done during the life of a project. Success of a project in terms of its sustained use and the benefits that it delivers depend on how well the tasks in each of these phases are executed.

5.1 Life Cycle of an E-Government Project An e-government project, like any other Information Technology (IT) application, has a life cycle from its conceptualization to the point where it is replaced by a new system. The life cycle can be described as consisting of six phases as given in Figure 5.1. The first three phases correspond to the ‘development’ of an application and the last three phases define its ‘implementation’. There are a large number of stakeholders who actively contribute to the execution of different tasks over the life cycle of a project or are in turn impacted by the application. For example, the head Figure 5.1: E-government project life cycle Conceptualization

Analysis and design

Construction

Enhancements

Evaluation

Piloting and rollout

Source: Author.

Guidelines for Implementing Projects Successfully

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of an agency (political and/or administrative level) or a senior functionary may be considered as the owner of a proposed system and will usually be involved in the conceptualization process. The task of conceptualization may be managed by a designated project champion and will usually involve consultations with other stakeholder groups such as system users (agency employees) and clients of the system (citizens and businesses). Professionals who design the solution may be known by various names depending on the complexity of the application. A solution architect may be involved when a large basket of services from many different agencies is delivered through a unified portal. Delivery through a portal means accessing services through the Internet that brings in issues of authentication of clients, design of interface, providing access to data from different data bases managed by different agencies using different structures and software, security of such data and the management of workflow across agencies. For a single agency assisting online application, a system designer may translate the conceptualization into a technical solution-designing database on servers, input/output screens on client nodes and networks that connect various elements together. In designing the systems, various types of standards may be specified. Actual solution development is done by software engineers. Each stage in the life cycle is explained briefly.

Conceptualizing a Project The project conceptualization phase defines the overall vision, mission and objectives of the project, the outcomes to be achieved and the scope and scale of the project. The objective is defined in the context of the overall political and governance agenda of the government. The outcomes are defined as measurable benefits to be delivered to different stakeholders. In Chapter 2, some of the objectives that e-government applications aim for were identified and in Chapters 3 and 4, the several benefits that a project may deliver were discussed. The scope is defined in terms of the basket of services, the delivery channels and how the existing delivery processes for these services will

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be modified with electronic support to realize the objective and outcome of the project. The scope, therefore, defines the ‘to be’ functionality of the proposed application. The scale is defined in terms of geographic reach. Often, the final grand vision of the ‘to-be-state’ is conceptualized, but the project implementation could be done in stages to realize the grand vision. Documented output of the conceptualization phase can be a Detailed Project Report (DPR). The DPR also includes an estimate of the cost of investments and operations needed to roll out the application.

Analysis and Design The conceptualization phase specifies the outcomes to be achieved by the proposed application, recognizes the need for reforming current processes but does not detail the new processes to a level that an ICT solution can be developed. So, one of the tasks in analysis is to document the existing processes, analyze them to understand the process reforms that need to be carried out to achieve the proposed outcomes. In existing service delivery mechanism, many redundant, non value-adding processes may have crept in. The business processes need to be reviewed and rationalized or eliminated. Some new processes may have to be added to ensure that desired outcomes are achieved. This exercise of adding and deleting processes is termed as re-engineering and is an extremely important part of the analysis and design phase. The new way of delivering the service also needs to be documented in a form that an ICT solution can be architected, designed and developed. Data flow diagram is one of the ways of documenting the to-be business process. A data flow diagram for a business process is an associated set of processes, inputs to the processes, outputs from the processes and data storage from which the process will read/write data. A process is defined as a set of actions performed by individuals or automated systems in accordance with pre-defined procedure, rules or logic. In delivering a service (that is, executing a business process), a number of processes may have to be executed


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in a pre-defined logic. A process needs to be defined in its most elemental form as a basic process may be similar across delivery of many different types of services. Therefore, once the processes are coded as software, these could presumably be used whenever required. A library of commonly used processes could be maintained. There are other approaches to documentation such as Object Oriented Analysis (OOA) which may be directly useful for designing databases and software modules to computerize a business process.1 With further evolution in the object oriented methods, UML diagrams are becoming a standard way of documentation.2 These techniques are not presented in this book, as they are technical in nature and are discussed in detail in several books on the topic (Dennis et al. 2006). A formal document produced in the analysis and design phase is a Requirement Definition Report (RDR). It is an outlined text report, specifying both functional (covering different services and steps in the service) and non-functional (operational, performance, security, political and legal) requirements understood from a public administration and technology point of view. An important function of the RDR is to define the project scope and user expectations. It serves as a base document for others to do further work on the project and a reference for resolving any disputes that may arise when different partners coordinate their work on the project. Objects are entities (things, persons, place and events) of interest to the application. Each object may have several instances (passport application and its instance as an application from a specific individual). Objects and instances have properties that are similar to data about such entities. The OOA pictorial depiction models behaviour of objects as how properties are modified. 2 UML or Unified Modelling Language is a general-purpose modelling language that includes a graphical notation used to create an abstracted model of a system, referred to as a UML model. Concepts from many other ObjectOriented (OO) methods were loosely integrated with UML so that it could support all OO methods. UML follows a universally specified standard for object modelling and is not restricted to modelling software, but is also used for business process modelling, systems engineering modelling and representing organizational structures. 1

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The task performed by a solution architect and a system designer was described in a simplistic manner earlier in this chapter. Taking a technology view, the solution architecture has evolved from main frame, to client server, to 3-tier, to an n-tier architecture. The effort is to define a logical view of different components of the system so that these can become independent of the hardware/software platforms that are used to build them. Such architecture is exemplified in the case study on e-Seva (Case 9.4). Figure 9.1 in the e-Seva case study describes an n-tier architecture. Even non-technical users can understand that key components have been identified and separated and the communication between these components defined in a logical manner. It is easy to see why e-Seva was able to add services, add access devices with minimal effort as it expanded in its functionality and geographical scope. There was no dislocation of what was already working. The basic design (database design, sizing of hardware and adherence to standards) needs to ensure that technical performance of the application in terms of response rates to access requests and processing times is within limits that will enable services to be delivered within specified outcomes. The use of an e-government architecture enables scalability and flexibility.

Construction Construction is the phase of actual development of the application software which can either be built in-house or outsourced. There are issues of whether to use propriety software or Open Source/Free Software. Also, standards to be followed in the process of development need to be specified. Open Source Software is a software where source code is available; the software can be freely distributed (to different locations), can be used without a restriction but the integrity of the author’s software must be protected. Free Software, on the other hand, can be modified, improved, used in any way and redistributed. Open Standards are technology specifications that are developed collaboratively, followed universally and address common requirements


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and goals. By design, products and services that follow open standards are available from many vendors. For the user, this means lower prices because of competition, independence from vendors, flexibility in changing vendors, mixing products from different vendors and inter operability. Most administrators will not be equipped with adequate technical knowledge to make such decisions. Expert advice should be sought from wherever it is available.

Piloting and Rollout A pilot implementation in a few selected locations can provide very useful feedback for a full scale rollout. It provides an opportunity for a thorough debugging of the application. Potential problems that are beyond the control of the project team can surface enabling project managers to be better prepared to handle the problems in a full scale rollout. Problems due to scope, delivery model and design can be corrected. A realistic estimate of the effort needed to implement and support a full scale rollout can be made. Pilot locations need to cover different geographies to capture the variability in conditions that may later give rise to various problems. One of the decisions in the full scale implementation is the phasing of the rollout. These are tactical decision based on the resources available at the command of the project leader. One of the decision issues in implementation is how the process of change from the old to the new system should be managed. Many different paths can be followed in the change over.

Parallel Running The old and the new system run in parallel providing users the option to use any system. When the old system consists of delivery at departmental counters and the new system is delivery through a portal, the approach is useful as it provides time for users to become familiar and trained with the new system. In case Internet penetration is low and public access points do not cover

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the entire population, this approach is useful. The use of the new system ramps up gradually and at some stage the old system can be discontinued.

Total and Immediate Switch When manual systems are replaced by computerized systems, the method is favoured because consistency of the databases can be maintained. If the application has a wide geographical scope (example of many offices being computerized for delivery services at different locations), the switch can be made gradual in stages. There are many important tasks that need to be planned for whatever form of delivery model is chosen. Some of these elements are procurement and installation of new hardware and software, creation of databases from legacy data, training of front line operators, training of users, putting a maintenance contract in place, redesign of office spaces and management of change.

Evaluation and Enhancements An evaluation exercise can be useful at different stages in the life cycle of a project. An ex-ante economic analysis is normally done initially while preparing a DPR based on the somewhat gross estimates available at the project conceptualization stage. The analysis is useful in deciding whether the project should be taken up for further detailed design and implementation. After the project has been completely designed, the estimates of costs and improvements should be recalculated. Decision on redesign of the project to enhance value or lower investments and operating costs can be taken if the recalculated costs and benefit are significantly different from the initial estimates. The project could also be dropped at this stage if such a redesign was not possible. The impact of the project needs to be assessed after its implementation and use to determine whether the estimated benefits are being indeed delivered. Projects can be continuously enhanced, particularly when the implementation is in phases. Chapter 6


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provides a framework for evaluation at different stages of the life cycle. Many successful applications demonstrate that it is important to identify measurable benefits. Post-implementation audit of benefits, particularly feedback from clients, allows for improvements that add value and expand the client base. To ensure that projects have been evaluated adequately, independent auditing and evaluating has been cited as a best practice. Often systematic methods are not used to accurately measure the success or failure of an e-government project. Success is often judged on the basis of media reports, recognition by international agencies and assessment provided by the project implementers. In all of these cases, clients that are supposed to benefit from these projects supply no feedback. If feedback is recorded, it is usually anecdotal and not based on a systematic survey. It is important that e-government projects have an in-built component of periodic assessment by an independent agency. An evaluation methodology is discussed in Chapter 8.

Project Management An e-government project is an endeavour consisting of several inter-related activities/tasks, some of which can be done simultaneously if resources are available and many of which need to be performed in some pre-defined sequence. Normally, details get progressively elaborated as the time to perform approaches. Often, execution of tasks and activities need to be revisited as execution does not come right the first time. If several agencies are involved in execution, the problems get compounded because of a lack of clarity on what is an acceptable level of execution. IT projects typically undergo the risks of time overrun because of creeping scope (users keep redefining the scope of work); some activities creating bottlenecks as subsequent activities are held up waiting for the completion of these activities. Cost over-run will result because of time over-runs and unplanned use of resources. Just like in any other IT application development project, project management is critical to successful execution of an e-government

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application, more so because government officers at senior levels who initiate e-government projects often lack a reasonable understanding of the process of development and implementation of IT projects. In addition to time and cost, quality and risks have also to be managed. Many tasks that need to be done in preparation of the rollout are the ones in which administrators need to get involved. Some valuable lessons have emerged through the documentation of a number of case studies of e-government implementation (some are presented in the last part of the book), a few impact assessment studies and numerous seminars that have been held to discuss e-government. These lessons are presented in the context of various stages in the life cycle of an e-government project.

5.2 Conceptualizing Project Definition and Scope: Starting Small One of the key factors is an appropriate definition of the scope of the project. Scope, in terms of basket of service and the new modes of delivery, would determine the benefits and value that users would realize from implementation, the investments and operating costs that are likely to be incurred and the degree of risk for implementing the project successfully. Given the versatile nature of information technology and the poor state of manual delivery in many agencies, there is a tendency to become very comprehensive and ambitious in defining the scope. Making the scope of a project very ambitious from the beginning increases the risk of failure in implementation. Often, a large-scope project involves a very large number of stakeholders who are affected by the application. Managing such largescale change proves to be difficult. For example, the success of many projects in land record computerization (see Case 9.1 on Bhoomi) can be traced to the fact that initial scope was limited to the issue of Record of Rights (RoR). Mutation, which is a more complex process, has been computerized in just five states of India. The fact is that even the issue of RoR touches the life of millions of farmers and delivers significant benefits as indicated


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in Chapters 3 and 4. More complex scope can be taken up in subsequent phase of implementation. For example, Andhra Pradesh, after 10 years of computerized RoRs, is now attempting to implement a pilot in two districts which integrates the functioning of three related agencies—revenue department where land records are maintained, survey department where maps of land parcels are maintained and registration department where deeds of sale/ purchase of land are registered and maintained (NISG 2008). A grand long-term vision (over 10 years) may be created at the beginning that lays out the path to an eventual evaluation (5th stage in Figure 5.1) of implementation but the beginning should be small enough to be manageable. In fact, many consultants advise to think big, start small and scale up quickly. It is not necessary that all the steps in the delivery of a service should be handled electronically. Handling a few critical components electronically can derive significant benefits. For example, in Chile, the e-procurement system announces the requirements of the government on a website, but handles the bids in a manual mode. Registered suppliers for the needed product/service are sent an e-mail to broaden the choice of suppliers. Once the bids have been processed manually, the results are announced on a website. Significant costs have been saved in Chile because of expanded supplier choice. In addition, the whole process of selection of suppliers has been made more transparent. Yet, the core process of bidding continues to be manual (see Case 10.2). In environments where ICT infrastructure is non-existent, departments may choose to aim for partial instead of complete electronic delivery.3 In other examples (e–Seva case study), payments are handled in the conventional manner. In most cases in India, submission of supporting documents is not electronic as the infrastructure for the issue of digital certificate has not been created and users do not have access to equipments to convert their documents into an electronic form or to upload the For example, the FRIENDS project implemented in Kerala computerized the delivery at the front-end much before the connectivity with back-end databases was established (Madon and Kiran 2002). 3

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documents for electronic delivery. The extent of automation is also determined by the need to reduce the discretion available to civil servants in processing transactions. Complete automation can reduce the gate-keeper role that many officers play in the manual systems. It can also prevent arbitrary action of delaying service to some customers or expediting services to others who pay speed money. The benefits delivered from such hybrid applications (manual and electronic) can be substantial compared to traditional methods of service delivery. Benefits of moving from these hybrid solutions to a fully automated self-service mode may not be commensurate with the additional investments that are needed. There are many examples where some components of an electronic service delivery continue to be handled manually. Yet, in all these examples, significant benefits have been delivered to the users in terms of reduced time and corruption.

Carrying Out Economic Analysis Specifying Concrete Benefits for Different Stakeholders It is very important for the projects to focus on measurable goals in terms of the specific benefits that would be delivered to citizens, businesses or government employees depending on the service being taken up for electronic delivery. Potential benefits and possible benchmarks (cost of access, improvement in quality of service and governance), that could be targeted on the basis of evaluation of 40 projects, were discussed in Chapters 3 and 4. All benefits may not result from every application. However, unless the benefits are identified and targeted, the process reform and the delivery modes that are needed will not become apparent and will therefore be difficult to achieve. Also, the achievement of measurable benefits makes it easier to estimate the total value of the project and helps in justifying the investment. A feasibility analysis spelling out the investments, operating costs, benefits and risks associated with implementing the project needs to be carried out. This analysis could be useful in making a go/no-go decision on the project. Even though the investment and operating costs need to be estimated in advance


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of the project design, it is possible to produce ‘good’ estimates if detailed checklists of various cost elements are used. As discussed in Chapter 3, benefits may be qualitative or quantitative. Only some benefits can be monetized. Trying to force quantification or monetization can only distort judgement. The exercise should not be done to produce a cut and dried decision—it should rather provide an accurate picture of quantifiable and qualitative cost/ benefits and document risk factors so that judgement can be sharpened and not replaced. An understanding of the quantum of change involved by analyzing the gap between current reality and proposed conception of processes, technology, job roles and outcomes can help assess risks. The larger the degree of change on different dimensions, the greater may be the risks. In a later chapter, some good practices in assessing risks are discussed. Often, the decision to go ahead with an application is taken first and feasibility analysis is used to project an assessment that supports the decision. Projects need to be conceptualized by the project owners. Table 5.1 provides an illustration of economic analysis from two projects.4 A Public Distribution System (PDS) in which subsidized grains can be bought from Fair Price (FP) shops (licensed by the government) by poor families on the basis of a ration card. Computerization will reduce cost of getting ration cards and grains from FP shops for the citizens by cutting down on the number of trips and waiting time. The FP shop owners reduce the cost of getting supplies from godowns. The government gains by reduced subsidy as number of bogus cards will be weeded out. Also, less pilferage by FP shops would mean more savings on subsidy. The analysis indicates that the yearly costs and benefits are equal as the costs are recouped through savings in subsidy. There are high development benefits, but the implementation risk is also high. The social benefits to the citizens are very high making the project a high risk, high benefit project. In the commercial tax project, dealers and trucking companies (clients) gain a significant amount in comparison to the cost incurred The analysis is from two Detailed Project Reports submitted for funding to the eBharat programme within the NeGP in India in 2008. The analysis was done by the author using the data from DPRs. 4

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by the agency. However, there is no direct gain to the agency. The costs need to be recovered through a user fee, which is feasible since user gains are higher than the cost. The implementation risk and development impact are low. It would appear that such an economic analysis which can be carried out with moderate effort does sharpen judgement in terms of which applications can be selected for implementation. Table 5.1: Comparison of economic analysis across the two projects

Project PDS project

Department of commercial tax

Annualized investment Yearly (Rs in operatNumber million) ing cost of users

Yearly benefit (Rs in million)

Ration Cards 19.70 million FP Shops 28,579

559.4

Citizens: 5856.6

Dealers: 202,000

62.0

38.5

Overall developImplemen- ment tation risk benefits 7

8

3

3

FP shops: 2.8 Subsidy to bogus cards: 480 Savings on food diversion: 150 12.0

Dealers: 361.7 Trucking companies: 159.2 Agency: 24.0

Source: From detailed project reports of Public Distribution System Project and the Department of Commercial Tax.

5.3 Process Re-engineering Many e-government applications are implemented in a quick time frame which does not permit the re-engineering of processes. When online systems are implemented, it is difficult to make


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changes subsequently. Therefore, it is a good practice to limit the scope of the application (services covered) to contain the effort to a planned level while maintaining an emphasis on the depth of re-engineering that needs to be conducted. Re-engineering administrative processes and re-organization of information ownership is the most important step for implementing an e-government application. Many task managers of e-government projects have noted that a large percentage of time is spent in change management and process re-engineering. Process re-engineering requires that an agency implement substantive reform in organizational structure, initiate a change in culture and mindset, train and improve skills of its people and put in place the appropriate supporting ICT infrastructure to enable online processes that are timely and efficient to both the user and the government agency. While these tasks need not happen simultaneously, they need to be in place before an e-government application is offered to the public so that immediate impact and value can be acquired. The task of re-engineering begins with mapping of existing methods and procedures.5 Often, different branches of the same department do not use the same procedures as local context and conditions result in variations being introduced over time. Existing procedures need to be simplified in a manner that the overall task can be completed in as few steps as possible without compromising on the basic purposes. Often, tasks are carried out in a mechanical fashion because, with time, the original purpose of carrying out these tasks has been lost or forgotten. Government agencies must evaluate every step in the processing cycle to ascertain if it adds any value. If a process is not serving a valid purpose, it should be eliminated. This entire process of simplification of documents and workflow, points of approval and audit is termed as re-engineering. Such re-engineering must precede any exercise in automation. According to the Business Process Re-engineering (BPR) Online Learning Centre, buisiness proccess re-engineering, referred to as re-engineering in this chapter, is the redesign of business processes and the associated systems and organizational structures to achieve a dramatic improvement in performance. BPR is not downsizing, restructuring, reorganization, automation or new technology.

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The outcome of re-engineering may be to modify processes, resulting in fewer steps and limiting the number of people needed to perform the tasks. This has a significant effect on the way that civil servants perform tasks and can produce a considerable resistance from the mid to lower levels of civil servants. A great challenge in implementing e-government is to overcome this resistance through education and training. E-government projects have to consciously strive to provide benefits to civil servants at this level as they tend to lose power and authority over citizens when electronic delivery of services is introduced. E-government projects need to focus on making the entire process of decisionmaking more transparent. Because of automation, the workflow is regulated and often civil servants lose the flexibility to deal with applications in any sequence other than the one dictated by the computerization. This takes away the power of patronage and inability to expedite work as in the case of Bhoomi (Case 9.1) and the computerization of customs (Case 10.3). On the other hand, inability to stall work can be noticed easily because both the public and the supervisors now have the capacity to track information and application as they move from workstation to workstation. Often, the resistance to re-engineer comes from the leadership as change of a simple procedure/form may need a great deal of effort. It may even need a change in some legislation. Other departments may be affected and therefore inter-departmental coordination is needed. Successful implementation of projects requires that there is a clear focus on the purpose for which the application is being built as is illustrated by all the projects discussed in Chapter 9 for the delivery of citizen services. The intended beneficiaries of the application are identified and benefits that will accrue to the stakeholders are concretized. In fact, specific benefits like reduction in time or number of trips to an office need to be targeted and made public. It is only then that the process of re-engineering can work towards its ultimate goal. Typically, e-government requires complete back-end computerization and integration for workflow and data sharing. This


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allows for seamless information sharing and reorganization of information ownership. Many e-government projects remain limited or fail as a result of neglecting this process. There have been a few examples of successful improvement of services without computerizing the back-end.6

Learning from Best Practices Almost all types of applications have been developed in some location or the other. Project teams need to study some of the best practices from within the country as well as other countries. A visit to see an operational application provides very useful insight as it gives the opportunity of getting feedback from the operators who have an intimate knowledge of the system. It may not be necessary to replicate a best practice completely. It may be worthwhile for designers to scout for core ideas (process reform, use of a technology and method of change management) around which successful applications have been built. For example, one such idea that has been used to make many applications transparent is to introduce payments linked to automated weighing machines. For example, in Kolkata, the system of municipal waste collection by private contractors has been computerized. The weight of lorries entering and leaving landfill sites is recorded electronically and the cheques in payment due at the end of each month are generated automatically. There is no opportunity for the operators to ‘negotiate’ the payments; the result has been a 30 percent saving to the municipality in the cost of garbage collection. Some of these benefits have been shared with An exceptional case is the example of Bahia, Brazil, which was able to successfully rollout e-government services without going through this process. Through citizen service centres, Brazilians, in Bahia, were able to acquire multiple government services in one location. Over half of the workforce for the centres was made up of new contract employees who provided services to citizens at a service centre. Similarly, Poupatempo ‘Time Saver’ Citizen Centres in Brazil, provided citizens with government services without significant re-engineering of the back-end processes. The citizen centres improved the image of the government because the model was perceived as a ‘modern’ highquality system for providing public services. 6

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the operators in an equitable way thereby providing legitimate rewards for good performance. A similar idea was used in the case of inter-state checkposts in Gujarat (see Case 10.4) where fine collection is based on the weight of trucks. Another example of the use of this idea is milk collection centres in dairies in India at 3,000 rural locations.

5.4 Designing a Citizen-centric Service Delivery Mechanism There are a number of tasks such as acquiring information about government rules and procedures, applying for permits and licences and obtaining legal documents for which citizens interact with the government. Traditionally for most of these tasks, citizens had to make several trips to a departmental counter. A very limited amount of information is available over the phone. Community service centres (offering electronic delivery of multiple services) and a website are the new channels for delivering such information and services. When alternate channels are available, uptake of a new one, like a web portal, is slow. Significant effort and resources need to be spent to make citizens aware of the added advantages that Internet channels can offer as opposed to more traditional ones. This is particularly true in projects like Bhoomi (see Case 9.1) which serve rural populations. The number of access points has to be sufficient to be within easy reach and citizens also need to be trained to navigate through service delivery portals. The local language interfaces also need to be built. Countries with significant illiterate populations have to create access points where assistance is provided. Intermediaries such as volunteers, kiosk owners and paid employees often play a positive role in applications where information is disseminated to rural/illiterate populations.7 In Sri Lanka, the existence of volunteers who run the Kothmale community radio has contributed to the success of the programme. The daily programme received an average of five to six queries for which volunteers seek information from the Internet and then broadcast the responses (Kothmale Community Radio/Internet Project). For details, see Jayaweera 2001. 7


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The design of the website is critical. It should be simple to search for information and the information should be complete. Citizens should not have to follow up a website access with a visit or a call. If several departments have websites, there should be a common ‘look and feel’, which minimizes learning on the part of the citizen. The information delivered to a citizen through the mediae (a website, telephone, office visit or as paper documents) should be consistent. Often, procedures are modified, but such modification is not reflected in every channel that a citizen can access. To make a website useful, it is critical that time is invested in building appropriate content. Designing websites is a demanding task and should be done by professionals. Many successful portals are seen to be citizen-centric because they follow a navigation structure that closely mimics the life cycle of a citizen (see SINGOV nd). It needs to consider the quality of Internet infrastructure available in the country so that the download time can be kept within acceptable limits. Standards need to be laid down for the ‘look and feel’, data definitions, structures of databases, security provisions and an organizational structure to maintain the integrity of data. When transactions are carried over the Internet, security becomes a major issue. Security of data in terms of its privacy and confidentiality, prevention of fraudulent transactions, ability to prevent hackers from slowing or shutting down the application and defacing sites and safeguard against natural calamities are important in the design of e-government solutions. Adherence to N-layered architecture principles makes it easy to put in place different security solutions; even while implementing integrated applications that span across agencies, different types of hardware/ software platforms and are accessed through the Internet. Security threats may arise from internal employees as well as external users who use the application for unauthorized purposes. Security of a system is as good as the weakest link in the entire system. The system consists of the technology components, people, rules and procedures of access to physical buildings and rules and procedures governing electronic access. The ability to track

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actions of internal users is an important element of a secure system. A number of different types of actions listed in the Box 5.1 can help secure data, authenticate identities and prevent fraud and cyber crimes. Box 5.1: Some measures for securing e-government systems • Authentication to ensure access to only authorized personnel. • Digital signatures to ensure non-repudiation of the transactions (example, sensitive data upload should be digitally encrypted using private key). • Online antivirus scanning (for the document uploads into e-government system). • 128 bit SSL encryption (for transport level security). • Audit trail of each activity. • Privilege-based user access. • Time stamping of each transaction. • Firewall for screening system access. • Access control system. • Intrusion detection system (both at network and host level). • Segregation between system administration and super user functions at service provider level. • Disaster recovery measures. Source: Author.

5.5 Communicating with Users Communication with the user is important at several stages of the life cycle of the project but, more specifically, in the context of designing citizen-centric delivery mechanisms discussed in the previous section. The user needs have to be assessed in identifying the services to be taken up for e-delivery and the parameters on which the users seek improvement in the delivery of the service. The attributes of a service delivery system that are considered important by users can vary with the type of service, location of the user and the user profile. A study of 40 projects reported that when users were asked to pick the three most important attributes from a list of 20 attributes (covering cost, convenience, governance, quality, etc. as discussed in Chapter 8) of


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a service delivery system, there were many differences across services and across locations. The most important attribute in all the services and locations was the durability and legibility of the certificate/document issued by the agency at the end of the service (Centre for Electronic Governance 2008). Cost was considered important only in one of the three services. Corruption was seen to be important in two services but not in the third even though the incidence of corruption was the highest in this service. The lesson is to design the new system through user participation. Such feedback could be obtained through a structured survey or through focus group discussion. In fact, a survey to benchmark the existing delivery system is a good practice as it will help to sharply define the improvement that can be targeted. In post-implementation impact assessment, a benchmark study will make it easier to measure impact. The usage build-up of an e-service would be more gradual than expected when alternate modes of service delivery are available. E-government channels are quickly embraced if the service provided fulfils the needs of the community. Uptake in the Bhoomi project (see Case 9.1), in Karnataka, was quick because no alternate channel was permitted. In the e-Seva project (see Case 9.4), in Andhra Pradesh, the number of transactions crossed the 10 million mark even though competing channels of departmental counters were still open. On the other hand, the number of transactions in the rural Gyandoot project dwindled to a few hundred as it was not perceived by the public to be delivering value. In case of access through portals, IT literacy and inertia are other factors inhibiting usage. To create a critical mass of users, a number of e-government projects incorporate activities that raise awareness amongst targeted users. These include training of service providers and potential users, publicity and media campaigns before, during and after the implementation phase of the project.8 In the Canada Online initiative, citizens who do not know how to navigate the site for any service are provided instructions when they visit the department (Aurray 2002). 8

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5.6 Seeking Partnerships: Avoiding Reinvention of the Wheel There are many tasks in the application development which can and need to be outsourced. Often, the technical capacity within the government system is inadequate to handle a large design/ development project. An honest assessment needs to be made of the capacity to build in-house projects. Use of in-house construction does go against the current trend of outsourcing. Sometimes, the issue is not material for the phase of construction as all the phases of the development process are either outsourced or done by a private partner. Many governments have captive organizations that were responsible for developing ICT solutions within government agencies. Often, personnel employed by such organizations have not been able to keep themselves up-to-date with modern methods of application development. Government salary structures are much lower than the private sector encouraging a migration of talent to the private sector. The choice should not be based on the cost of constructing a solution. The direct cost of outsourcing is high as many of these costs are explicit. For many captive organizations the costs are hidden. Cost cannot be the overriding consideration if there is an enhanced risk of poor design or implementation failure. Often, rules and procedures that govern the delivery of a particular type of service are not standardized across countries. Therefore, packaged solutions are available only in a few application domains. The advantage of off-the-shelf solutions is that the software is tried and tested. In applications that deal with procurement and customs, there are a number of generic solutions that only need marginal tailoring for local conditions. Automated System for Customs Data (ASYCUDA)9 is one such example (see Box 5.2). ASYCUDA is a computerized customs management system, which covers most foreign trade procedures. The system handles manifests and customs declarations, accounting procedures, transit and suspense procedures. ASYCUDA can be configured to suit the national characteristics of individual customs regimes and national tariff legislation. ASYCUDA provides for Electronic Data Interchange (EDI) between traders and customs using Electronic Data Interchange for Administration, Commerce and Transport (EDIFACT) rules.

9


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Box 5.2: ASYCUDA: Avoid reinventing the wheel Online processing of imports/exports in customs departments is an excellent example of benefits from the use of standard software. ASYCUDA, designed by United Nations Conference on Trade and Development (UNCTAD), has been used in nearly 60 countries to computerize processing of exports/imports at airports and seaports. The time for implementation has been shortened and it has been easy to implement the system in countries like Yemen which lack local capacity in developing software. Presumably, ASYCUDA has been designed after studying the best practices in different countries. It offers readymade templates for re-engineering processes to increase efficiency, reduce processing time and make self-assessment and selective audit. The physical contact between the customs inspector and a cargo handling agent has been eliminated. These tools have a significant impact in reducing corruption in customs transactions. Source: Author.

5.7 Phasing Implementation Pilot projects have allowed governments to experiment and tailor their product to fit the needs of users. The safest approach to adopting a new technology with a steep learning curve is to take small steps with activities that are manageable within a relatively short time-frame. This allows greater flexibility for tailoring the system and formulating a long-term strategy based on the actual experiences of the organisation and feedback from the client. If capable of showing quick success, pilot projects allow for buy-in from groups that are originally resistant. Bhoomi (see Case 9.1) illustrates the advantage of using a phased approach in defining project scope.

5.8 Capacity to Manage Change Many e-government projects face substantial resistance from internal staff. Public servants view e-government projects as a threat to their jobs. E-government changes workload, work profile and work content. It forces the need for retooling and training. It often creates redundancy of employees. Public servants see

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the automation of a process as a loss of power and responsibility. When information is published and easily accessed, they view this as a loss of control. Their role as an intermediary between citizen and government is minimized. E-government affects civil service in several ways. It alters accountability, reduces discretion and flexibility and makes performance monitorable and visible. Often, e-government forces information sharing and provides easier and equal access to organizational knowledge to all employees. Even citizens become privy to some part of the information. It tends to flatten hierarchy (alters the power and authority vested at different levels). Different groups in the civil service may be affected differently. Some effects may increase resistance to change, whereas others may accelerate acceptance of change. Introduction of a paperless environment in SmartGov (see Case 11.1) illustrates many of these effects.

Fear of Unknown Introduces Resistance This may happen because of introduction of new technology, changes in procedures and different work assignment. Uncertainty in benefits that may accrue from the new system or a perception that disadvantages outweigh advantages for individuals can also lead to resistance.

Attitudinal Factors The perception that someone else will get credit for the success of the system can also create resistance in the higher echelons of civil service. Design of the application needs to be reviewed for increase in workload; there is a need for new learning as some processes are changed and complexity in some tasks is introduced. Technical performance such as poor access, lack of bandwidth, down time, slow response, frequent breakdowns and software problems can also build resistance. Effects on civil service need to be understood and mapped into accelerating (making it easier to implement) and decelerating


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factors. Strategies need to be devised to dampen deceleration and enhance acceleration. The actions that help minimize resistance have already been discussed. Some known generic strategies are discussed. Ensuring that the organizational climate is right By ensuring shared values with advocates of change, a sense of ownership can be generated amongst employees. Participative design where employees’ feedback and involvement helps shape the new initiative/process/system can contribute to greater acceptance. Quality of work-life and job satisfaction needs to be seen as explicit objectives in the design of the new initiative. Training and education of all levels of employees can help mitigate fear of the unknown and reduce resistance. Ensuring that all stakeholders understand The expected pay-off and the role of stakeholders in terms of new tasks and development of skills. Counselling is often a useful mechanism. It is also necessary to gather stakeholder feedback on their understanding of these changes. Change has to be explicitly managed and, therefore, needs an organization Some useful mechanisms are to identify champions and legitimize their role. There needs to be a clear definition of a project team and a command structure. For encouraging a participative design, user-led design groups have to be organized. Identifying obstacles to change advance of implementation is important as it helps in defining strategies to overcome obstacles These obstacles may be financial, technical, organizational, social or the presence of anti-champions. A large part of the implementation effort, some say up to 40 percent, must be spent on managing change. For a project leader it is important to garner political support for the proposed project.

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It is critical that support is demonstrated publicly through workshops and seminars organized for employees. The project must build benefits for all stakeholders. Training helps to alleviate anxiety amongst employees about changes in methods of working. Pilot projects enable civil servants to understand exactly what may lie in store and also to experience benefits. Project managers need to be trained in managing change. The property registration project CARD in Andhra Pradesh (see Case 9.2) and land record computerization in Bhoomi (see Case 9.1) provide an interesting insight into the different ways by which resistance can be tackled. The number of local intermediaries who stood to lose from the changes due to the CARD project had to be appeased so that a complete boycott of the project did not occur. The government did not banish the intermediaries by law, hoping that the market will gradually eliminate the demand for them. Care was also taken not to antagonize the lower rungs of bureaucracy. The government announced, at the outset, that no downsizing would result from the introduction of this technology. The project consciously sought to build some benefits for the operating levels of bureaucracy. Although the project was operationalized successfully, agents and bribery continue to flourish. In Bhoomi, 9000 village accountants were outflanked and completely disassociated from the task of issuing RoRs. Other measures were used to counter resistance.

5.9 Strong Internal Leadership and Project Management Strong leadership has been cited as a defining factor for success in all cases. High-level leadership and support from the top levels of government have facilitated buy-in from other government departments. Strong leadership also creates motivation from other agencies to join in the process. Leadership is also important as it helps ‘sell’ the project to a larger internal audience and the public. Besides leadership, many governments face lack of adequate human resources to implement and manage projects related to e-government. Strong project management skills are needed


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within the department. Project managers need to clearly identify goals and benefits in concrete terms. The task is often vast and not manageable within the resources that are available internally to a government department. Many tasks such as design, software development, data preparation and training can easily be outsourced. Systems analysis, which provides the necessary cues for re-engineering, should be conducted internally. Training expenses should not be minimized. Successful projects typically spend about 10 percent of the budget on training. Awareness about benefits of e-government has to be created in senior civil servants and political executives. Training is required for project leaders who need to define project deliverables, deal (negotiate) with consultants and vendors and manage an outsourced development process. Clerical staffs need to be trained on specific applications. Supervisors and managers need to be trained on using information. Citizens need to be made aware of online services and how to transact business on web portals. Successful computerization of land records in Karnataka (see Case 9.1) and property registration in Andhra Pradesh (see Case 9.2) illustrate the role of leadership and the importance of training. Project managers need to have an adequate understanding of various techno commercial decision that need to be made particularly when working with private partners or agencies to whom work is outsourced. For procuring different types of services, a Request for Proposal (RFP) needs to be drafted. An RFP has to reflect a complete understanding of the project scope, scale and its critical success factors. Pre-qualification criteria need to be specified for the bidders. Formats for submission of technical bids and commercial bids need to be designed. An evaluation criteria needs to be defined that is transparent, can be operationalized without an inordinate effort and balances technical competence of the bidder to undertake a task and the total costs that the bidder will charge the organization. After a private partner has been selected, a Service Level Agreement (SLA) is signed to define the roles and responsibilities of all the concerned parties. The tasks to be performed by each

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party are specified in sufficient detail with associated measures to judge performance, so that all parties can be held accountable for their performance. SLA would specify terms of payment including rewards and penalties based on measurements of various performance parameters, governance structure–dispute resolution mechanism and exit management.

5.10 Risk Factors in Implementing E-Government Projects The incidence of failed implementation is high in e-government projects (Heeks 2003a). A failed project is one in which the delivery of e-services does not take off or is abandoned midway because of a malfunctioning design. Projects may also begin to falter after an initial success. Evaluations of two e-government projects that were deemed to be successful later indicated that the projects could be termed as failed projects (IIMA 2002a). An analysis of the failed projects suggests a number of risk factors that can affect the long-term sustainability of e-government projects. Often, ministerial changes result in a situation where the new minister is not supportive of the ideas and innovations implemented by a predecessor. A similar risk arises because of frequent changes in administrative leadership when key functionaries are transferred. Project initiators need to ensure that key administrative functionaries will have an adequately long tenure to see through the implementation. Projects that take a very long time to implement are at risk because of rapid changes in technology, and the fact that realization of benefits comes long after the pains of implementing the application. This tends to heighten resistance. On the other hand, implementation, that is hurried through because of political pressure to show quick results or because of the uncertainty created by short tenures of administrators, carries its own set of risks. Often, corners need to be cut and key elements of the application are either not taken up or are done in a shoddy manner.


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An inappropriate definition of project scale and scope also results in failure. If the project’s scale is ambitions, the task may become unmanageable or resources may run dry. If new and untested technology is used some vital components of an application may not work because of the breakdown of technology. Similarly, a project scope defined too narrowly may not deliver the intended benefits. It is important to manage expectations of various stakeholders. Often e-government is treated as a panacea for several longstanding ills of a system. It needs to be recognized that governance reform is a multi-pronged process in which e-government is only one tool among many other changes that need to be made. E-government projects focused on transparency and corruption need to be implemented in a context of wider administrative reform. Poorly designed systems in terms of underlying architecture, technology and process can lead to implementation failures. If computerization is partial and not conducted with re-engineering initiatives, many of the benefits do not accrue. Such systems may function for a while because of the higher level of monitoring and supervision, but in the absence of process improvements such temporary gains cannot be institutionalized. Considering the degree of change that is involved in implementing e-government projects, there is a temptation to bypass existing employees by outsourcing work to private sector or hiring new recruits. However, unless the resistance among bypassed employees is broken through education, training or any other means, it continues to foster. The system can get sabotaged after the initial champion has left. Normally, close identification of a project with a single powerful champion automatically weakens the support that a project can receive from peers and other departments. It is best not to personalize a project. If some of the risk factors can be anticipated, project managers have a better chance of mitigating the risks.

6 Guidelines for Designing a Countrywide Strategy for E-Government

6.1 The Need for a Strategy and Implementation Plan Different countries are at different stages of evolution of e-government (see Figure 1.1) and need strategies to move further along the path of evolution. Countries which are just starting to move towards e-government need strategies to initiate e-government. Other countries need strategies to scale up activities and work towards more integration across agencies. Chapter 2 reviewed the overall status of e-government in India. A few agencies in some states have built successful applications, but many of these projects had not been replicated in other states. By and large, the urban population was benefiting from such applications, but the rural areas remained uncovered. India has three key challenges in moving forward on e-government: scaling up to cover more states and more agencies in each state, enhancing access to e-government services in rural areas and designing systems that will deliver greater benefits particularly in improving transparency and corruption. Perhaps, India is at a stage where a national programme of e-government, like in Singapore, Australia and Canada, can help scale up e-government activities. India launched the National e-Governance Plan in 2006, roughly eight years after the first e-government project became operational in India. The timing of the launch of such programmes is an important issue in defining a country strategy. Another important issue in the context of public sector reforms (of which e-government can be an important part) is the

Guidelines for Designing a Countrywide Strategy for E-Government

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sequencing of reforms. Should e-government come as the culmination of public sector reforms preceded by other efforts to rationalize government activity and strengthen key institutions or can e-government applications serve as a catalyst for such change? Reform of the public sector is typically painful, slow and meets much resistance. The appeal of e-government in developing countries can sometimes overcome resistance to change. In a number of cases, e-government applications have been the catalyst for change and have enabled public sector reforms to move quickly. Sequencing of different reform initiatives can be a question of tactics, but for e-government to be effective, it must be implemented in a wider context of basic reforms. An e-government strategy will encompass answers to many such questions in the specific context of a country. Developing a strategy would require an assessment of the e-government readiness of a country. The strategy will define the nature of projects that are taken up, the organizational and institutional arrangements that can best harness resources and deliver the intended benefits. A policy framework would need to be defined for creating a supportive environment. Most importantly, the idea of ICT-enabled reform will have to be packaged and sold to different stakeholders such as citizens, civil servants and nongovernmental institutions.

6.2 Assessing E-Government Readiness There are a number of tool kits to compare e-readiness and e-government readiness of countries. Table 2.2 in Chapter 2 presented the rankings of selected countries on one such measurement. However, a more detailed assessment of e-government readiness covering technology infrastructure, human capacity and strength of existing institutions is needed to evolve a strategy. The first task is to establish the current stage of evolution of e-government in the country. Broadly, the factors e-government readiness would cover are: 1. the extent to which computerization of back-end processes has been conducted as well as hardware, software

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2. 3.

4. 5.

6.


and networking infrastructure required to provide access points to clients at the front-end; a strong intent to reform governance backed up by demonstrated political will and leadership; capacity to design and implement e-government systems as demonstrated by the existence of institutions, which can assist in systems analysis, design, process re-engineering and software development; availability of funds from public, private and multilateral sources to support the e-government effort; existence of an enabling legal framework encompassing privacy and security of data, legal sanction of new forms of storage and archiving, and laws that accept paperless transactions; and finally, the most important factor is the attitude of the civil servants. Civil servants need to have a customer orientation, willingness to change, adequate ICT literacy, and a modicum of honesty and integrity.

The assessment of e-government readiness has to be based on a mix of quantitative measures and qualitative assessment, which can best be done by appropriately trained consultants through field visits to different departments. No government is completely ready for e-government, but that does not mean that such projects should not be taken up.

6.3 Balancing Bottom-up versus Top-down Approach Some governments have opted for centralized, well-defined and controlled national strategy1 to launch the country into e-governance. Typically, large countries have chosen a more decentralized approach, allowing bottom-up initiatives, letting individual departments drive their own projects. Many of For example, Jordan, Mauritius and Singapore have followed a centrally driven strategy. 1


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these countries like India went for national programmes after a number of years of decentralized effort. In fact, many of the industrialized countries went for centrally coordinated strategy only when integration across agencies was needed for offering services through a portal. For decades, their agencies were offering services from departmental counters which were online with back-end databases. Whereas in developing countries, most agencies are moving from totally manual systems to some form of computerized delivery under the e-governance initiatives. There are risks and merits to each approach. A bottom-up approach of ‘letting a thousand flowers bloom’ without any coordination can result in overlap, lack of focus and waste of funds. A centralized approach is difficult to implement because it leaves very little room for innovation, self-starters and creativity, making it hard for buy-in from different departments. One of the major drawbacks of a bottom-up strategy is the use of a variety of hardware and software platforms by different field agencies. This tends to impede designing systems that allow agencies to share data and transactions across departments, which is necessary for any kind of integrated or joined up government.2 In some countries, different departments use their own methods of identifying citizens. This leads to a multiplicity of citizen identification cards, causing a problem for the citizen as well as creating confusion within government, resulting in multiple record-keeping of the same information. In countries that are new to e-government, a bottom-up strategy has been quite popular as this has allowed national agencies, state and municipal governments to launch projects that have quick impact and low risk. Many government departments have implemented such projects without waiting for the adoption of a national strategy or the creation of a coordination unit. Many local governments have seen impressive results because they are well placed to implement small, focused projects that involve low risk. ‘Joined-up Government’ involves new channels and new points of connection (using ICT) between different parts of government in the area of policy making, operations and services. 2

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Perhaps creating a central coordination unit offers the right balance. It promotes better use of resources, reduces overlap and allows for better goals setting. Additionally, it gives enough flexibility for initiatives to be carried out from lower levels of government. Clearly, defined guidelines by a central agency for data definitions, hardware/software platforms and citizen identification cards can be very useful in promoting data sharing. Many countries are adopting this approach with varying degrees of coordination and control. Colombia’s centrally coordinated approach, illustrated in Box 6.1, focuses on monitoring and achieved good results. Departmental ownership of e-government is vital because no external agency can drive the kind of change that is needed in implementing e-government. Box 6.1: Columbia’s carrot-and-stick approach Columbia opted for a top-down strategy and provided strong leadership with direct involvement from the president. The president established an action framework for ICT development and used both carrots and sticks by ordering government agencies to engage in e-government by creating a website, offering online services and conducting purchases online by a specific date. The government also provided a carrot by helping agencies to comply with the requirements. The government monitors and publishes the degree of agency compliance on a website, which has led to healthy competition between agencies. Source: Author.

A centrally coordinated approach can encourage departmental initiative through suitable incentives and also avoids the pitfalls of a completely bottom-up approach where data sharing is hampered and delivery of services such as licencing for a business, where a large amount of documents and data must be shared across departments, becomes difficult. Also, each department may not have the capacity to use the correct method and latest design techniques in developing the application. A central agency can provide the necessary guidance using correct methodology. It can also build and maintain common services that are required to be used by different departments.


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Reporting arrangements for such an agency within the government structure can be tricky. Typically, such agencies have been set up as part of the budget/finance ministry or even as part of the civil service reform agency. Such an agency needs a power base that enables it to coordinate work across different agencies. It also needs a home that enables it to attract a multi-disciplinary professional staff. Often, e-government projects are viewed as information technology projects, within the sole domain of the information services department, as opposed to an enabler of core business services. This approach has several drawbacks. For example, it results in low buy-in from the staff that is responsible for providing the service. Consequently, there is lack of change management and business process re-engineering needed for the project to realize the efficiencies associated with e-government. Andhra Pradesh is the best example of a centrally coordinated strategy (Bhatnagar 2003) at the state level and the NeGP is the most recent example of a centrally coordinated effort at the federal government level. In the recent years, several e-government initiatives have been undertaken in a few states in a bottom-up fashion. Some of these initiatives have delivered concrete benefits such as reduced the cost of accessing services by citizens and less corruption and enhanced revenues for agencies that were collecting taxes. However, only a few departments in a few states have been covered. The NeGP is trying to provide a framework to replicate these initiatives and provide impetus for long-term growth and expansion of e-governance within the country. The plan seeks to set up the core infrastructure and policies and implement a number of Mission Mode projects at the centre, state and integrated service levels to create a citizen-centric and business-centric environment for governance. NeGP will lay a special emphasis on process re-engineering and change management to ensure successful implementation.

6.4 Selecting Quick-strike Projects An important part of a state or country strategy is to identify the basket of services that will be taken up for e-delivery. Whether

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the delivery is through a unified portal or from a citizen service centre, concerned agencies that deliver such services have to be selected. Countries which are just beginning their e-government effort, quick-strike projects are helpful in demonstrating potential gains from e-government. They allow different stakeholders to understand what e-government holds in store for them. Such projects help in generating demands from citizens for more such initiatives. They enable the implementers and central teams to learn about specific bottlenecks and how these can be tackled. They help in breaking down any organized resistance within civil servants by demonstrating gains and losses for them. A list of quick-strike projects can be chosen by inviting proposals from different departments. Projects that are typically easier to implement and deliver significant benefits should be chosen. Some governments identify departments that have the maximal contact with citizens/businesses and others choose departments that are perceived to be corrupt and inefficient. Those departments that have already computerized the back-end are good candidates as implementation effort is less. Most important is the support for reform from the political and administrative leadership and the presence of a high-energy, innovative civil servant at a senior level to act as a project champion. Prioritizing pilot projects to choose quick-strike projects has been a good practice adopted by many early implementers of e-government. It is often useful to assess the risk and benefits of projects. To prioritize and select projects, many countries have developed a framework for evaluation, allowing them to choose those projects that complemented their priorities with those that demonstrated quick value for the citizen. The framework provided in Figure 6.1 illustrates a strategy that involves selecting pilot projects by balancing risk in implementation with the perceived value that the project will deliver to beneficiaries. Many government departments with little or no experience in ICT can test the waters by opting for projects in the top left quadrant representing low-value, low-risk projects. For example, they can begin by publishing websites that provide information about rules, procedures and basic information.

Guidelines for Designing a Countrywide Strategy for E-Government 101

Beginners can test the water

Projects to be avoided

Countries embarking on e-government. Projects include agency websites offering useful timely information

Projects that use untested, expensive technology

Low hanging fruit

High value and complex execution

Quick-strike projects for countries with some maturity. Online service delivery by single departments such as driver’s licences and land registrations.

These projects require significant investment, long implementation time-frame and coordination of several departments. Examples include e-customs and e-tax.

High

Value

Low

Figure 6.1: Balancing risk and value in selecting projects

Low

Risk

High

Source: Author.

This generally is low in risk and low in value; however, in some countries where government information is difficult to access this approach has much value in creating a basic sense of transparency of government information. Low-risk and high-value projects (bottom left quadrant) are often innovative. Such projects are started by individual departments and target a specific community need, such as the ability to acquire forms online. High-risk, low-value projects (top right quadrant) are to be avoided. These often involve initiatives that are untried, untested and can significantly affect the government’s credibility if they fail. High-value, high-risk projects (bottom right quadrant) often provide significant benefits to citizens and businesses and involve services such as the ability to pay online fines, taxes and conduct procurement processes online from bid announcements to final selection. These require complex and long implementation periods and coordination from more than two departments. Many projects aiming at ‘joined-up government’ fall into this category.


6.5 Importance of Capacity Building A large number of failures of e-government projects can be attributed to a lack of capacity within the government to conceptualize and implement e-government applications and a lack of continuity in project leadership. In many unsuccessful projects, technology performed well but managers failed to recognize the importance of managing change. The transformational nature and large scale of e-government makes the task complex. Civil servants have diverse academic backgrounds. Normally very few have an engineering or management background. It is not easy for them to keep abreast of technology, particularly when rapid changes are taking place. Service training focuses on the skills of general use. In the few programmes on ICTs, the focus is rather narrow on some aspect of technology rather than how to make it work. For effective leadership in a project, multidisciplinary approach and good coordination skills are needed. Therefore, to mount large nationwide e-government programmes, concerted efforts are needed to build capacity. Given the continuous growth of the IT sector in many countries and the consequent gap between demand and supply of trained information system professionals, it is unlikely that e-government projects will be able to draw manpower from the existing pool of IT professionals. There is a clear need for expanding the pool of trained manpower which can conceptualize, design and implement e-government projects. Capacity would need to be built within the existing government officials and IT professionals besides launching open educational programmes to develop interdisciplinary skills. A variety of training programmes would be needed for developing personnel to play different roles in the execution of a countrywide strategy/programme. Capacity building will help to maintain a continuity of approach despite changes of key incumbent officials during implementation. The types of training programmes that need to be designed are: 1. E-gov. champions programme: for political and administrative heads of departments. Such functionaries need


2.

3. 4.

5. 6.

not be concerned with project details, but need to provide leadership and an enabling environment. They need some understanding of the potential benefits of e-government and key challenges in its implementation and the key elements of an enabling environment. Chief Information Officers (CIOs): comprehensive skills to implement e-government project from conceptualization to complete rollout. CIOs need knowledge inputs in technology and its management, project management and concepts of e-government. They also need to develop the right attitude and skills to provide leadership to project teams and manage change. Chief Technology Officers: need inputs on advanced topics in security, architecture, standards to supplement their technical background and skill set. Users of IT systems in government departments: trained specifically on the application package as part of the project implementation. Large numbers will need to be trained for every project. External users: for example, Company Secretaries and Chartered Accountants acting on behalf of companies to file online tax returns or incorporate new companies. General: IT awareness and training for citizens.

Liberal budgetary provision needs to be made for building capacity. A need assessment exercise to estimate total demand for training for various roles and the institutional capacity to offer such programmes needs to be carried out on the basis of projected levels of e-government activity. NeGP in India has earmarked 10 percent of the total expenditure for capacity building (see Box 6.2).

6.6 Promoting Public–Private Partnerships Popularly believed to be the fastest and most efficient approach to rolling out e-government services, public–private partnerships (PPP) are often a key element of an e-government strategy.

104 Unlocking E-Government Potential Box 6.2: NeGP—National e-governance plan NeGP aims to improve the delivery of services by government agencies at the national/state and local levels to citizens and businesses by making services accessible at conveniently located common service delivery outlets and ensure the efficiency, transparency and reliability of such services at affordable costs. Nearly 26 Mission Mode Projects (MMP) have been defined covering central government agencies (for example, income tax, central excise, passports, Department of Company Affairs) and state specific projects (for example, agriculture, land records, transport, treasuries, commercial taxes, gram panchayats, municipalities, registration, police, employment exchange, and e-district). A few of the MMPs cover integrated projects covering the entire country (example, India Portal, e-courts, e-procurement). All services are to be supported by three infrastructure pillars to facilitate web-enabled services anytime, anywhere access in the long run: 1. Connectivity: State Wide Area Networks (SWANs)/NICNET; 2. National Data Bank/ State Data Centres (SDCs); 3. Common Service Centres (CSCs): primary mode of delivery in rural and urban areas. NeGP is a centralized initiative with de-centralized implementation. NeGP will enable state and central agencies that plan to implement an MMP to draw upon a central pool of funds by making proposals that conform to the guidelines developed in a consultative manner and institutionalized though a policy framework. Standards are being developed for technology, data, information, software, architecture to which MMPs will adhere. The framework emphasizes public–private partnership in the implementation of MMPs. NeGP is a large and complex endeavour covering 20 Government of India (GOI) departments, 30 states, 360 departments in all the states and nearly 500 implementation agencies. The total expenditure over 5–6 years is likely to exceed Rs 500 billion involving 70,000 man-years of effort. About 25 percent of the outlay will be spent on creating the core infrastructure and human capacity and the remaining 75 percent on the implementation of MMPs. Realizing that NeGP is a large and complex programme, new organizational structures are being devised to ensure successful implementation. At the national level, an e-governance council, headed by the Prime Minister, will over-guide the entire effort and provide the necessary political backing and push from the highest echelons of government. At the central level, a Project e-governance Mission Team (PeMT) will be created to plan, strategize, define policies, devise funding framework, create standards and build capacity. At the state level, a Programme Steering Council should (Box 6.2 contd.)

Guidelines for Designing a Countrywide Strategy for E-Government 105 (Box 6.2 contd.) be set up ideally under the chairmanship of the Chief Minister in the state to provide the overall vision, broad policy and guidance to SeGP. At the programme level (in a state), a State e-governance Mission Team (SeMT) will function as a full time advisory body in undertaking the e-governance projects. At the project level, for each MMP, a full time dedicated PeMT will be created. This team would conceptualize the project and work with private partners to architect and develop the pilot project, handle issues with its rollout phase, evaluate and enhance the project. Source: Author.

The need for PPP does not solely come from the government’s inability to fund e-government investments. Rather, the lack of human capacity within the government makes it necessary to partner with the private sector to benefit from their expertise. In the simplest arrangement the private sector is used for outsourcing different components of work in developing an application. In several Indian projects (see Bhoomi, Case 9.1 and CARD, Case 9.2), software development, training, data entry of manual archives and maintenance were outsourced to the private sector. Private companies can also be used to develop an e-government application as a product, as was done in the case of VOICE (see Section 9.3). The choice for outsourcing can vary from a multinational consultant/vendor to a small local company. Ideally, partnering arrangement with overseas companies should lead to a capacity development of local agencies. That is why some governments insist on involving a local partner. PPP implies a stronger partnership built around the ‘build, operate and transfer’ (BOT) or ‘build, own, operate and transfer’ (BOOT) models.3 When the private sector operates an e-government application, in some cases private sector parties BOT/BOOT (Build–Own–Operate–Transfer) is a new concept in infrastructure development that allows direct private sector investment in large-scale projects such as roads, bridges and ICT. To ‘build’, a private company invests in a public infrastructure project and provides its own financing to construct the project. To ‘operate/own’, the private company then owns, maintains and manages the facility for an agreed period and gains from the investment through fees. To ‘transfer’, after the agreed period, the company transfers ownership and operation of the facility to the government. 3


can be reimbursed a fixed fee per transaction, as in e-Seva (Case 9.4). Alternatively, it can charge a user fee from citizens/businesses who avail the service (e-Procurement in AP in Section 10.2). A revenue sharing model can be used as well. However, not all PPP projects have been equally successful. For example, a PPP initiative to launch web development projects for business services agencies in Hanoi suffered because of the excessive reliance on outside consultants, which resulted in lack of real ownership of the project at the government level (Desai and de Magalhaes 2001). Several governments, as in case of Mexico, South Africa and a few state governments in India, have been quick to encourage private partnerships as a way to share or transfer start-up costs for e-government projects. While this may be cost effective in the short run, many government agencies find themselves ‘locked in’ to agreements that offer exclusive privileges to companies in terms of product use and purchase of equipment. Public agencies need to carefully negotiate terms of agreement when entering into private partnerships to avoid giving firms special privileges. For successful execution of PPP strategies, it is important to recognize that the contracting arrangement should deliver gains to all partners. Often, the fact that the private sector needs to make profits is forgotten by the government contracting agencies. It is a good strategy for governments to implement pilots on their own so that cost structure and implementation issues are well understood. This understanding can be useful in defining contracts when scaled-up versions are being implemented on a wider scale. Implementation of the e-Procurement project in AP (see Section 10.2) exemplifies how these partnerships can be successfully executed.

6.7 Enabling Legal and Economic Frameworks A lack of mutual trust between the citizens and governments (which is often the case in many developing countries) can be an inhibiting factor in developing e-government. Setting up a legal enabling environment is necessary to build this trust and to


validate the use of e-government applications. Creating a certification authority, payment gateways and e-commerce legislation, as well as amending laws to reflect information access, privacy, data security, evidence laws and cyber crimes also need to be considered. In the specialized area of digital signatures, some commentators are of the opinion that written signature requirements pose the greatest stumbling block to the development of electronic commerce and advocate a unified global regulatory scheme for digital signatures. It must be noted that different countries or in some cases different states within the same country have considered or proposed digital signature statutes. Security has several aspects. Transactional security covers electronic communication and contracts and electronic evidence. Computer network security deals with cyber crime and hackers as well as viruses. Privacy deals with how data about individuals is collected, processed and disseminated. Data must be fairly and lawfully processed for limited purposes. Data should be processed in accordance with individuals’ rights and kept secured. It should not be kept longer than necessary. Domestic national security and privacy interests are conflicting. After 11 September 2001, many governments exempt national security agencies from various privacy law and regulations. Security is also a component for privacy. Thus, the use of cryptography for electronic communications is seen as an acceptable use of technology to establish privacy. However, such technologies counter the interest of security agencies. Experience from some developing countries has shown that privacy issues do not seem to be a major concern as there is greater cultural acceptance of government collecting information about an individual. Governments have taken different approaches in implementing a legal framework for e-government and e-commerce. Some have opted for the creation of an umbrella cyber law4 that encompasses all e-transactions. A large umbrella law saves the need Cyber laws refer to laws regulating the Internet. These can deal from security issues to regulating Intellectual Property Rights over the Internet and rules for dealing with Internet fraud. 4


for amending a multitude of laws that address procurement, tax, archives, etc. In some countries waiting for the passing of an umbrella cyber law is too politically contentious and governments have chosen to amend existing laws to avoid the delays associated with passing a major piece of new legislation. The United Nations Commission on International Trade Law (UNCITRAL) Model Law on Electronic Commerce (hereafter, Model Law) is a generic law that can be extended and enhanced by individual countries if they wish. In devising the Model Law, UNCITRAL had set out to develop rules that could be used in all countries regardless of their technological proficiency or the legal framework under which these countries operated. The Model Law provides, generally, that electronic communications should be given equivalent legal effect to paper-based communications and, specifically, addresses how certain types of electronic communications could substitute existing paper-based means of satisfying requirements of writing, signatures and contract formation (Samtani and Tan 2003). The Model Law has been adopted by many countries, including, Australia, Hong Kong, the Republic of Korea, Singapore and the Philippines. Other laws related to the public sector also need to be changed. For example, in Chile, the government had to amend the tax code to authorize taxpayers to present their annual reports and accounts, and tax returns online (see Case 10.2). In India, legislative changes were needed in implementing registration of property deeds (Case 9.2) and maintaining land records electronically in the case of Bhoomi (Case 9.1). An enabling economic policy such as liberalization of the telecom sector that makes the Internet easily accessible can promote widespread use of e-government. Privatization can be explored in ICT agencies of the government which have failed to contribute to the e-government effort. In its widest context, privatization refers to a range of policies to embrace private sector capital in the development of the industry, everything from outsourcing to full-blown market liberalization. Privatization, in its narrow sense, means full or partial transfer of ownership of a state-owned enterprise to the private sector, usually by share


issue privatization. Overall, the evidence suggests that while privatization is usually associated with a faster fixed-line growth, greater profitability and higher productivity, evidence on prices, net employment effects and capital investment are less clear-cut.

6.8 Strategy for Reform: Incremental versus Big Bang Few management reforms using ICT innovations have the sole aim of reducing corruption or increasing public accountability. Most have both efficiency and other softer goals and the two goals are intertwined. But stakeholder resistance to corruption and accountability goals is much greater. Corrupt public agencies cannot be expected to embrace such reforms with any enthusiasm. Consequently, a reform strategy to be successful will need to carry out a very thorough and insightful stakeholder analysis and find ways to overcome or bypass the resistance. Stakeholder analysis will need to distinguish between those likely to benefit, those who will be largely unaffected, those who will suffer minor losses of benefits, privileges, status or power and those who are likely suffer major losses. The reform strategy will need to address each of these groups. Compromises are generally unavoidable. The analysis must include both informal reality as well as formal arrangements. Official bureaucracies often have difficulty accepting informal realities that everyone knows exist, but few are willing to acknowledge it publicly. This will often include major irregularities. In some cases, huge amounts of public resources are being diverted to personal benefit, which the reforms, if successful, would stop. For example, posting the tax code on a website and permitting individual taxpayers to complete self-assessments and submit their tax returns and tax payments electronically will help stop huge private benefits being reaped by tax collectors who previously ‘negotiated’ with taxpayers. And the same is true for customs officials dealing with importers. Such systems must be backed up with very rigorous spot audits. Control efforts and resources can then focus


on preventing corrupt audits. Resistance to such reforms can be vicious. For example, in one instance, customs officers in Bangladesh simply smashed the computers introduced at ports, forcing the reforms to be withdrawn (Landell-Mills 1999). In most situations, there are individual ‘drivers of change’ who, for various reasons, are strongly motivated to support reforms. Generally, these are decision-makers who are not the beneficiaries of corruption, who may even resent it and may see significant political advantage in ‘cleaning up’ a corrupt agency. Some will be driven by high personal integrity. The reform strategy will need to identify and nurture the drivers of change. These may be both within the public bureaucracy and the civil society—such as citizen watch groups like the national chapters of Transparency International, NGOs, both local and international, and the media. In the most difficult cases all such groups will need to be mobilized. A reform strategy should not be overly ambitious. Incrementalism may triumph over the ‘big bang’ reform that is sometimes preferred by crusading politicians brought to power on a wave of public revulsion at widespread corruption. In the end, what is important is ensuring the sustainability of reform. However, ICT innovations may sometimes bring about system changes that cannot be easily reversed, for example, changes brought about when accounts and land registries are computerized. These are the reforms to be promoted first. Moreover, some low-level ICT innovations can subtly change the way business is conducted, making it much more transparent, so that the change takes place before the ones who have lost out have realized the consequences, and faced by a fait accompli, find that it is too late to oppose the reform.

6.9 Conclusion No government is completely ready for e-government, but that does not mean that such projects should not be taken up. It is important to think through a big picture of how e-government will be rolled out over the next four to five years. A balance


should be maintained between planning/co-ordinating and action. Experience from many countries has shown that strategy and planning have important roles in creating vision, goals and targets. The articulation of a vision, which could take some time given the need to reach consensus and win over stakeholders, should not impede the launching of small-scale quick-strike projects. A few quick-strike projects implemented in a nine to twelve month time-frame can motivate government agencies to follow suit and help bring momentum to the conception of a national strategy and legal enabling framework. If there is an overemphasis on planning and coordination (such as forming various committees) and not enough attention is paid to the actual implementation, the credibility of the strategy may suffer in the eyes of the civil servants. In devising an e-government strategy there is no one size that fits all. Often, very different strategies have been used by different states/countries, as is illustrated in the case of Andhra Pradesh and Karnataka which are considered leaders in e-government in India (see Box 6.3). In the initial years, the outcome did not appear to be very different because the bulk of the civil service in both states was keen on preserving the status quo. However, in the long run, AP is moving ahead because of its investments in capacity building and developing a coherent vision and strategy. Box 6.3: A tale of two states Karnataka’s e-government effort was largely based on several key departmental initiatives. Some of these projects, like Bhoomi and Khajane, are now up and running and are beginning to create an impact. In Karnataka, there is an almost complete reliance on the National Informatics Centre (NIC-a state agency) for development of applications. Karnataka later paid attention to the task of developing a vision and strategy for e-government. A strategy paper was formerly launched in October 2002. New institutional arrangements were created to promote e-governance. A new post of secretary, e-governance was created in the department of personnel and administrative reform. The task of promoting the growth of the IT sector in Karnataka has been separated from the task of using ICT within the government. (Box 6.3 contd.)

112 Unlocking E-Government Potential (Box 6.3 contd.) Andhra Pradesh (AP) started with a well-articulated vision and strategy in 1999. Two major planks of AP’s strategy are strong partnership with the private sector and a very strong emphasis on capacity development of civil servants. The Andhra Pradesh Programme for Chief Information Officers is an example of rare foresight on part of the political executive. The programme was designed by the Indian Institute of Management Ahmedabad. Nearly 10 residential programmes, of an 8–12 weeks duration, have trained 200 officers from 25 departments in the last 10 years. Senior line officers with an aptitude for ICTs are selected from different agencies. The programme aims to transform participants into Chief Information Officers (CIOs) who can lead large e-government projects from conceptualization to implementation. The programme objectives are: • Provide a holistic view of an e-government project. Define scale and scope of project to balance benefits and costs. • Provide adequate skills in the analysis, design and implementation of an e-government application. Learn to re-engineer business processes, enact/revise regulations for efficiency, transparency and reduced corruption. To effectively monitor such projects during their different phases of life cycle. • Provide exposure to the current trends in hardware, software, communications and networks. Procure cost-effective technology and to acquire a variety of skills for handling techno-commercial decisions. To interact meaningfully with agencies who have been awarded contracts. • Inculcate the importance of managing organizational changes and interagency collaboration and acquire the skills for change management. AP’s e-government programme is centrally coordinated and many projects are centrally directed. CIOs have played significant leadership roles in the AP e-government programmes and projects such as the CARD, e-Seva, SmartGov and e-procurement. The largest difference between Karnataka and AP was in political support. In AP, the Chief Minister, Chandrababu Naidu (1998–2004), was very aggressive in pushing the use of technology. Andhra’s e-government programme was widely publicized and admired. In Karnataka, political support existed but at a lower key. Karnataka also has a few projects that are nationally very visible. Source: Author.

7 Making E-Government Work for Rural Citizens Reducing poverty and generating employment are the topmost priorities of many developing countries. In spite of many propoor programmes directly targeting poverty and a decent rate of Gross Domestic Product (GDP) growth, countries like India have not been able to tackle poverty and hunger effectively. Asia is still home to the world’s largest number of poor people. If the Millennium Development Goals (MDGs) are to be achieved in the 2015 time-frame, there is a need to develop new effective strategies. Therefore, any alignment of e-government with the needs of the poor will make e-government politically more attractive in most developing countries. Large investments are being made in e-government programmes in many countries and currently, there is a lack of pro-poor focus in these programmes as was pointed out in Chapter 2. A few projects in some countries have yielded significant positive gains for the poor demonstrating the potential of e-government to impact the poor. However, there are a number of challenges in providing e-delivery of services in the rural areas that need to be overcome. Therefore, a strategy needs to be developed to align e-government to the needs of the poor and develop models of delivery that can be cost effective in rural areas. This chapter presents a few ideas on how large investments, being made in many developing countries on e-government, can be focused on creating an infrastructure that can deliver government services which are directly beneficial to the rural and urban poor. Such infrastructure could also be used to pipe in services from the private sector that benefit the poor. Section 7.4 identifies projects that have delivered different types of benefits to the poor so that similar projects can


be taken up by various countries. The chapter also explores the ICT enablement of existing programmes and governance reform initiatives that are designed to accelerate the development process and help in improving MDG performance.

7.1 How Can ICT Use and E-Government Help the Poor? Figure 7.1 indicates that the poor can be helped by ICT in a variety of ways: by reducing the cost of inputs for their economic activities, enabling them to get better prices for their produce and by fulfilling their social needs which may otherwise not be met. Both the private and public sectors are currently engaged with the poor in their day-to-day life activities. Since the main reason for high cost of servicing rural client is the lack of basic infrastructure, it is the business of the government to ensure that the poor are not put to a great disadvantage even in the case of ICT infrastructure. Figure 7.1: Where can ICTs help rural citizens? Private sector and cooperatives

Supply of inputs

Procurement of produce

Issue of certificates and licences Development info on projects, schemes, expenditure and income

Supply of consumer products and services Knowledge and info useful for economic activities

WHERE CAN ICTs HELP RURAL CITIZENS?

Entertainment and info for social needs Training for employment and economic opportunity

Source: Author.

Minutes of panchayat proceedings Delivery of health and educational services

Access to markets

Common Services Centre

e-Government

Making E-Government Work for Rural Citizens 115

The poor can be helped indirectly if organizations serving them become more efficient. In the last three decades, ICTs have enabled private sector organizations in developing countries to become globally competitive (Glinskaya and Narayan 2007). Government organizations have used ICTs for internal efficiency and improved delivery of services. A few experiments have demonstrated that many pro-poor growth strategies such as ensuring property rights, connecting the poor to markets and lowering transaction costs can be made more effective through ICTs. The poor can also be helped more directly. ICTs are seen as a tool for life long learning for citizens, enabling knowledgeable workers to improve skills and their capacity to innovate by accessing knowledge via the Internet from the public domain. ICTs should be able to play a similar role for the rural and the poor to help them participate in the emerging knowledge society. Creation of multi-functional telecentres in the rural areas can provide avenues for employment become a means of training in new vocations and a source of information for key economic and social activity of the community. The use of ICTs within government systems can improve the delivery of services to the poor and empower them to participate in decisions on resource allocations that affect them. Transparency and accountability can also be increased. The real challenge lies in the inclusion of rural populations.

7.2 Challenges in Building Pro-Poor E-Government Pro-poor e-government will need back-end computerization in local governments that deliver services which are important for rural areas. In India, these are the village/taluk and district level Panchayati Raj institutions and government agencies present at these levels. Currently, the back-end computerization is limited to the district level. However, current computerization is focused on planning and monitoring and is not geared for delivering services. The other key problem is the one of creating service centres


from which rural poor can access services delivered by government agencies as well as the private sector. Creating economically viable telecentres in rural areas is a possible means of providing access to rural and isolated populations. Many countries like India, Sri Lanka, Mongolia and Fiji have set up telecentres in remote rural areas. Similarly, many NGOs have set up telecentres in rural areas. For example, in India about 10,000 of the total 600,000 villages may be covered with a telecentre today. Only half of these have Internet connectivity. Many of the telecentre projects in different countries were set up a decade ago but have failed to sustain and scale up. Some experiments like Gyandoot (see Box 7.1), which had many innovative features, failed to sustain because of weak infrastructure and the fact that the back–end computerization was not done. Box 7.1: Gyandoot project The Gyandoot project was launched on 1 January 2000 with the establishment of a low cost Intranet connecting a server at the district headquarters with 20 government-owned information kiosks in five blocks of the district. Subsequently, 17 privately owned kiosks were added. The information kiosks (consisting of a computer, a modem, a printer, a UPS and furniture) were located in government buildings or in a market along the main road. Each kiosk provided services to 20 to 30 villages and a population of about 30,000. The owners of the kiosk, mostly young and educated, were jointly elected by the village committees and the local community. Villagers could apply for different government services (copy of land record, old age pension, birth certificate) and file complaints online and access market prices through these kiosks. As the back-end at the district was not computerized, hard copies of e-mails received by the official at the district headquarters (complaints and applications) were forwarded manually to the concerned departments. To ensure financial sustainability of the project, a fee of Rs 15 was charged for the services provided at the kiosks. Kiosks had to pay 10 percent of the income from government services to the district council. A licence fee of Rs 5000 per annum was also paid by a kiosk. Privately owned kiosks added services such as STD/PCO, photocopy, horoscope and computer training. To popularize the concept, cash awards (Rs 2,000–5,000) were offered to the three best performing kiosks. Moderate activity levels (more than 6,000 e-mail complaints) were reported in the very first year of the project operation. Villagers who use (Box 7.1 contd.)

Making E-Government Work for Rural Citizens 117 (Box 7.1 contd.) the Gyandoot kiosks saved time and cost of one trip to the district headquarters. Over time, infrastructure bottlenecks such as slow and unreliable dial-up connectivity and irregular power supply (a 6–hour power cut was a regular occurrence) forced additional investments in power back-up and made these kiosks economically unviable. Often, the availability of power supply determined the timings for which the kiosks could be opened. The number of users had diminished significantly by the third year of the project. The initial team of district officers who conceived the idea and implemented it enthusiastically were transferred out. Various departments in the district headquarters slowly reverted to the unresponsive attitude to citizen’s requests for services and complaints. An important lesson is the need to institutionalize the improvements and not make them dependent on the project champion. The back-end should have been computerized and significantly re-engineered so that applications received electronically could also be processed fast within the district headquarter. An evaluation study (IIMA 2002a) reported that the grievance redressal system, which was very popular initially, left 90 percent of the users dissatisfied in terms of response time as well as corrective action. Similarly, the process of obtaining land records had become more tedious and prone to corruption. Prior to Gyandoot, land records could be obtained directly from the patwari, (though ‘speed money’ had to be paid). But now, even though the request can be filed electronically, speed money has to be paid to the tehsildar (the authorized signatory of the land record) and sometimes to the kiosk owner who printed the land record certificate. For issue of certificates, kiosk owners had replaced the earlier agents, doing the job for a fee (more than that prescribed by Gyandoot but less than the fee charged by other agents). Source: Author.

Some of the reasons why telecentre projects did not scale up are:

Poor Infrastructure and High Cost of Access in Remote Areas Most developing countries lack the necessary infrastructure to build computerized system and provide access to such systems via the Internet in rural and remote areas. Even the basic infrastructure of a stable electricity supply does not exist in rural/remote areas of most countries. Basic communication infrastructure such


as access to telephony is also poor as is reflected in Table 7.1. In the absence of telecommunications infrastructure, providing Internet access in rural areas becomes expensive. The cost of installation and maintenance are also higher than in urban areas. There is a need to encourage the establishment of Small and Medium Enterprises (SMEs) in rural areas which can service the ICT infrastructure at a lower cost.1 By some estimates, the cost of an Internet kiosk in a rural area is nearly twice the cost in urban areas because a rural kiosk needs a power back-up as well as a satellite connection for communication besides the computing equipment (Shakeel et al 2001). Some of the countries are experimenting with new technologies which can lower the costs of providing access in rural areas. Even if Internet access is provided, it is unlikely to be broadband, limiting the kind of applications that can be supported. The experience of some countries suggests that the problem is one of the last mile. Many countries, like India, have invested in large networks using optical fibre which connect the semi urban towns but do not reach the villages.

Problem of IT and General Illiteracy In addition to the problems of infrastructure, there are problems of illiteracy that need to be overcome. Applications have to be designed for use by illiterate people and non-English speaking people to provide a local language interface. Use of devices such as touch screens, can further multiply the costs. Building content in local languages can also be an expensive proposition. In general, there is a lack of IT literacy. This requires that most online services need to be offered through an intermediary (operator) who can understand the need of the illiterate client, operate the computer to service the need and often interpret the out-put if the need is informational. In most rural/inaccessible areas, large pockets of semi-literate populations have not yet had any experience of benefiting from Akashganga servicing the computerized milk collection centres in 1000 locations in rural Gujarat. 1


access to knowledge and information. Nor can they conceptualize the benefits of electronic delivery of government services. The demand for services, therefore, needs to be catalyzed as it is weak. An effort needs to be made to understand the latent needs. In the face of a weak demand, building appropriate content without a market pull working is another challenge that is not recognized.

7.3 How Can Telecentres Be Made Viable? These challenges suggest that the task of creating viable telecentres is too large for any single organization to handle on its own. A partnership between the government, civil society and private sector is the best way to promote digital inclusion and pro-poor government programmes. The private sector can bring in the investments and operational management expertise, the government can provide the enabling policies and bridging subsidies and the civil society can intermediate between the technology and illiterate populations by interpreting the needs and scouting for solutions. Some of the telecentre projects built by the private sector have scaled up in a limited way and have been successful in catalyzing and servicing the demand. There are lessons to be drawn from these projects (IIMA 2004). Such projects were focused on creating economic viability as a means of ensuring long-term sustainability. One of the basic conditions for viability is that the telecentres are multi functional (Senthilkumaran and Arunachalam 2002). They should offer service which can serve all kinds of needs (see Figure 7.1) of the rural population. The design of each project must focus on services that help generate income. These could be affordable user fees, commissions from delivery of priced services offered by the private sector and opportunities of earning advertising revenues. Rural populations are willing to pay a fee for systems that have very clear business or personal uses. Villagers are not enamoured of electronic delivery. The uptake depends on whether significant value is being delivered in comparison with existing ways of receiving information and services.


Other useful lessons include the need to work with many different technologies to overcome constraints in delivering services, adapting business models to local contexts to make them sustainable, and harnessing entrepreneurial capacity of the rural community—they possess great acumen, but need plenty of training. Figure 7.2 identifies the four basic conditions that will need to be fulfilled for telecentre projects to be successful. Figure 7.2: Basic conditions for making telecentres viable Technology that makes rural access inexpensive and robust

Applications that draw a large clientele that pays for the service, ensuring economic viability of the kiosk

Bridging the Digital Divide

NGOs and grassroots organizations that catalyze and manage the community building process

Content that empowers rural citizens and enables formation of communities

Source: Author.

The government can be helpful by identifying services that are needed by a large proportion of the poor, so that these can serve as the killer applications. For example, in Karnataka, Bhoomi has become the killer application supporting 800 privately run telecentres. Governments need to develop pragmatic policies on providing subsidies to compensate for higher costs of taking ICTs to rural areas or vulnerable groups. However, subsidies are not required in all cases and private sector may well be able to provide access in those areas which have a strong rural economy. There are many ways to provide the subsidy on a competitive basis. Only in the most backward areas would a direct intervention by the government may be needed. Private


sector has already recognized the importance of an intermediary. Successful telecentre projects have spent a significant amount of effort in identifying a local entrepreneur who can play the role effectively. The governments will need to do more on providing incentives to the private sector as well as directly contributing to development of content. Based on the Indian experience, success in setting up telecentres on a large scale is likely by organizations with financial resources, leadership, strong project management and ability to discover valued services (Network Orchestrators). Four models have emerged: 1. Large private/public/cooperative sector companies operating in rural markets may be able to derive sufficient value by improving their own business processes to make such centres viable and scalable (Bhatnagar nd).2 Once these are established e-government services and services from other private content providers can also be piped in. For egovernment services government agencies should take the initiative to build partnerships with these organizations. 2. E-government services that are valuable and can support a user fee can be delivered through franchised telecentres which are privately owned. 3. Private sector companies can partner with providers of valued service as well as with rural entrepreneurs (who create and operate the access points) to orchestrate the operations of a large network of kiosks (Bhatnagar nd).3 The government must come forward to partner with such agencies. 4. Government subsidizes access to basic infrastructure and invites network orchestrators to set up a specified number of telecentres giving them an exclusive access to government services. E-chaupal is the best example of this model. ITC has established 6000 rural Internet kiosks to provide information and services to farmers that sell their produce to ITC. 3 Drishtee is an example of this model. Nearly 1500 kiosks are operational in India. 2


There are three ways in which the needs of the poor could be targeted by an e-government programme: building infrastructure to provide access points, provide incentives to providers of content for rural populations, building applications that directly benefit the poor and encouraging participation by the poor in the design of applications so that needs of the poor are articulated. For creating telecentre based access to rural populations, governments need to put together an organizational design that will bring together different partners with specific value proposition, incentives and rules to cooperate. India is addressing some of the above issues through its National e-Government Plan (NeGP) which aims to (a) implement mission mode projects in key departments (that focus on development or serve rural populations) with large public interface, (b) ensure that even the remote areas can benefit from ICT and (c) provide generic programme components including capacity building. Four of the 26 mission mode projects under the NeGP have a direct focus on serving the rural populations (see Figure 7.3). First is the creation of 100,000 Citizen Service Centres (CSCs) with private entrepreneurship where the aim is to create access points for one out of six villages for delivery of services as mentioned by the department of information technology (CSCs). Each state has been carved out into several regions and bids have been invited from private and non-governmental organizations to orchestrate the creation of CSCs within the specified regions. The government has promised to build networking infrastructure that the CSCs can connect to locally. Different states are in different phases of rollout of this programme, but in general, the progress is slow with only a few states having processed bids. The other two projects on e-district and e-panchayat will support computerization of the back-end in local governments at the district and panchayat level to offer services to rural populations. The fourth project is on creating a unique identity for every citizen (UID nd).4 It proposes to initially create a central database of residents above the age of 18 years, and generate a Unique Identification number (UID) for all such residents. This UID 4

Project UID is an MMP that is being driven by the Planning Commission.


would at the first instance serve as the basis for efficient and effective delivery of various social and welfare services to persons below the poverty line (BPL). Figure 7.3: NeGP MMPs focusing on the poor

Employment exchange Services & information from panchayats

Services from private sector RURAL CITIZEN

Services from collectorate and district/state agencies

Unique ID (UID) Use of data for improved targeting

ePanchayat back-end computerization of panchayats CSC Access point for service delivery

eDistrict back-end computerization of departments delivering services to rural population

Agriculture back-end extension services, mandi computerization

Source: Author.

Often, the failure to impact the poor comes not from a lack of intent and strategy but from poor implementation. Institutionalizing national e-government plans and designing implementation mechanisms that will ensure the development of appropriate applications and make them sustainable should be seen as the more important part of the strategy building process.

7.4 Examples of Pro-Poor E-Government Applications Once the CSCs are created and back-end in district administration and panchayats is computerized through MMPs in NeGP, a variety of services can be offered to the rural population from CSCs. Lokvani is a good example (see Box 7.2) of the kind of services that could be scaled up.

124 Unlocking E-Government Potential Box 7.2: Lokvani Lokvani, a rural e-governance application, was started in 2004 by the government of Uttar Pradesh in Sitapur district in partnership with existing private cyber cafes. Lokvani offers various online services such as land records, information on various government schemes and status of various applications through cyber cafes. Of all the services offered, the online grievance system has been more popular among the residents. People can file their complaints through kiosks for a nominal fee and kiosk owners ensure that complaint has been filed properly and a reference number has been issued. Residents can then track their complaint status online through visiting these kiosks later. In addition, the government has also started a telephone based service, Lokvani Complaints Status Information System, through which residents can get information on the complaint, complaint status, name of officer to whom the complaint was referred and the response through dialing a designated number (Prologix 2005). On an average, the government receives 100–150 complaints daily and more than 60,000 complaints have been redressed in 1.5 years in Sitapur alone. Source: Kumar 2006.

Ultimately, the impact of e-government on the poor will come from meaningful identification of applications that either help the poor increase their income or lower the cost of their livelihood activities. Table 7.1 provides several examples of projects that have been implemented on a pilot/full scale basis in different countries and have delivered benefits to the poor. The applications are classified according to five major types of benefits delivered. In each type of benefit, examples with brief description are provided that deliver specific outcomes related to the major benefit. Both types of applications are covered—those which deliver government services to rural populations and those which make rural development programmes more efficient and effective. For most examples, a reference is provided where more details can be obtained. Amongst those applications that deliver services to the poor, computerization of land records is a prime example of significant benefits being delivered to the poor. The Bhoomi case (see Case 9.1) describes how poor preferred the computerized system while the rich urban farmers preferred the old manual system.


E-government at the local government level is likely to create the most impact on the poor as most serviced delivered by the local governments in rural areas are meant for the poor. A few panchayats (local elected government) in India have used ICT for service delivery.5 As was pointed out earlier, NeGP includes a MMP on panchayats. Gujarat is perhaps the best example of a concerted effort to take ICTs to local government level in a well coordinated programme (see Box 7.3). Box 7.3: Progress of e-panchayat in Gujarat Gujarat has 25 districts, 223 taluks and 13693 village panchayats with a total rural population of 31.7 million. The yearly annual expenditure of the panchayat department in 2006–2007 was Rs 3.352 billion, whereas the revenue earned was Rs 4.086 billion. Gujarat has computerized (computers, laser printer and UPS) village panchayats under a scheme labelled e-gram. All district panchayats are to be equipped with video conferencing facilities. All taluka panchayats are connected through Gujarat State Wide Area Network (GSWAN). A rapid rollout of the scheme was possible as special purpose vehicle called the e-gram Vishwa Gram Society was created under the chairpersonship of the Chief Minister and an executive body headed by the principal secretary. A PPP model has been deployed to leverage IT resources at the village panchayat. VCEs (Village Computer Entrepreneurs) will be selected for all e-grams. Apart from the e-gram services (issue of land record copies, birth certificate) VCEs could provide commercial services such as collection of payment for utilities like electric supply, telephones and work as an agent for postal insurance and stamp paper services. E-gram services are provided at a fee which is shared among the panchayat, VCE (Box 7.3 contd.) Bellandur was one of the earliest GPs to be computerized in the country in 1998. Today, it holds a full-fledged database on the 2500 families residing in five villages covered by the VP. Details, such as land records, property tax records, birth and death records, ration card details and voter lists are stored in the data base. Citizens can get a variety of certificates based on this data by paying a service charge of Rs 50. The computerization project is an independent initiative funded by the Village Development Committee (VDC). Further, Bellandur has also been airing its committee meetings over cable television in 20 neighbouring villages for over a year now as mentioned by R. Sarkar (Sarkar 2003). 5

126 Unlocking E-Government Potential (Box 7.3 contd.) and operational expenses. The PPP model provides additional income to the village panchayat, self-employment opportunity for the rural youth and prompt services to public. The Gujarat government is setting up 3000 CSCs in addition to computerized village panchayats to cover the entire rural population. All CSCs are to be broadband enabled. The connectivity of village panchayat will be completed by June 2008. It will be compatible with the existing GSWAN and provide for data, voice and video (over IP) services at the panchayat offices. The sources of funds include grants from state and central governments, the World Bank and public contribution. To strengthen the financial management and transparency, accounting firms have been hired to implement a double entry accounting system for the PRIs over the next two years at a cost of Rs 90 million. Training and accounting manuals have been prepared and circulated among PRIs. An online browser based application called ‘VIKAS p@th’ has been developed for approval, reporting and monitoring of panchayat schemes which is available through kiosks. This has been implemented in few districts on a pilot basis. Gujarat has put considerable efforts in building capacity: • Technical support of one assistant programmer, one operator and a district-level executive is available at the district level, and one operator, two executives is available at the taluka panchayat. Four hundred and sixteen technical staff has already been deployed. • At the taluk level connectivity to the Bhaskaracharya Institute for Space Applications and Geo-Informatics (BiSAG) studio is available, which is useful for capacity building. An IT orientation programme for all types of functionaries is broadcast once a week through BiSAG studio. • Basic training has been provided to all VCEs and those with average skills are being re-trained by Teaching Learning Equipment (TLE). • A basic computer training programme of 40 hours for talatis and 20 hours for elected members of the Panchayati Raj is being provided under which 8688 elected members have been trained. • Computer operators have been provided training in operation and upkeep of the centre, hardware management and upkeep of new software and new versions of existing software. • Representatives of the Training Service Provider attend various meetings regarding issues of e-gram panchayats. A total of 30,000 certificates have been issued indicating that it is early to discuss actual usage and impact. Source: Ministry of Panchayati Raj 2008 (375–376).

Making E-Government Work for Rural Citizens 127 Table 7.1: Examples of pro-poor e-government applications Indirect benefits to the poor gained through greater efficiency in the delivering agency Expanded reach, enhanced quality and reduced costs of service delivery in health, education, sanitation, water, police Daknet, India—The project involves use of WiFi technology to transmit data between kiosks, using Mobile Access Points (MAP) and portable storage devices mounted on a vehicle. This application helps in providing access to the Internet and voicemail services in remote rural areas. MIS /planning and monitoring within the agency Health Management Information System, Gujarat—The project involves the use of IT supported applications for record keeping, monitoring pre-defined health indicators and health database management in 12 of 30 government hospitals. This MIS application has helped administrators to have better monitoring and control of the functioning of hospitals across the state. The record keeping and report preparation has enhanced the quality of health services. Strengthen local administrative capacity through accounting and financial management systems Efficiency of agency in delivery of services to the poor Planning systems for improved allocation and utilization of resources India Healthcare Project, Andhra Pradesh—The project provides Auxiliary Nurse Midwives (ANMs) with personal digital assistants (PDAs) for data capturing, data transmission and report generation. The data captured is then used to develop a health database. The database developed through the project helps in efficient allocation of resources. Better targeting of direct subsidy and assistance through identification of poor Nationwide Poverty Registration Project, Thailand—The project allows people to register their grievances with the government. The problems gathered are then classified and published onto a website. The project helps in creating a poverty map to know the real causes of poverty and eases the planning and operation process Enhancing skills and knowledge of extension workers Direct economic benefits to the poor: enhanced employment opportunities Skill development and training Technology for the People (TFTP), Andhra Pradesh and Karnataka—The telecentres are converted into Resource Centres to provide skills development training, education to school drop-outs and skill mapping of individuals. The project makes innovative use of ICT to resolve individual developmental challenges and also to make them more employable. (Table 7.1 contd.)

128 Unlocking E-Government Potential (Table 7.1 contd.) Greater awareness of opportunities Krishi Vigyan Kendra—The Krishi Vigyan centres provide training to farmers, women and youth through audio-visuals with emphasis on long-term self employment. Also, conduct various programmes for farmers to teach them about latest technologies relevant to their profession. These centres help in identifying farmers’ needs and bridge the technological gaps. Facilitating contact with employers Employment exchange (e-rozgaar), Jharkhand—The project enabled computerization of employment exchange and introduced online registration and renewal facility. The information registered is categorized as unskilled/skilled depending upon the needs. This project facilitates contact with employers and promotes awareness about available opportunities. Direct economic benefits to the poor: enhanced livelihood opportunities Access to markets for products and services E-Krishi, Kerala—This project consists of setting up a toll-free call centre for the farmers and buyers to register on a portal for trading produces in Mallapuram district of Kerala. This initiative facilitates and enables farmers to sell their produce efficiently. Skill development for opening new enterprises, creating new services Rural Knowledge Centres, Pondicherry—The project establishes a multipurpose centres, managed by the community, equipped with computers, Internet, scanner, printer and web cameras. The services offered depend on the community needs. These centres facilitate empowerment by disseminating information, focusing on skill building at local level and also offering access to expert advice. Banking and financial services within easy reach at reasonable costs such as micro credit Computer Munshi—In this project, local youth are trained to set up a small business to provide computerized accounting services to Self-Help Groups (SHG). This project helps in increasing employability of rural youth while providing access to proper accounting services to SHGs. Information/knowledge (design) inputs to improve quality of products and services Soochna Se Samadhan Sewa (Lifelines India)—The farmers access this paid service by dialling a designated number to register their query and receive an answer within 24 hours. This project helps in disseminating information and exchanging knowledge inputs to improve quality of products and services among marginalized and rural communities. (Table 7.1 contd.)

Making E-Government Work for Rural Citizens 129 (Table 7.1 contd.) Better prices for agriculture produce through current price information and efficient supply chain MANDIS, Madhya Pradesh—The ICT system connects the mandis (agricultural commodity market) located in remote areas and provide a series of services such as latest information on daily arrival of crops, rates at which the crops have been sold, etc. Aggregation of demand for inputs to production processes to reduce input costs. Extension services to bring innovations in agri-production and services E-Sagu, Andhra Pradesh—The project provides quality personalized agroadvice to the farmers through use of ICT. The agricultural expert gives advice to the farmers by getting information in digital form through photographs. This project enables farmers to improve productivity by using the expert advice in a personalized and timely manner. Lower cost of accessing government services and reduced corruption Reduced cost of accessing transactional services (issue of licences, certificates, payments) Bhoomi, Karnataka—This project involved computerization of land record system in the state and online delivery of RoRs, tenancy and crops to farmers. It allows farmers to access database of land records. It has also improved transparency by providing greater access to information. Improved quality and lower costs of communication services Shyam Telecom, Rajasthan (rural areas)—Drivers peddle mobile payphones throughout the countryside providing exclusive opportunity for disadvantaged rural community members to make a call or send an SMS. The project ensures access to communication technology in remote rural areas. Direct social benefits to the poor Citizen engagement with governance at local level Community Radio, Nepal—The Village Development Committee (VDC) has started conducting various awareness programmes on the rights of women and children, legal rights and human rights through community radio. The project helps creating awareness and addressing local issues. For instance, a campaign against the production and consumption of liquor in the village with the help of community radio. Empowerment in dealing with government agencies through grievance redressal Parishkaram Call Centre, Andhra Pradesh—This project created a helpline for citizens to complaint, check the status of the complaint and seek information on various government schemes, services, examination results, admissions related to 25 government departments. This helpline ensures grievance redressal and provides information on government services. (Table 7.1 contd.)

130 Unlocking E-Government Potential (Table 7.1 contd.) Transparency in dealing with local, state and central governments Mandakini ki Awaaz Community Radio, Uttaranchal—As part of the programme a radio group mediates between the people and the local governing bodies in order to create an open platform where policies, schemes and financial budgets can be made available for public discussion and scrutiny. Access to healthcare e-Sanjeevani, Hyderabad—The project was tested on pilot basis in two villages. The health care system consists of two machines one at the urban centre where an expert doctor is available and the other is a mobile hospital which is a bullock cart mounted mobile unit shuttling between various clusters of villages. Audio, visual and vital signs and patient records are transmitted in real time. Environmental sustainability Access to information on government programmes (information on development projects/schemes, expenditure and income) e-Sampark and m-Sampark, Chandigarh—This project offers various services through its e-sampark website and allows people to register grievance and helps them in filling applications under Right to Information Act. The m-Sampark provides similar services through mobile phones where an SMS is send to a number to access menu of services. Access to general knowledge in social, economic and political affairs Sim Tanka and Jal Chitra, Rajasthan—The project uses a software for evaluating drinking water quality, levels of groundwater pollution, predicting roof-top rainwater harvesting, agriculture and integrated water resource management. Provides specific information to villagers in terms of water resource management. Source: Author.

7.5 Gender Focus of E-Government Projects Poverty is one of the major reasons for vulnerability. The inability of the poor to afford access to any sort of computing equipment further denies them an opportunity to use ICTs to improve their circumstances. There are other forms of vulnerability such as old age, physical handicap and IT illiteracy that need to be recognized in designing e-government applications. Insensitivity to gender issues is another reason that leads to vulnerability. Service planners and deliverers keep women at the centre of their service design and delivery efforts. For example, in the delivery


of health services, are there special programmes geared to women’s needs? Will ICT serve large number of women, generate greater awareness among women about child and health care, improve the mobility, reach or effectiveness of health workers who deliver the medical and extension services to poor women? Do e-government initiatives view women as a special category of service recipients with unique needs and preferences? An equally important concern is political empowerment. Electronic delivery of services such as issue of certificates, licences and tax collection by governments is largely confined to regulatory agencies. There are very few examples of e-government where health and education services are being delivered through the use of ICT. In most of these examples there is little focus on content that is especially useful for women or on services that are primarily used by women. A pilot application in Andhra Pradesh is an exception where ANMs use PDAs to record service data on mother and child health care and family planning. The use of PDAs makes the task of the ANMs less burdensome, increases efficiency in data collection and storage, and streamlines the actual delivery of services (see Box 7.4). Most e-government applications are of recent origin and have not been evaluated in detail to determine whether they promote greater use of services by women. FRIENDS, in Kerala, is an exception. It provides one-stop service centres to collect all kinds of payments made to government agencies, including utility bills, university fees and licence fees. An evaluation of the project in 2002 showed that the number of women making such payments at the FRIENDS service centres was more (11.3 percent) than the number of women making similar payments at 74 departmental counters (3.1 percent). Eighty percent of women respondents indicated a preference for using the FRIENDS centre. Whether this helps women in any particular way is difficult to state. In some e-government projects, women have emerged as unintended beneficiaries. For example, in Brazil’s efforts to provide e-government services in rural areas of Bahia, women happen to gain most from the visits of the mobile Service Assistance Centre (SAC) unit because men migrate to cities to seek employment and women constitute the pre-dominant rural population. The SAC is

132 Unlocking E-Government Potential Box 7.4: India health care project The basic health care delivery system in India is implemented through the Primary Health Centres (PHC) employing female outreach workers called ANM, each covering a population of 5000. These ANMs deliver health care to rural people at their homes and maintain a number of records in registers. In a pilot, PDAs were provided to the 459 ANMs based in 67 PHCs in Nalgonda District of Andhra Pradesh State for capturing data at the doorsteps of the rural people. In the project district, ANMs captured and updated data in PDAs, completely eliminating the maintenance of multiple paper registers. Nearly 30 percent of an ANM’s time spent on record keeping was released for field work and improved planning. Data from all the PDAs was uploaded to the PHC computer, to generate a variety of MIS reports. The PDAs generated activity plans such as reminders for immunization, ante and post-natal care for pregnant women and distribution of contraceptives. The schedules helped the ANM to know which households she needed to visit. With the training that was provided ANMs did not have any problems in using the PDAs. Effectiveness of services improved. For example, in treating a high-risk pregnant woman, the history of past treatment and allergies proves to be very useful. Source: Author.

a large truck equipped with a computer and other facilities to provide birth certificates, identification cards, labour identification cards and criminal record verification to the rural community at their doorstep. It remains parked near a rural community for a few days before moving to the next rural area. Examples of conscious incorporation of women-friendly policies and practices in e-government are almost non-existent. In social service delivery, women are recipients of benefits arising from the use of ICT, especially through services such as health and education. Being passive beneficiaries of these services, women have little power to influence the use of ICT. It is necessary, therefore, that these services are designed and implemented keeping in mind the special requirements, convenience and preferences of women. E-government projects meant to benefit women can succeed, provided women are consulted and involved both at the design and implementation stages and their concerns and requirements are addressed through the project.

8 A Framework and Methodology for Impact Assessment In this chapter we present a framework for assessing the impact of e-government projects and describe a methodology that has been tested in the field for assessing the impact of a large number of projects. Results from the study based on this framework were discussed in Chapters 3 and 4 in the context of benefits delivered by e-government projects. The framework outlines the stakeholders and dimensions on which impact needs to be measured for each kind of stakeholder and the methodology identifies the steps necessary to make an assessment of impact of a specific project. The framework was developed after reviewing a number of current frameworks being discussed in literature. Impact assessment of e-government projects is important because an increasing number of governments are making investments in e-government on the basis of a few success stories publicized by the media. On the other hand, evidence of failed projects has drawn attention to the level of risk in implementation. A failure rate of more than 50 percent based on the opinions of 15 experts and student submissions is widely cited (Heeks 2003). In the context of developing countries, many projects launched have not led to any significant improvement in the delivery of government services. A report by the United Nations laments the fact that documented research on the social or economic impact of e-government development is virtually non-existent (United Nations 2003). A systematic and clear assessment to a better understanding of the effects of e-government applications introduced by the public sector on the socio-economic, organizational and behavioural


changes and the factors involved in these changes is therefore needed to guide policy regarding future investments in this area. Currently, there are few frameworks or methodologies available to accurately measure the success or failure of an e-government project. Success is often judged on the basis of media reports, recognition by international agencies and assessment provided by the project implementers. In all of these cases clients who are supposed to benefit from these projects supply no feedback. If feedback is recorded, it is usually anecdotal and not based on a systematic survey. An evaluation of four successful projects in India through independent agencies, carried out in 2001, had revealed surprising results. Two of the four projects that were recognized as successes actually showed up as failures. It is important that e-government projects have an in-built component of periodic assessment by an independent agency. This is in addition to a continuing feedback mechanism from the clients.

8.1 Evaluation of E-Government Projects Done in the Past Based on a review of documentation on 175 projects, the conclusions a World Bank report drew on the kind of evaluations being carried out in practice are: 1. Evaluative studies had been done to serve a variety of purposes. Some studies looked at implementation success in terms of whether the systems were functioning as they were designed to or the degree to which the specified outcomes were achieved. Some studies looked at long-term sustainability and replicability of the project.1 Some studies measured the benefits that were delivered to agencies. Few studies have focused on the benefits to the clients. There was hardly any comprehensive study that assessed the Government of India, Ministry of IT had commissioned quick assessment of 29 projects. 1

A Framework and Methodology for Impact Assessment 135

2.

3.

4.

5.

impact on all the stakeholders and covered both short-term and long-term direct and indirect impacts. There were a few studies that had carried out a cost-benefit analysis. Often evaluation studies had been done by agencies that may be seen as having an interest in showing a positive outcome. A variety of approaches had been used for evaluation. These included surveys, expert opinions, ethnographic studies and internal assessments produced by the lending agencies. Different studies of the same project showed very different outcomes, thus, indicating a lack of credibility of results.2 Part of the reason for different outcomes was the use of very small samples and a lack of rigour in sampling and collecting data from the clients of the systems. The results could therefore not be easily generalized over the entire population of clients. The studies evaluated the functioning of the computerized system but were not able to assess the difference made by ICT use as the need for counterfactuals (evaluation of systems as they worked before computerization) was ignored. Often the impact of ICT use was not separated from other interventions that were made simultaneously with the computerization effort. Finally, since different studies did not use a standard methodology, it was difficult to compare the outcome for a project with other projects. Many researchers have noted that past evaluation studies have not used a common framework or methodology and that rates of success/ failure have been declared based on purposive samples (Peters et al. 2004).

For example, the Bhoomi project of issuing copies of land title has been evaluated by the Public Affairs council reporting significant positive outcomes including reduction in bribes. Recent studies by a team from the Massachusetts Institute of Technology (MIT) and the Indian Institute of Information Technology (IIIT) Bangalore found that corruption had not declined and major benefits were derived by land sharks. 2


8.2 Review of Literature on Impact Assessment While a significant amount of academic and policy studies have been carried out on how best to evaluate public sector ICT projects, these have so far proved inadequate in providing policy-makers with a systematic framework for evaluation. The first group of studies provides macro-level estimations of e-government activity using appraisal indices focusing on supply-side, quantifiable measures such as web presence of government, network coverage, institutional and regulatory support and human capital provision (UNPAN 2004; West 2005). Such factor-based assessments of e-readiness do not have immediately obvious and tractable policy implications. They tend to focus almost exclusively on the measurement of physical access to certain types of ICT without incorporating other issues such as affordability, appropriateness, ICT capacity and training, and the regulatory and macroeconomic environment (Bridges.org 2005). The second group of studies, which have occurred in a largely anecdotal piecemeal fashion, provide project-level evaluations with little prospect for synthesis from past approaches. A small number of studies have focused on the impact of projects in terms of how they affect both citizens and government agencies, but findings have seldom been linked to broader national, regional or global trends, for example, in terms of changes in the approach to development and governance policy (Grant 2005; Heeks 2003a; Madon and Kiran 2002). The US Government’s Performance Reference Model (PRM) is a widely-cited model which aims to measure value creation in the public sector.3 The framework builds from value chain and programme logic models to reflect how value is created as inputs (such as technology), are used to create outputs (through processes and activities), which in turn impact outcomes (such as mission, business and customer results). Guiding the entire PRM framework is a strategic outcome representing broad policy priorities which is seen to drive the direction of government. Some of the main techniques included in the PRM are strategic planning and analysis, business cases, value chain, applied information economics and the balanced scorecard. 3


Common best practice factors for value creation in e-government projects have been well-documented in several reports by governments and external consultants (Accenture 2002; EU 2003; Gartner 2002). One example is the study conducted jointly by the Danish Ministry of Finance and Accenture which identifies two primary dimensions of value: (a) value to investors in terms of tangible financial benefits, cost savings, cost avoidance and increased revenue, and (b) value to users in terms of improved services, reduced cost and/or time savings to citizens and reduced administrative burden to businesses. The calculation of time and money spent in finding and using public information are the most direct and measurable benefit of e-government applications to users as shown in recent Organization for Economic Cooperation and Development (OECD) and EU studies (eGEP 2005, Lau 2005). These reports identify improved revenue collection, lower costs due to efficient processing of transactions and a reduction of administrative burdens due to simplification or elimination of procedures as some direct impacts that can be measured. Financial savings to users in terms of time and money spent in finding and using public information are the most direct and measurable benefits of e-government applications for clients. A significant amount of work has also been done on studying users’ perceptions of quality in terms of attributes such as accessibility, attitude of staff, cost of service, provision of information, procedural fairness and convenience. Calculation of net economic benefit of an IT project has proven to be extremely challenging as outcomes are multi-dimensional and composed of both quantitative and qualitative indicators. It appears that there is room to give further attention to the linkages between issues of quality of service, governance, wider impacts on society and ICT investment. More recent frameworks are evolving around a notion that an exclusive focus on financial costs and benefits for the government leaves out many important non-economic benefits (Lau 2005). One such benefit relates to improvements brought about in various aspects of governance activity. Another non-economic benefit relates to the addressing of wider policy priorities which for the context of developing


countries could constitute the priorities as articulated in the UNDP Millennium Development Goals. Most of the assessment models proposed in the literature have not been used in a developing country context and many have actually not yet been applied in practice even in developed countries. Nor do they account for a variety of delivery models used in developing countries such as common service centres and franchised outlets that can retail e-services offered by the government. Practical issues of paucity of data have not been taken into account—particularly in a developing country context where baseline surveys are not done and monitoring and evaluation systems are weak. Since impact assessment is the key objective, establishing counterfactuals is an important element of the proposed measurement framework. Two approaches—Method of Analysis and Value Enhancement (MAREVA) developed by the Agence pour le Dévelopement de l’Administration Electronique—Electronic Administration Development Agency (ADAE) in France with the help of Bearing Point and the WiBe Economic Efficiency Assessment methodology being used by the German federal administration (Federal Ministry of the Interior 2004)—were useful in developing the framework proposed in this chapter. These methodologies developed by the two governments in the EU countries focus broadly on the same dimensions. They offer two levels of impact assessment: first, in terms of how the project provides a business case justification of expenditure and second, in terms of how the project meets the goals of the agency concerned and, in turn, how this helps in meeting wider government strategies. Guiding these assessment frameworks is a strategic outcome pursued by respective governments representing broad policy priorities that drive the direction of government. These considerations have been incorporated in the assessment framework proposed for e-government projects in this chapter.4 4 The indicative items are based on a review of the following documents: (a) Performance Reference Model of the US Federal Enterprise Architecture Framework used by the office of Management and Budgets in the US Federal Government, (b) (European Commission 2005), (c) (Rao et al 2004), (d ) (Lau 2005) and (e) (Bruno 2005).


The framework focuses on the idea of measuring the total value delivered by a project to different stakeholders and takes a balanced approach between case study and quantitative analysis. It recognizes that some part of the value for each stakeholder can be monetized and other part needs to be assessed qualitatively. The next section provides more detailed description of the measurement framework and how the framework was derived.

8.3 Proposed Measurement Framework An e-service delivery project impacts three groups of stakeholders: (a) clients receiving the service, (b) agency (including several partners) that delivers the service and (c) the larger society consisting of citizens, businesses, government as a whole and civil society. The impact can be assessed in terms of a variety of outcomes experienced by each type of stakeholder. Since ICT is introduced mostly in the context of governance reform to improve efficiency, effectiveness and transparency of governments, a crucial first stage is to ascertain to what extent these intended outcomes from ICT applications in the public sector have been achieved. Table 8.1 lists key dimensions of outcomes and the indicators that can be considered for each type of stakeholder. The generators of these outcomes are inputs and business processes. Therefore, assessment needs to incorporate project information such as inputs (technology, human capital, etc.), process outcomes (re-engineered processes, shortened cycle time, improved access to data and analysis and flexibility in reports) and organizational processes (institutional arrangements, organizational structure and other reform initiatives of the government that might have influenced the outcome for the IT project) (Hu et al. 2005).

8.4 Methodology of Measuring Impact on Clients While the framework and indicators to be measured for each dimension can be applied across all types of service delivery projects, the selection of survey methodology can vary based on

140 Unlocking E-Government Potential Table 8.1: Key dimensions of impact on various stakeholders Stakeholder

Key dimensions of impact

Client.

• Direct and indirect economic costs (number of visits, travel costs, travel time, waiting time, elapsed time for service delivery, service fee and cost of bribes). • Governance (corruption, accountability, transparency and participation). • Quality of service (error rate, decency, fairness and convenience).

Agency (Including partners in implementation).

• Direct and indirect economic impacts (operating cost reduction, revenue growth, amortized costs of investments, collection of service fees and incidence of fraud). • Governance (corruption, accountability, transparency of rules, procedures, decisions and participation in project design). • Performance on key non-economic objectives (coverage of under-served population, basket of services, MIS for monitoring and decision support). • Process improvements (integration of services across agencies, reduction in data handling, record maintenance: accuracy, consistency, security and disaster recovery and transaction traceability and audit trails).

Society and government as a whole.

Impact on development goals (poverty reduction, increased employment, economic growth and social sector development).

Source: Author.

the characteristics of the projects, available resources for evaluation and the desired level of control of the quality collected data. Key elements of the methodology include: 1. Interviews and focus group can be used in conjunction with surveys to obtain deeper understanding of the process of how values are created. Data collection should be done by independent agencies that are not seen to be connected to the project implementers. 2. Sampling procedures should be such that small impact can be calculated, estimates can be projected for the entire population and the accuracy of such results can be defined.


Project Selection Selection of projects would depend on the purpose of assessment. For a retrospective evaluation of investment decisions or decisions about replicating projects in other geographies, mature projects should be selected. Maturity is reflected in the number of years for which the project has been operational, the designed scope (services that have been computerized and the number of steps that have been automated for each service) of the project and extent to which it has been achieved and the extent to which electronic delivery of services covers the targeted population. Projects that are still evolving on any of the above dimensions will not be considered mature.

Constructing a Project Profile Get the approval of the agency to conduct the study. Explain the purpose of the assessment and broad methodology that will be used to key officers of the agency including the head. Even though the study may be funded from independent sources, data would need to be collected from the agency. If the agency does not cooperate it will be difficult to assess agency level impact. Data would need to be collected on the project context: basic information on the type of clients (users), types of services delivered, mode of delivery; scale of operation and years of operation at current scale and coverage. Projects can be implemented with different scale and scope: 1. countrywide, by national level agencies such as Income Tax, Customs and Excise and Department of Company Affairs; 2. state-wide, by agencies such as the transport department, commercial tax department, registration department or 3. at a local level by a district or municipality. Services could be offered to different client segments such as citizens, businesses or intermediaries (such as chartered accountants and cargo handling agents). The scope of the service could be limited


such as in filing an online application or could be wide, and may cover the complete process of delivering a service as in processing a bill of entry, e-payment of duty and clearance of goods. Study the delivery of services and collect data on the number of different types of transactions handled. Identify the key services (based on volume or contribution to fee revenue or taxes) based on inputs from agencies. Identify different stakeholders that could be impacted.

Design of Data Collection Instrument There are three basic ways of collecting data from clients: through face to face interviews conducted by trained investigators, surveys conducted over the Internet and focus groups conducted by trained researchers. Direct interviews of an adequate sample of users are a powerful way to extract detailed information from the users about actual economic impact and the perception on quality. The time and costs associated with this approach, however, may not make it amenable for frequent use. The Internet survey, on the other hand, can be an effective tool to collect information in a short period of time, but it is difficult to control the characteristics of respondents. Limited interviews and focus group methods can be used to complement this weakness. Choose the modes of data collection depending on access to funds and research assistance. Use professional market research agencies with trained investigators for face to face interviews. Its cost will depend on the time it will take to survey a client, number of locations at which clients have to be surveyed and the number of respondents to be surveyed. The costs could vary between Rs 150 and 500 per respondent depending on the nature of location of respondents and the size and complexity of the instrument. Use the framework to develop a questionnaire for the clients. Customize the survey instrument to each project and the specific services being studied. It is meaningful to measure costs in the context of a specific service. Adapt the questionnaire in the local language using colloquial terms. A sample questionnaire is


presented in the annexure at the end of the chapter. Some useful tips for questionnaire design are: • Design the analytical reports prior to the survey. Often key variables can be missed if the nature of analysis in not thought through prior to the study. • Pre code as many items in the questionnaire as possible. • Use consistent coding for scales—representing high versus low or positive versus negative perceptions. • Use worded questions differently to measure some key items/perceptions. • Wording of questions should be appropriate to skill level of interviewer and educational level of respondent. • There are many ways to elicit responses on perceptions measured on a scale. Scales can be read out or symbols associated with each point on the scale can be displayed for semi-literate users.

Selection and Training of Investigators Select a team of investigators. Investigators need to have a higher qualification and experience than is usually required for a social sector survey. Investigators would need to understand the basic steps through which e-delivery of service takes place and also understand terms that are used in measuring governance. It is necessary for the investigators to observe the process of service delivery by visiting a delivery centre. The team would usually undergo a training programme. The study team should participate in the training of investigators. Unless investigators have clarity on what is being measured through each question, the quality of data would be poor. Many examples would have to be provided to explain meaning of terms such as travel cost, transparency, accountability, etc. Test the questionnaire with actual users before. Feedback from pre-testing of questionnaire should be discussed between the study team and investigators. The feedback may include the length of questionnaire, interpretation of each question and degree


of difficulty in collecting sensitive data. Assessing the quality of investigators is a good idea. Training and feedback sessions can be used to weed out investigators.

Determining the Sample Size Data needs to be collected from two groups—one which has used the e-government system being assessed (users) and the other which has used an alternate system (non-users) that was replaced by the e-government system. Samples drawn from the two groups may consist of entirely distinct set of respondents. The two samples should be similar in terms of characteristics like education, income, age, geographical proximity. Normally the sample of users of the e-government system is easier to select from the current users of the system. However, the selection of a sample of nonusers is difficult because the alternate system may not be in use currently. One strategy to match the two samples can be to first do a pilot study to develop a profile for users of the e-government system. Based on the profile, screening questions can then be developed to screen out non-users that do not match the profile of the users. The detailed survey would then only be conducted from the matched non-users. Alternatively, if a sample can be found consisting of respondents who have experienced both systems (e-government and counterfactual), then two distinct samples are not needed. However, when asking respondents to compare their experience of both (e-government and counterfactual) systems, we should make sure the results are not sensitive to recall bias. Table 8.2 analyses different delivery modes and indicates the conditions under which two distinct samples are needed. Effect size is used to measure the magnitude of impact (of computerization in this case) and can be computed as the standardized difference between the two means. Effect sizes (Cohen 1988) can be defined as small (between 0 and 0.2), medium (> 0.2 and = 0.8). Sample size is determined by the desired effect size that we would like to be able to statistically detect with the desired precision (power) needed for the study. The primary criterion for determining the sample size in an impact analysis is the ability to ‘detect’ an impact of a desired magnitude

A Framework and Methodology for Impact Assessment 145 Table 8.2: Counterfactuals in sample selection under different types of delivery modes Self-use: through a portal Frequent Mandatory Example, annual filing of company reports in MCA 21. A common user group with experience of both the manual and computerized systems.

Infrequent

Assisted: service centre Frequent

Infrequent

Example, registration of a new company in MCA21.

Example, issue of RTC in Bhoomi.

Example, registering property.

Different user groups for manual and computerized system with matching profiles.

A common user group with experience of both the manual and computerized systems.

Different user groups for manual and computerized system with matching profiles.

Voluntary Example, passport application. Difficult to match the profile of those who opt for self-use and those who do not. As part of assessing impact, reasons for use and non-use by the two groups will have to be understood.

Example, payment of bills in e-Seva Different user groups for manual and computerized system with matching profiles.

Source: ‘Annexure 2.4 guidelines for Selecting Sample Design and Size for State level Projects’ (Department of Information Technology 2008).

with a high degree of confidence—the Minimum Detectable Effect (MDE).5 In other words, if we believe an impact of a certain magnitude has policy relevance, then we should have the statistical power to test whether or not it is statistically different from zero. The smaller the MDE, the more likely we will be able to detect smaller impacts. The MDE depends on: MDE=Factor (α, β, df) * √(Var(Impact)/σ where Var(Impact) is Variance of Impact Estimate; ó is Standard Deviation of the Outcome Measure and df is Degrees of Freedom for test. This depends on the total sample size and sample design. Generally this is equal to Total Number of Individuals − Number of Strata −1. Factor is a constant function of the significance level (α), statistical power (β) and the number of degrees of freedom. For two-tailed tests with greater than 100 degrees of freedom, a 5 percent significance level and 80 percent power factor is equal to 2.80. 5


• The expected variance of the impact estimate. • The assumed significance level (selected to reduce Type 1 error), typically assumed to be 95 percent. • The assumed ‘power’ level (selected to reduce Type 2 error). The typical level chosen is 80 percent. At this level there is an 80 percent chance of detecting an effect as big as the MDE. These three factors determine the minimum detectable effect size, that is, the smallest programme effect that has a reasonable chance of detection. A sampling frame needs to be developed for data collection through structured survey for clients. A stratified sample for sub regions of the total coverage is useful in maintaining precision of estimates. In case of service centres (the most common way of delivery), activity levels (number of users), geographical spread of the catchment area, level of transport infrastructure and profile of the users would influence cost of access by users. The variability in demand and efficiency of service centres and in the location of user, in terms of the distance from a service centre, need to be captured in the process of stratification. A sample size is calculated so that accurate estimates of impact can be calculated and the results can be projected to the entire population. The sample size is determined in terms of: • number of service delivery centres to be selected; • number of locations (cities/towns/villages from which users/non-users are selected) within the catchment of each service centre and • number of users (and non-users) within each location. For a given total sample size, increasing the number of delivery centres provides the most power.6 On the other hand, For example, in assessment study of 36 projects by DIT, for each state level project a sample size of around 800 respondents was found to be adequate. These respondents were distributed over the 20–30 sampling units (delivery centres) in proportion to the activity levels experienced by these units. For each sampling unit two locations (one far and one near) were selected for the actual survey of respondents. Average number of respondents per location was 20. 6


increasing the number of interviews (respondents) per sampling unit does not improve power. Also, for a given number of sampling units that can be visited, it is better to include larger number of service centres rather than more locations (within the catchment of each service centre) from which respondents are chosen. The sampling unit from where the respondents are to be interviewed should be chosen on the basis of distance of the unit from the delivery centre. Locations can be categorized as far and near. The number of respondents from ‘far’ or ‘near’ location can be proportionate to the number of respondents visiting the delivery centre from such locations. A list of users 5–10 times the size of the actual number to be selected for each of the selected sampling units is compiled. Desired number of respondents can be chosen from the list on a random basis.

Conduct of the Survey Survey teams have to be supervised tightly with no more than 2–3 teams per supervisor. Quality of supervision by market research agency is crucial. Generally the supervision is much worse than specified in the contract. Physical supervision by study team of the survey process is a good idea, even if it is done selectively. The Market Research (MR) agency should be asked to document the results of their field supervision. One of the key items of supervisory check is the legibility of data recording by investigators. A pre-specified proportion of filled instruments have to be verified by the supervisors. This requires that the complete address of the respondent be recorded so that the supervisor can validate the survey of randomly selected respondents.

Data Entry and Establishing Data Validity Data entry can be done in a format that can be directly input into a statistical analysis package. The format can be specified after taking a decision on the data analysis package. Statistical Package for the Social Sciences (SPSS) provides adequate range of


analytical procedures for analysis of survey data. Some useful tips for ensuring data quality are: • Randomly check for data entry problems by comparing data from questionnaires with printouts of data files. • Check extreme values for each item in data files and identify unacceptable values for coded items. • Cross-check the data recorded for extreme values in the questionnaire. • Check for abnormally high values of standard deviation. • Even though a code may be provided for missing values, there can be confusion between a missing value and a legitimate value of zero. • Look for logical connections between variables such as travel mode and travel time, bribe paid and corruption. • Poor data quality can often be traced to specific investigators or locations. • Complete data validity checks before embarking on analysis.

Analysis and Reporting Given the proposed framework and methodology, impact can be analyzed in several ways. The first type of analysis is by stakeholders and key dimensions of impact on each type of stakeholder. For citizens, impact on cost, quality, governance and overall satisfaction need to be reported with the attendant levels of statistical significance. It is useful to report monetizable and qualitative impacts separately. If the samples are adequate, impacts can be further analyzed by the profile of users (for example, rural/urban, high income/ low income in case of citizens) and the mode of delivery (service centre versus portal). Similarly impact can be analyzed by location (region/city/taluk/village) of the service centre. If a large number of projects have been assessed, it may be possible to report on impact of different types of applications based on data from clusters of projects. The more interesting part


of the analysis is to use the qualitative understanding of a project and its clients to explain the nature and quantum of impact and the variation in impact across projects/services/modes/locations. Examples of the above type of analysis can be found in various sections of this book where results from two impact studies are discussed. If there are models/hypotheses to explain the nature or quantum of impact, these can be tested through more sophisticated analysis.

8.5 Methodology for Measuring Impact on Agency and Society Measuring Impact on Agency A large amount of historical data on operating costs and investments needs to be collected for measuring impact on agency. Formats can be designed for each major item by defining it and specifying the unit of measurement. A workshop to discuss the formats with employees/investigators who will assist in the process of data collection is very useful. For measuring qualitative perception on improvement in governance, the extent of process reforms carried out and the degree to which non-economic objections have been achieved, small surveys of employees and focus group discussions with the same employees can be carried out to gain a deeper understanding.

Assessing Impact of Society There are many components in assessing the likely broader impact on society such as social sector development, growth, employment and poverty reduction. Such impacts can be best assessed in qualitative terms and represented on a Likert Scale. Absolute numbers of users served, nature of service and its frequency of use by clients and the relative importance of the service for the well being of clients needs to be ascertained for any qualitative assessment of such impact.


8.6 Usefulness and Limitations The impact assessment methodology outlined in the preceding can be used: • In new projects as a core element of the project’s M&E (Monitoring and Evaluation) system. • For benchmarking of manual service delivery systems before computerization. • Retrospective assessments of computerized service delivery projects. The methodology defines appropriate indicators for different types of outcomes and provides guidelines for selecting appropriate indicators. The methodology can be used to examine the business case for public sector ICT projects in developing countries by providing better understanding of the costs of such projects and highlighting areas of potential benefits. Manual benchmark surveys can be used to set targets for various components of service level for the proposed system. These targets can define a citizens’ charter for the online delivery of services. Client surveys for assessing the manual system will also provide an understanding of the structure of client costs for accessing a service. The targeted improvements in service delivery can be used to perform a cost-benefit analysis of the proposed system. Targeted improvements in various indicators will also be an input for determining the nature of process re-engineering that would be required and the technical design that would enable the degree of proposed improvement. The design specifications in turn would determine the proposed investments and likely operating costs. Figures on benefits and costs can be compared prior to implementing a project. An estimate of the potential savings in cost to clients will help determine the level of user fee, particularly if somewhat accurate estimates of investments and operating costs can be made.


The limitations that need to be considered while interpreting results are: • For the assessment of the manual system, respondents need to rely on memory. In case of systems that have been operational for a large number of years, such recall can introduce an error. There has been no benchmarking of the service delivery in a manual system prior to implementing a new computerized system—something that needs to be done for new projects that are taken up in the future. • The fact that there are no established reporting standards for public agencies to publish basic operating data in the public domain makes it difficult to collect operational data. Also, public agencies are wary of evaluation and therefore it is difficult to gather data. • Different benchmarks can be used for evaluation—improvement over manual system, absolute rating of computerized system (which can be a moving target) or potential impact that could have been delivered. • The effort required for assessment of a project tends to be under estimated. There are many issues in measuring what we purport to measure: design of questions, training, pretesting, field checks and data triangulation. The next three chapters present case studies on 10 projects of which seven were evaluated using the impact assessment methodology. In each case the impact assessed through the methodology is shared as part of the case.


Annexure 8.1: Suggested Questionnaire for Clients PART 1:

IDENTIFICATION DETAILS

S. NO.

CIVIC CENTRE

NAME OF RESPONDENT _________________________________ ADDRESS

_________________________________

STATUS OF RESPONDENT HEAD ....................................... SPOUSE .................................... FAMILY MEMBER ...................... SERVANT.................................. OTHERS ....................................

DATE OF VISIT (DD/MM)

NAME OF INTERVIEWER ___________

_________________________________ _________________________________

1 2 3 4 5

SIGNATURE OF INTERVIEWER _________________________________________ PART 2:

HOUSEHOLD PROFILE

Q1. What is your age in completed years? Q2. Please record the gender of the respondent Male ................................................... 1 Female................................................. 2 Q3. What is the level of education that you have completed?

lliterate ................................................ Literate without formal schooling ................ Upto 4th standard.................................... 5th to 9th standard................................... SSC/HSC ............................................ Some college but not graduate .................... Graduate/Post Graduate (General) ................ Graduate/Post Graduate (Professional) ..........

Q4. What is your main occupation? SINGLE CODE

Unskilled worker .................................... 1 Skilled worker ....................................... 2 Petty trader .......................................... 3 Shop owner ........................................... 4 Businessman/Industrialist with no employees .... 5 Businessman/Industrialist with 1–9 employees .. 6 Businessman/Industrialist with 10+ employees . 7 Self employed/professional ........................ 8 Clerical/Salesman ................................... 9 Supervisory level .................................... 10 Officer/Executive—Junior ......................... 11 Officer/Executive—Middle/Senior ............... 12 Housewife ............................................ 13 Agricultural labourer................................ 14 Cultivator ............................................. 15 Others (SPECIFY) .................................. 16

Q5. What is your monthly household income =10,000 ...........................................

1 2 3 4 5 6 7 8

1 2 3 4 5 6 7

A Framework and Methodology for Impact Assessment 153 PART 3:

AWARENESS AND USAGE OF CIVIC CENTRES

Q6. Have you heard of the civic centre?

YES .................................................... 1 NO .......................................... 2 END

Q7. How long have you been aware of the civic centre?

MONTHS

Q8. Please specify the source of awareness about the use of civic centre. MULTIPLE RESPONSE

Newspaper ............................................ Television ............................................. Other department pay counters .................... Neighbours ........................................... Colleagues at office ................................. Others .................................................

1 2 3 4 5 6

Q9. Have you or your family members ever visited the civic centre for any service?

YES .................................................... 1 NO .......................................... 2 END

Q10. How often do you or your family members visit the civic centre?

Once in a month ..................................... Once in two months ................................. Once in three months ............................... Once in 3–6 months ................................. Once in an year ...................................... Others (SPECIFY) ..................................

1 2 3 4 5 6

Questions to assess the respondent’s knowledge of the working of the application/service. For example, Q11 and Q12 given below: Q11. Do you know if the civic centre works on Saturdays and Sundays?

SATURDAYS SUNDAYS YES .............................................. 1 NO ............................................... 2 DON’T KNOW ................................ 3

Q12. At what time does the civic centre open and close? RECORD IN 24 HOURS IF DON’T KNOW, CODE 98 PART 4:

TIME OPENS

TIME CLOSES

HH MM

HH MM

1 2 3

SERVICES AVAILED

Q13. Please give details of the services that you have ever availed from the civic centre and the ward office S. Type of service No.

1.

Issue of birth and death certificates

2.

Computation and payment of property tax

3.

Payment of vehicle tax

4.

Filing and issue of building plan and use permission

5.

Complaints

6.

Issue and renewal of licences for shops and establishments

7.

Registration of birth

8.

Registration of death

9.

Payment of TDO fees

Availed the service at civic centre and ward office?

Time last availed the service Civic centre

Ward office

10. Issue and renewal of hawkers licence 11. Issue and renewal of hotel/restaurant licence 12. Right to information 13. Others (SPECIFY)____________________ Yes-1; No-2

Specify month Specify month and year and year

154 Unlocking E-Government Potential PART 5:

COSTS OF AVAILING SERVICE

Q14. From the above services, please specify the service that you consider important so that we may ask you the following questions with specific reference to that service. RECORD SERIAL NUMBER OF THE SERVICE AS GIVEN IN Q13 Civic centre

Ward office

To expedite the process ................1 To enable service to be provided to you out of turn.....................2 To influence functionaries to act in your favour..................3 To reduce the penalty to be paid by you ....4 Others (SPECIFY) ...5

To expedite the process ...................1 To enable service to be provided to you out of turn........................2 To influence functionaries to act in your favour ...3 To reduce the penalty to be paid by you ..........4 Others (SPECIFY) .....5

Q15. How far is the centre/office from your residence? SPECIFY DISTANCE IN METERS Q16. What is your usual mode of travel to the centre/office? Walk-1; Cycle-2; Two wheeler-3; Four wheeler-4; Auto- 5; Bus-6; Others-7 Q17. How many trips did you need to make for the service? Q18. Please specify the average travel cost of making each trip. SPECIFY AMOUNT IN RUPEES Q19. Please specify the average travel time of making each trip. SPECIFY TIME IN MINUTES Q20. On an average, how long do you wait for availing the service after reaching the centre/office? SPECIFY TIME IN MINUTES Q21. What is the total service charge you paid? SPECIFY AMOUNT IN RUPEES Q22. Please estimate the total wage loss, if any, due to time spent in availing the service? SPECIFY AMOUNT IN RUPEES Q23. Have you come across errors in the documents, which required correction? Yes-1; No-2 Q25 Q24. How many trips were required for the correction to be done? Q25. Did you pay a bribe to civic centre/ward office functionaries/agents? Yes-1; No-2 Q28 Q26. For what purpose did you pay a bribe? MULTIPLE RESPONSE

A Framework and Methodology for Impact Assessment 155 Q27. How much money was paid as bribe to the functionaries/agents? SPECIFY AMOUNT IN RUPEES Q28. Was any other amount paid to agents to facilitate the service? SPECIFY AMOUNT IN RUPEES Q29. What was the total cost of preparation of documents? SPECIFY AMOUNT IN RUPEES Q30. What was the total effort required to prepare the documents? SPECIFY EFFORT IN TERMS OF HOURS OR DAYS Q31. Please indicate the change in number of documents to be submitted when you used the computerized system vis-à-vis the manual system?

HOURS

HOURS

DAYS

DAYS

Significantly increased ................................1 Marginally increased ..................................2 No change ..............................................3 Marginally reduced....................................4 Significantly reduced..................................5

Q32. What was the total elapsed time in availing the service, right from the date of application to actually receiving the service? SPECIFY TIME IN DAYS. IF

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