Study into the Potential to Utilize Information and Communication Technologies (ICT’s) to PromoteInclusion, Public Partici...
ContentsList of Abbreviations................................................................................................
9.3. Top three case studies .................................................................................................
List of AbbreviationsATM –     automated teller machineBPM –     Business Process ManagementThe Cloud – highly available s...
IT –      Information TechnologyIVR –     Interactive Voice Response, automated spoken menus that allow callers           ...
1. IntroductionThis the final report for the Study into the Potential to Utilize Information andCommunication Technologies...
4. As organised partners involved in the mobilisation of resources for         development via for-profit businesses, NGO’...
Corruption.” This was an outcome of Project Consolidate and was publicised as aninitiative “to promote a culture of good a...
5. Strengthen partnerships between local government, communities and civil      societyIt is clear therefore that this stu...
hypothetical small / medium sized municipality which successfully uses ICT’s tointeract with citizens and improve local go...
SECTION A: CONTEXT AND LITERATURE REVIEWPCRD, Mbumba & eKhaya ICT – May 2011                    11
2. Introduction   2.1. AimThis section reviews the literature and the body of existing projects that involve ICT’sand whic...
addressed in order to set the scene for transformed government functioning. Theseare mostly, large projects that need to b...
In the international literature a useful distinction is made between e-government ande-governance which is not apparent in...
   The emphasis in e-government rests on ICT use within government for        efficiency objectives       The emphasis o...
Inclusion is part of USAASA’s mandate in terms of the Electronic CommunicationsAct (ECA, 2005). e-Inclusion has not been s...
Participatory democracy is impacted by a range of variables, some of which arebeyond the scope of ICT’s. Participation per...
What are the prospects for South African municipalities to engage in meaningful e-participation relating to feedback, deci...
   AmericaSpeaks or 21st Century town meetings are methods for participation       that use ICT’s: real-time voting on cu...
greatly strengthening democracy within a nation. Also it widens the percentage of thepopulation that is empowered to take ...
Section Summary    Theorists agree that governments undergo transformation in identifiable      phases as they progressiv...
Collaborating and Redesigning   -   Improve information management for better on-line services   -   Use expertise from pr...
Section Summary    Ferguson’s methodology seems to be universally applicable, and it also      seems to be in line with t...
been implemented to raise such influence. Outcome benchmarks generally       provide a much more objective measure of soci...
d) Government OnlineThis is the government website, which is discussed in detail in the next section(technology overview)....
5. Process and Systems Overview using Gartner’s Hype CycleThis section tries to make sense of the process and systems poss...
b) Gain insight into the long-term economic impact of expenditures and make      better, more reliable decisions with larg...
With this idea, Gartner refers to the employees of local government, whose efficiencycan be improved through integrative I...
-   BPM for Government                        -   Internal Communities in                                                 ...
systematically investigated in US businesses. A rather small sample wasinterviewed: 15 senior managers in 5 large companie...
5.3. Process Technology for the South African ContextThis section relates the Gartner publications discussed to the South ...
The primary benefits for users will be improved convenience through reducedauthentication failures and single sign-on. For...
“While the institutional presence on consumer social networks will have a positiveeffect on improving communication with c...
include some government employees. Generally, though, the members of thecommunities are external to local government, henc...
Hypothetical or new technologies which could be developed do not form part of thisreview.To guide the research, a categori...
Figure 2. Mindmap of ICT’s relevant to e-participation in municipalities in South AfricaPCRD, Mbumba & eKhaya ICT – May 20...
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E participation study

  1. 1. Study into the Potential to Utilize Information and Communication Technologies (ICT’s) to PromoteInclusion, Public Participation and Accountability in Local Governance. PREPARED BY PROJECT FOR CONFLICT RESOLUTION AND DEVELOPMENT IN PARTNERSHIP WITH MBUMBA DEVELOPMENT SERVICES AND eKHAYA ICT
  2. 2. ContentsList of Abbreviations..................................................................................................................................... 41. Introduction ............................................................................................................................................ 6 1.1. Context of Participatory Local Governance in South Africa ....................................... 6 1.2. Approach of the Study ............................................................................................................... 9 1.3. Structure of this Document (Roadmap) ...........................................................................10SECTION A: CONTEXT AND LITERATURE REVIEW .....................................................................................112. Introduction ..........................................................................................................................................12 2.1. Aim..................................................................................................................................................12 2.2. Structure of this section .........................................................................................................123. Definitions and Context....................................................................................................................13 3.1. e-government and e-governance ........................................................................................13 3.2. e-Inclusion ...................................................................................................................................15 3.3. e-Inclusion within the SA Municipal Sphere ..................................................................16 3.4. e-Participation............................................................................................................................174. Models for Municipal ICT Transformation ...............................................................................19 4.1. Ferguson’s Methodology ........................................................................................................21 4.2. Developing Criteria for Success ...........................................................................................23 4.3. South African e-Governance Access Models ...................................................................245. Process and Systems Overview using Gartner’s Hype Cycle .............................................26 5.1. Transformational level of maturity....................................................................................26 5.2. Web 2.0 and Gartner Technology Maturity ....................................................................28 5.3. Process Technology for the South African Context......................................................316. Computing Technology Overview ................................................................................................34 6.1. IT Hardware Categorisation .................................................................................................37 6.2. IT Software Categorisation....................................................................................................38 6.3. Mobile Technology ...................................................................................................................40 6.3.1. Established Mobile Application Fields ....................................................................42 6.4. Web sites ......................................................................................................................................45 6.4.1. International Web Site Studies...................................................................................45 6.4.2. Website Studies: SALGA ................................................................................................47 6.4.3. Website Studies: Van der Zee .....................................................................................49 6.4.4. Government Web 2.0 .....................................................................................................51 6.5. Other Technologies ..................................................................................................................53 6.6. Non-Local Government Case Studies ................................................................................557. Legislative and Policy Frameworks.............................................................................................57 7.1. Section 152 (1) of the Constitution of South Africa (Act 108 of 1996) ................57 7.2. The 1998 White Paper on Local Government ................................................................58 7.3. The Municipal Structures Act (No 117 of 1998) ...........................................................59 7.4. The Municipal Systems Act, 2000 .......................................................................................60 7.5. Municipal Finance Management Act, 2003 .....................................................................61 7.6. The Municipal Property Rates Act, 2004 .........................................................................62 7.7. The Electronic Communications Act (Act 36 of 2005) ...............................................628. Conclusion to Section A ....................................................................................................................63SECTION B: CASE STUDIES INTO SOUTH AFRICAN MUNICIPAL PARTICIPATIVE BEST PRACTICE .........669. Introduction ..........................................................................................................................................67 9.1. Potential Case Studies in ICT Usage ...................................................................................67 9.2. Top ten case studies .................................................................................................................69PCRD, Mbumba & eKhaya ICT – May 2011 2
  3. 3. 9.3. Top three case studies ............................................................................................................70SECTION C: FINDINGS, CONCLUSIONS AND RECOMMENDATIONS ........................................7210. Introduction .....................................................................................................................................7311. Findings and Conclusions ...........................................................................................................74 11.1. Clarifying the Meaning of e-Governance in the Municipal Sphere.........................74 11.2. General Factors that Shape e-Participation ....................................................................74 11.3. ICT’s as Tools of Government Transformation .............................................................75 11.4. e-Government Models: South African Government Proposals ...............................76 11.5. Infrastructure and back-office, not participation requires e-focus .......................76 11.6. Hardware and Software Options ........................................................................................7712. Analysis..............................................................................................................................................79 12.1. ICT’s and Formal Participation in Local Government .................................................79 12.2. ICT’s and Non-Structural Forms of Participation in Local Government ..............8513. General Recommendations ........................................................................................................87 13.1. From e-Government to e-Governance ..............................................................................87 13.2. Focusing e-Participation ........................................................................................................89 13.3. Institutional Culture.................................................................................................................89 13.4. Shared Services and Mentoring ...........................................................................................90 13.5. Independent Civil Society ......................................................................................................90 13.6. Incentives for ICT Enabled Participation .........................................................................91 13.7. Implementation Challenges ..................................................................................................91 13.8. More Detailed Examples of Technology Enabled Participation..............................9114. Model of an ICT enabled Local Municipality .......................................................................93 14.1. Infrastructure Level .................................................................................................................94 14.2. Software Level ............................................................................................................................94 14.3. Informational Level ..................................................................................................................9515. References ........................................................................................................................................97SECTION D: APPENDICES ......................................................................................................................9916. Appendix A: Case Studies ........................................................................................................ 100Ten Initial Case Studies........................................................................................................................... 100Three In-depth Case Studies ................................................................................................................. 13417. Appendix B: Survey Questionnaire ...................................................................................... 17118. Appendix C: e-Participation Municipalities Decision Matrix ..................................... 174PCRD, Mbumba & eKhaya ICT – May 2011 3
  4. 4. List of AbbreviationsATM – automated teller machineBPM – Business Process ManagementThe Cloud – highly available server infrastructure, which is paid on a per-use basis i.e. per access by customers, per hard disk space used, per Internet bandwidth.COTS – common, off-the-shelf softwareCBP – Community Based PlanningCDW – Community Development Worker(s)CPSI – Centre for Public Service InnovationDCoG – Department of Cooperative GovernmentDPSA – Department for Public Service and AdministrationECA – Electronic Communications Act (2005)EDGE – Enhanced Data rates for GSM Evolution, also known as Enhanced GPRS (see GPRS below)ERP – Enterprise Resource PlanningG2B – Government to BusinessG2C – Government to CitizensG2G – Government to GovernmentGIS – Geographic Information SystemsGIZ – Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbHGPRS – General Packet Radio Service: mobile data service available to users of the second generation (2G) cellular communication systems global system for mobile communications (GSM).ICT – Information and Communication TechnologiesIDP – Integrated Development PlanIM – Instant MessagingInfomediary – The use of human intermediaries to provide access to ICT’s for challenged or illiterate users.PCRD, Mbumba & eKhaya ICT – May 2011 4
  5. 5. IT – Information TechnologyIVR – Interactive Voice Response, automated spoken menus that allow callers to select options by dialling a number on their telephone.Mashups – This is a commonly used website technology, which refers to the dynamic (automatic) inclusion of content from third party websitesMesh – Wireless Mesh networks can provide cheap access to communities within a municipality.MFMA – Municipal Finance Management Act, 2003MXit – A South African mobile software application that uses data services to allow its users to communicate with each other and network services.PCM – “Please Call Me” Service (cellular telephony)Plug-in – An extension to a product or service which does not change the basic functionality of the original product or service.RICA – Regulation of Interception of Communications and Provision of Communication-Related Information Act, 2008SaaS – Software as a Service (software available only via the Internet, commonly hosted in “the cloud”)SALGA – South African Local Government AssociationSIM (Card) – Subscriber Identity Module, is a removable card which can be used to identify the user of a telephone (see also RICA). The SIM card is a removable electronic medium which can also store logic.SMME – Small, Micro and Medium (sized) EnterpriseSMS – Short Message Service (cellular telephony)USAASA – Universal Service Access Agency of South AfricaVoIP – Voice over Internet ProtocolVVoIP – Video and Voice over Internet ProtocolWiki – Wiki’s are web based software that allows online collaborative editing of shared information.PCRD, Mbumba & eKhaya ICT – May 2011 5
  6. 6. 1. IntroductionThis the final report for the Study into the Potential to Utilize Information andCommunication Technologies (ICT’s) to Promote Inclusion, Public Participation andAccountability in Local Governance. 1.1. Context of Participatory Local Governance in South AfricaThe theory and practice of participatory local governance in South Africa is bound tothe core objectives of local government as set out in Section 152 of the SouthAfrican Constitution viz:  To provide democratic and accountable government for local communities;  To ensure the provision of services to communities in a sustainable way;  To promote social and economic development;  To promote a safe and healthy environment; and  To encourage the involvement of communities and community organisations in the matters of local government.Within the policy and legislative framework already outlined e.g. the 1998 LocalGovernment White Paper and the Municipal Systems Act of 2000, the participatoryand accountability aspects of local governance are of major significance. As theGood Governance Learning Network, a national network of NGO’s specialising inlocal democracy, notes: The quality of democracy in South African local governance can be assessed in terms of the opportunities that exist for public participation; transparency of municipal processes; systems and accountability; the extent of corruption; and the nature of the relationships between elected representatives and officials.1The 1998 White Paper on Local Government provides a useful breakdown of thefour key elements of participation: 1. As voters to ensure the maximum democratic accountability of the elected political leadership for the policies they are empowered to promote; 2. As citizens who express, via different stakeholder associations, their views before, during and after the policy development process in order to ensure that that policies reflect community preferences as far as possible; 3. As consumers and end users who expect value for money, affordable services and courteous and responsive service;1 Good Governance Learning Network 2008, Local Democracy in Action, p16PCRD, Mbumba & eKhaya ICT – May 2011 6
  7. 7. 4. As organised partners involved in the mobilisation of resources for development via for-profit businesses, NGO’s and community-based institutions.These elements provide a useful conceptual lens and framework for understandingthe use of ICT’s and their success or lack thereof in advancing participation andaccountability.The practical enactment of these principles has seen:  A code and guidelines for service standards and delivery (Batho Pele)  Wall to wall ward committees as structured and legally sanctioned forms of neighbourhood participation  Regularly convened forums for involving citizens in planning – the IDP forums  Budgeting cycles that legally oblige municipalities to seek citizen’s input and scrutiny  Public meetings or Indabas convened around key municipal eventsMany of these systems however, have not fully met expectations. For example,public surveys highlight a number of problems with the ward committee modelincluding a lack of clarity around the roles of the ward committee, the ‘stocking’ ofcommittees according to political party loyalties, and lack of resources. Otherweaknesses include poor links with sectoral interests, poor representivity and weakelection procedures.2Clean governance and financial accountability persists as an on-going challenge inlocal government as consecutive Auditor General and National Treasury reportsattest. The Auditor General’s report for the period ended June 2008 indicates thatmore than half (54.4%) of the countries 283 municipalities had either disclaimers,adverse opinions or some degree of qualification in their audit reports. Thepercentage of municipalities cited for unauthorised, fruitless or wasteful expenditurerose from 38% in 2006/2007 to 45% in 2007/2008.It is not surprising therefore, that since 2000 public perception surveys by Markinorand other research agencies suggest that corruption in local government isperceived to be on a par with corruption in government line functions that areparticularly prone to perceptions of corrupt practice e.g. the Department of HomeAffairs.The principal legal instrument to combat financial irregularity and corruption is theMunicipal Finance Management Act, which aims to create more direct accountabilitywithin council, specifically with regard to the decisions and controls exercised bymayors, mayoral committees and finance officers. In spite of this, investigationsshow that the major sources of corruption are tenders and procurement procedures.Government has launched several programmes to deal with these trends; e.g. inOctober 2006 the Department of Provincial and Local Government (DPLG) launcheda strategy entitled “Government and Communities in Partnership to Prevent2 Good Governance Learning Network 2008, Local Democracy in Action, p 30PCRD, Mbumba & eKhaya ICT – May 2011 7
  8. 8. Corruption.” This was an outcome of Project Consolidate and was publicised as aninitiative “to promote a culture of good and ethical governance.”Accountability safeguards are also built into the legislative framework. The MunicipalSystems Act includes Codes of Conduct for both Councillors (Schedule 1.) andOfficials (Schedule 2.) The Codes set out legal parameters that govern theprofessional behaviour and conduct of councillors and officials and many of theprovisions are designed to prevent irregularity, corruption and misconduct that wouldpotentially threaten the credibility of local government as an institution.Despite these endeavours, the control that citizens exercise over elected leadershipand municipal officials appears to be weakening. The State of Local GovernanceReport (2009 Working Document) by Cogta notes: A culture of patronage and nepotism is now so widespread in many municipalities that the formal municipal accountability system is ineffective and inaccessible to many citizens.While South Africa has strong structural models for participation, the performance ofthese models is questionable. According to Cogta (2009) there are about 3790wards established countrywide, involving nearly 40 000 community representatives,however, independent NGO research over the last 5 years has been unable to showan appreciable contribution of these bodies to effective municipal – communitycommunication. The 2009 State of Local Governance Report underlines this worrynoting that, “…the functionality and effectiveness of the ward committees is a matterof serious concern.”The Cogta (2009) report also highlights the consequences of weakened publicparticipation and accountability: In respect to community engagement with public representatives, in instances where it was found that there was a lack of a genuine participatory process, due to political instability, corruption and undue interference in the administration, then it can be said that there is a failure to provide democratic and accountable government. This failure is growing as evidenced by the community protests and intense alienation towards local government being expressed by such communities.The most recent and comprehensive response to failings and challenges in localgovernment was the 2010 Local Government Turnaround Strategy (LGTAS)devised by Cogta largely on the basis of the State of Local Governance Report andother key research produced by the National Treasury. The LGTAS sets out the keyfeatures of an ideal municipality and advocates tailor-made interventions accordingto the specific governance patterns in individual municipalities. The LGTAS is guidedby five strategic objectives: 1. Ensure that municipalities meet the basic service needs of communities 2. Build clean, effective, efficient, responsive and accountable local government 3. Improve performance and professionalism in municipalities 4. Improve national and provincial policy, oversight and supportPCRD, Mbumba & eKhaya ICT – May 2011 8
  9. 9. 5. Strengthen partnerships between local government, communities and civil societyIt is clear therefore that this study potentially contributes towards all these objectivesand in particular objectives 2 and 5.A broad range of good governance interventions are outlined by Cogta for achievingthe above objectives e.g. working towards clean audit reports, organisedparticipation in IDP processes, properly constituted staffing complements with the“right people for the job” etc. However the interventions that this study would mostclosely align to are: • Improved public participation and communication including effective complaint management and feedback systems • Political office bearers deployed in municipalities are well trained, inducted and have the capacity and integrity to provide leadership in the best interest of communities • Councillors are responsive and accountable to communities • A good citizenship drive encompassing: - Greater involvement in municipal affairs - Ethical behaviour - Prioritising the poor and vulnerable - Loyalty to the Constitution - Volunteering / community service - Transparency and accountability of Public Office - Responsiveness of Public Officials - Support and partnerships - Common national patriotism - Rights and responsibilities are inseparableIn line with these intervention strategies the LGTAS has resolved (within theparticipation / accountability theme) to prioritise the implementation of a new wardcommittee governance model, strengthen transparent supply chain management,use public works programmes to drive ward-based development and use the goodcitizenship campaign to “unite the nation” and mobilise public involvement in localdevelopment.Practical evidence of roll-out of the LGTAS is lacking at this stage (May 2011) butthe design and purpose of this survey would seem to fit well with the intendedpurpose and strategies of the LGTAS. 1.2. Approach of the StudyAs indicated, the broad objective of the study is to identify the potential forstrengthening public participation and social accountability in South African localgovernance through the use of ICT’s, in the form of e-Inclusion and e-Participation ande-Government programmes. In order to ensure that the study remains relevant tosmall / medium local government, the study will make use of a reference model i.e. aPCRD, Mbumba & eKhaya ICT – May 2011 9
  10. 10. hypothetical small / medium sized municipality which successfully uses ICT’s tointeract with citizens and improve local governanceThe reference model will explain how the municipality can use ICT’s as well asbenefits these will bring and will be constructed from an analysis of the literature.The model is not described in the literature review. The aim of the literature review isto provide the conceptual foundation for programmes of support and engagement topilot and/ or implement the model or components thereof. 1.3. Structure of this Document (Roadmap)This document has three content sections, which follow logically from each other,and an appendix section with additional resources. 1. Section A defines important terms that are used throughout this report and reviews the literature available on international and local best practices. An important result of Section A is to define the two axes that are crucial to the further development of the report in the later sections, namely: a. Models of maturity of local government bodies: these describe transformational processes required to reach e-governance maturity from the organisational perspective. b. A taxonomy of ICT technology and processes: this clusters types of technology together and reviews the technical processes that technology can support in local government and reviews the latest technologies in use by local government. These axes are important as they provide the perspectives for the analysis in Section B and the recommendations and modelling in Section C. Section C suggests which kinds of municipality should utilise which kinds of technological inputs to improve specific dimensions of e-governance. 2. Section B presents a review of innovative ICT use in 10 municipalities. Three municipalities were then short listed and interviews were performed with various stakeholders at each municipality. The three municipalities were selected from a set of 10 municipalities that had been profiled via web and telephone. 3. Section C synthesises the findings from Section A and Section B into firm recommendations for implementation of e-participatory technologies and processes in municipalities. 4. Section D contains appendices which are useful reference resources for the reader.PCRD, Mbumba & eKhaya ICT – May 2011 10
  11. 11. SECTION A: CONTEXT AND LITERATURE REVIEWPCRD, Mbumba & eKhaya ICT – May 2011 11
  12. 12. 2. Introduction 2.1. AimThis section reviews the literature and the body of existing projects that involve ICT’sand which are relevant to the local government context. Owing to time limitationssome aspects of this study may be fairly cursory as the review attempts to cover theentire breadth of the subject. Particularly noticeable in the literature review is the lackof scientific studies into e-participation in the local government sector. We believethat this is due to the fact that there is an extremely fast rate of development withinthe software industry, combined with the somewhat more cautious approachassumed by government. Thus, the majority of the most innovative local governmentICT developments are only available as project reports and not scientific reports,which is reflected in this section.The aim of this literature review and context overview is to: 1. clarify the concepts of e-Government, e-Inclusion and e-Participation as they appear in ICT literature at international level 2. describe the context in which these terms are used in South African local governance and the way the concepts manifest in actual ICT systems 3. identify and motivate for those ICT’s that have most relevance for small / medium sized municipalities, using a wide variety of reliable business and academic sources 4. provide an overview of the current legislative and policy frameworks, including the Municipal Structures Act, the Municipal Systems Act, the Municipal Finance Management Act and the Promotion of Access to Information Act in terms of their relevance to the use of ICT’s in local government. 2.2. Structure of this sectionSection A begins with definitions of e-participation and other important concepts(section 3). e-governance (as opposed to e-government) is the concept used as itencapsulates the democratic (participative, accountable, etc.) notions pertaining to e-government.The next section discusses models of transformation and the criteria that can beused to measure whether an ICT pilot is successful in the local government context(section 4). Section 4 makes it clear that ICT’s can play an important role in theprocess of transformation of local government.Section 5 overviews the processes and systems in government that need to betransformed. These are the type of functions in local government that need to bePCRD, Mbumba & eKhaya ICT – May 2011 12
  13. 13. addressed in order to set the scene for transformed government functioning. Theseare mostly, large projects that need to be undertaken on a national level and requiremuch investment and coordinated effort.In section 6, an overview of computing technologies is presented together with amore detailed discussion on individual technologies in order to ascertain if there areany quick and easy methods in the ICT toolbox that could be applied withoutcompletely transforming local government. The findings show that there arenumerous things that can be done with ICT’s to engage with the public and thatseveral projects could be employed in the field of e-governance.Section 7 considers the legal and policy frameworks that any ICT intervention atlocal government would have to fit into and questions are raised regarding localgovernment’s fulfilment of its legal obligations.The report concludes with an overview of findings in this theoretical, section.3. Definitions and Context 3.1. e-government and e-governanceMaria Farelo and Chris Morris (2006) of the Department of Public Service andAdministration and the Meraka Institute respectively, define e-government as “…theuse of ICT to promote more efficient and effective government, facilitate moreaccessible government services, allow greater public access to information, andmake government more accountable to citizens.” The South African LocalGovernment Association or SALGA (2010) defines e-government in the samemanner.Martin Ferguson (2002: Executive Summary) identifies a number of trends in thedelivery of local e-government around the world:e-services: securing and providing government services by electronic meansexamples include the USA, UK, Canada, Germany, Spain, Singapore, Hong Kong.e-governance: linking-up citizens, stakeholders and elected representatives toparticipate in the governance of communities by electronic means (including e-democracy) e.g. Brazil, Netherlands, Finland, Italy.e-knowledge: developing the skills and the ICT infrastructure to exploit knowledgefor competitive advantage, e.g. Brazil, Singapore, Hong Kong, Republic of Ireland.The 36 case studies in Ferguson’s report examine projects and initiatives that focuson one of the three elements to Gartner’s definition of e-government (Gartner, 2000,and also used extensively in SALGA, 2010), namely customer service, internalefficiency, and citizen’s engagement.PCRD, Mbumba & eKhaya ICT – May 2011 13
  14. 14. In the international literature a useful distinction is made between e-government ande-governance which is not apparent in Farelo and Morris’s (2006) use of e-government as a catch-all term. This distinction is set out below in the discussion ofHolzer and Kim’s 2007 international evaluation of digital governance inmunicipalities.Marc Holzer and Saeng-Tae Kim of the E-Governance Institute at Rutgers Universitysurveyed ICT use in municipalities as part of the Digital Governance in MunicipalitiesWorldwide Survey. They assessed the practice of digital governance in largemunicipalities worldwide in 2003, 2005 and 2007. Holzer and Kim outline animportant distinction between digital government (e-government) and digitalgovernance (e-governance). - Digital government uses digital technology to deliver public services - Digital governance includes digital government but has the additional element of digital democracy i.e. citizen’s participation in governance.Holzer and Kim (2007: 3) provide further insight on the meaning of e-Government asit relates to municipalities: Municipalities across the world are increasingly developing websites to provide their services online; however, e-government is more than simply constructing a website. The emphasis should be more focused on using such technologies to effectively provide government services.In South African government circles, therefore, e-government is equated with e-governance and covers a broad range of considerations from transforming howgovernment works, being more citizen-centred, managing information, public-privatepartnership, customer feedback, and engaging with the public (Farelo, M & Morris,C. 2005: 2) There is also an understanding that e-government has sectoralcomponents such as e-health and e-education. This merging of e-governance and e-government therefore creates a fairly complex notion of service considerations mixedin with work culture, performance feedback and participatory considerations.Whether this departure from the international convention is a useful conceptualapproach is a moot point.e-Government also typically includes intra-government application of ICT’s aimed atgreater efficiency and effectiveness – this element will not be examined in this study.Nevertheless, it is noted that e-Government may also be unpacked according to anunderstanding of the different parties involved in transactional arrangements(government, community, business). This has given rise to a set of acronyms thatdescribe such transactions. The South African e-Government “vision” for example,sets out the priorities and key objectives of government in terms of G2G, G2C, andG2B transactions (Farelo, M & Morris, C. 2005: 5).Section Summary  Many varying definitions of e-government and e-governance exist, which can cause some confusion in a detailed analysis such as this study however the terms of reference point strongly towards an e-governance focusPCRD, Mbumba & eKhaya ICT – May 2011 14
  15. 15.  The emphasis in e-government rests on ICT use within government for efficiency objectives  The emphasis on e-governance looks at ICT use within the interactions between government and civil society  This study uses the definition of e-governance that covers both efficiency imperatives achieved through digital government and the digital enhancement of citizens participation or participatory local governance 3.2. e-InclusionEuropean Union political stakeholders claim that e-Inclusion is more than theavailability of electronic media to ensure that people can be part of the politicalstructure in question (in Europe, these are the local, regional, national and Europeanstructures). Instead, such media must be actively brought to the constituency by thestate, in order to de-marginalise groups that face barriers in accessing that media,such as the physically disabled and other minority groups. The EU, thus, defines e-Inclusion in the following way3: “The use of ICT to make society fully inclusive,ensuring that the benefits of ICT are made available to everyone withoutdiscrimination.” The inclusive benefit implied in this definition relates to the access toICT rather than the use of ICT to access specific online content or e-governmentservices, where access includes such basics as literacy and the ability to use acomputer or other access device (i.e. it includes training and awarenessprogrammes). In other words, the inclusive benefit is one of being part of theInformation Society (an EU term which refers to a society, or part thereof,possessing skills and the means to use electronic information and the Internet, andICT’s in general.)To emphasise then, according to the European Union, e-Inclusion is not only aboutrelatively passive issues, such as local government making its documents availableelectronically on a website. It concerns society actually partaking in, or making use ofthe information that is available. The EU thus claims to actively engage marginalisedparts of society, bringing them online so that they can make use of their rights toaccess information. In this sense e-Inclusion is closely related to e-Accessibility (EU,2008). This sentiment is also echoed in the Canadian e-inclusion network4. TheDigital Inclusion Network (funded by the Ford Foundation) on the other hand,highlights the confusion surrounding the term “inclusion”, as they focus ondemocratic aspects of the term, although they exclusively use the term “digitalinclusion”.5In this literature review e-inclusion is used in the European Union sense, i.e. accessto ICT, unless otherwise specified. The notion of enhancing democratic life throughthe use of ICT’s to deepen citizen’s involvement in state functions and decision-making is nevertheless noted and clearly has strong theoretical roots.Because of the low broadband penetration in South Africa, e-Inclusion is a seriousproblem, which is recognised and is being addressed by various organisations. e-3 http://ec.europa.eu/information_society/activities/einclusion/index_en.htm - accessed on 2010-12-064 http://e-inclusion.crim.ca/ - accessed on 2010-12-095 http://forums.e-democracy.org/groups/inclusion - accessed on 2010-12-09PCRD, Mbumba & eKhaya ICT – May 2011 15
  16. 16. Inclusion is part of USAASA’s mandate in terms of the Electronic CommunicationsAct (ECA, 2005). e-Inclusion has not been successfully implemented in South Africa,as yet. Many South Africans live in under-serviced areas and thus continue to bedisadvantaged in terms of wealth as well as opportunities to communicate.Section Summary  e-Inclusion is an important aspect of e-governance. It refers to efforts by all levels of government to actively implement policies to connect constituents. It further implies an obligation on the state to expand access to ICT’s. 3.3. e-Inclusion within the SA Municipal SphereIn 2003, a study was conducted for the Centre for Public Service Innovation, entitled“Citizen Access to E-government Services”. The study showed various methods bywhich e-Government may be accessed in South Africa. This study is discussedfurther in section 4.3, South African e-Governance Access Models. In section 5,Process and Systems Overview, actual implementation of the access methods andhow they relate to each other is considered.An indication of the level or nature of citizens’ service empowerment in South Africanmunicipalities can be found in the SALGA report on the state of ICT’s, 2010, whichshows that the number of Internet and computer users in the poorer municipalities isvery low indeed (see draft SALGA report on state of ICT’s, 2010, p.52). In fact forthe worst connected 24 municipalities, the average Internet penetration is at around3%, and computer use is at around 6%. This raises questions about the efficacy ofcommon ICT techniques from the developed world (such as websites) as vehicles topromote e-participation and e-inclusion for disadvantaged citizens and others servedby municipalities of low technical capability.Ready access to ICT’s does not mean that citizens will necessarily be more includedin the procedures and systems of governance. How does e-Inclusion relate to e-Participation where the latter includes considerations of democracy and specifically,a participatory form of government?  Even if one is included, one may choose not to participate for a variety of reasons e.g. political alienation or the belief that the system of government is flawed in a substantive manner (where ICT’s can offer little or no remedy) or that opportunities for participation constitute tokenism.  E-Inclusion can thus be seen as a pre-condition for e-Participation, where the latter implies citizens’ participation in the affairs of state. E- Inclusion therefore enables civic e-Participation but does not guarantee it.This potential dilemma is recognised by Farelo and Morris (2006: 3) in a morecautious assessment of ICT potential, “It is well understood that simply addingcomputers or modems will not improve government, nor will only automating thesame old procedures and practices. Making unhelpful procedures more efficient isnot productive.” Similar sentiments are echoed in a business study by Andriole(2010), which shows that many forms of participatory ICT’s (based on web 2.0technology) do not live up to their promises. We discuss Andriole’s findings further insection 5.2 Web 2.0 and Gartner Technology Maturity.PCRD, Mbumba & eKhaya ICT – May 2011 16
  17. 17. Participatory democracy is impacted by a range of variables, some of which arebeyond the scope of ICT’s. Participation per se requires a motivation forparticipation, an understanding of the relationship between citizen and state andsome degree of trust in the organs of state. These are independent variables thatexist largely beyond the impact of ICT’s.Section Summary  e-Inclusion i.e. ensuring the broadest possible connectivity for the population and the widespread ability to use ICT’s, is a pre-condition for e-Participation, but does not guarantee it. Low levels of literacy and especially ICT literacy in the general population suggests that e-Participation is structurally disadvantaged  e-Participation is however only partly shaped by issues of connectivity and ICT literacy and basic questions of the legitimacy of government and the exercise of citizenship also determine the scope for e-Participation  Web-based ICT interventions have limited relevance for the majority of South Africans unless facilitated by intermediaries (community-based organisations, NGO programmes or social movements that deliberately set out to work with ICT’s). 3.4. e-ParticipationOn-line citizen’s participation in government is a relatively recent area of e-governance study according to Holzer and Kim (2007). The authors suggest that e-participation extends into the arena of decentralised decision-making e.g. via theInternet. This level of engagement and allowing for civic feedback is still in its earlystages of development within municipal government. Nonetheless, e-Participation isdealt with in some detail by the EU: “eParticipation – From ‘electronic participation’.Participation in the processes of government, especially policy-making andlegislation, supported by ICT.”6Some forms of e-participation identified by Holzer and Kim (within their limitedwebsite focus) were:  Online feedback to individual agencies / departments or elected representatives  Online information updates on municipal governance  Online polls on specific issues  Participate in or view the results of customer satisfaction surveys online  Get feedback on municipal performance or publish the results of performance reviews online.  Online bulletin boards or chat rooms for gathering public input on municipal issues  Structured online discussions on particular issues or institutional matters6 http://ec.europa.eu/information_society/events/eparticipation/2009/about/docs/eparticipation_brochure.pdf – accessed on 2010-12-06PCRD, Mbumba & eKhaya ICT – May 2011 17
  18. 18. What are the prospects for South African municipalities to engage in meaningful e-participation relating to feedback, decision-making, policy options and performanceassessments? The Afrobarometer survey (2008) consistently shows that citizens’trust in local government is lowest compared to other spheres of government. In factthe motivation for citizens’ active engagement with policy and legislative issuesshould not be over-estimated. As Mattes (2007: 2) notes: “But while surveyresearchers may locate receptive allies in smaller civil society organisations devotedto policy research and democracy advocacy, they find no automatic alliance with civilsociety in general.” e-Participation in South Africa may therefore find more relevanceas a function of registering opinion or feedback, rather than contributing to legislatingand decision-making.A further aspect of e-participation being explored in South Africa is the use of ICT’sthrough an intermediary. In this approach an ICT-enabled member of the communitywho is trusted and respected acts as an intermediary enabling information servicesto flow into the community to particular community members, as well as from thecommunity to the rest of the world. The approach is more economic in its focus thansocio-political. The longest running programme investigating this idea is theInfopreneur project of the Meraka Institute which by all accounts, has met with initialsuccesses. The original idea was to create “Infopreneur service bundles” that canassist local business and SMMEs to work together and with first economyenterprises through the channelling of relevant information in both directions (to andfrom the rural areas) (Schaffer et al, 2007). Most recent Infopreneur modelsenvisage ICT enabled intermediaries performing tasks for local government, mainlysurveys of citizens in hard-to-reach areas (peri-urban and rural) of South Africa(Interview with van Rensburg, 2010, also van Rensburg, 2008). The South Africanbased international NGO the Village Scribe Association is another organisationinvestigating this aspect of development, together with Rhodes University and aSAFIPA ICT4D project.Some participatory best practices mediated by ICT’s mentioned by Murray, Caulier-Grice, & Mulgan (2010) are:  Web platforms, which allow participation in specific local government matters, are becoming an indispensable tool for local government. Apart from offering information about public matters in a locality (e.g. information about tourism opportunities, investment opportunities, service opportunities and tenders, etc.), they also allow local government to provide value added services such as traffic reports, interactive GIS systems and RSS (information feeds) among other things (Van der Zee, 2009). Technologies that allow participation, for instance through commonly used social networking platforms such as Facebook, can make a big difference to participatory experiences of citizens. Another web technology that is making a big difference in business (Andriole, 2010) is the wiki, and this technology is mentioned separately below.  Participation in Government via a wiki: New Zealand used a wiki to draft police legislation. Wikis allow anyone to edit a document, while changes are marked and can be undone, thus providing a safe platform for collaboration. The process was very empowering and good ideas were produced. Wikis are a common technology and can be used in any collaborative creation process, such as the drafting of by-laws etc.PCRD, Mbumba & eKhaya ICT – May 2011 18
  19. 19.  AmericaSpeaks or 21st Century town meetings are methods for participation that use ICT’s: real-time voting on current issues in a gathering, similar to the next point.  Citizen Juries: a random collection of citizens provide feedback on contentious issues or even new ideas about problems. This is a device used by the Jefferson Institute in the USA and subsequently in Europe.  Citizen Panels: similar to the above, except much larger more chaotic gatherings occur. The panels can most easily convene and communicate online.  Citizen Petitions: similar to surveys, but the question being explored also comes from the public.  Planning for Real (Tony Gibson), is a non-ICT enabled method which boasts empowerment of citizens through hands-on planning. While heightening participation it is not strictly speaking about electronic participation as the method was developed in 1977, although electronic media could well be part of the process.Section Summary  Aspects of e-governance that promote e-participation are trust and good feedback. It has been argued that these are supported by drawing citizens into decision making processes, “speaking the same language” as the constituents and sharing key information to empower citizens in this process.  Intermediaries may be an effective medium for the promotion or enabling of e-participation in the South African context of poor overall connectivity and weak ICT skills  International experience suggests that e-governance is best facilitated where ICTs are employed to enhance a specific form of engagement between citizen and government e.g. petitioning or registering opinion of specific issues via a poll  Internationally, e-participation best practices often originate from public mass movements or NGO activities – these may be independent of government4. Models for Municipal ICT TransformationAn interesting notion that has emerged in ICT literature is that ICT can shape thevery nature and quality of government. Several authors have postulated that allgovernments advance through certain phases of development as they progresstoward a higher level of ICT integration. These theories are meant to hold,regardless of culture, nationality or the level of government (national or sub-national).Since these models deal with future uncertainty, and try to predict the effect ofrapidly developing ICT’s on all spheres of government, they are strongly abstract andtend to end with a final phase that may be labelled “integrated” or “transformed”.Government progress through such phases is theoretically very desirable, as itallows optimisation of government internal processes and (theoretically) encouragesdirect, controlled participation of citizens and public groups in e-governance, thusPCRD, Mbumba & eKhaya ICT – May 2011 19
  20. 20. greatly strengthening democracy within a nation. Also it widens the percentage of thepopulation that is empowered to take part in the information society or “networksociety”, (Castells 2000). According to Castells, networked individuals andcompanies have access to tremendous advantages over those that are not, as theycan access global (financial) markets and operate internationally at very low cost.This empowering effect is deemed positive, especially in the South African context.In the thinking advanced by Castells and others, ICT have the potential to empowerselect segments of the population and therefore reduce inequality.The theoretical models presented here end with what is referred to as the“transformational stage” – there is little in the way of literature that tries to predictwhat happens after this stage. The rapid development of ICT’s makes such guess-work error prone, however the progress and evolution of governments through moreadvanced ICT usage seems inevitable.The developmental model frequently referenced in this study is Gartner’s fourphases of e-government model (Baum and Maio, 2000). Gartner Researchpostulates four levels of government maturity: 1. informational (uni-directional) 2. communicational (bi-directional communication concerning minor tasks) 3. transactional (entire transactions, from inception to completion can be carried out online) 4. transformational (government processes are integrated to such an extent that cross-departmental optimisations and synergies can be carried out).[For more information on this model, see e.g. the SALGA e-Government Report2010, p.2.]Personalisation: In contrast to Gartner, the chartered accounting company Deloitteand Touche proposes a six stage model, in which the Gartner phases remainrecognisable. Deloitte and Touche add phases for creation of portals and forpersonalisation of such portals. It is clear that the Deloitte model incorporates adimension, which Gartner sees as orthogonal (independent) to the e-governmentphases, namely that of personalisation (Siau and Long, 2005). This is evident in thefact that each of the Gartner phases can itself be personalised, and thus thisdimension can safely be omitted when theorising. In practice though, personalisationis a key principle of Web 2.0 technology and it has been relegated to that discussion.Participation: Hiller and Belanger (2001) propose a five-stage model where the fifthphase captures public participation in government. This embellishment, similarly tothe Deloitte and Touche additions, seems to be orthogonal to the Gartner model.Each of the four phases represents a deeper aspect of participation by the public ine-government. The authors, however, adopt a broad understanding of participationwhere simply being informed about government actions is regarded as a form ofparticipation. Adding the ability to act on this information naturally increases the levelof participation. Further, the encouragement of participation is not only an electronicconsideration and can occur through a variety of means including non-electronicones.PCRD, Mbumba & eKhaya ICT – May 2011 20
  21. 21. Section Summary  Theorists agree that governments undergo transformation in identifiable phases as they progressively adopt more ICT and the processes that allow efficient use of ICT (and networking in particular).  Since there is no universally recognised theory, the actual progress toward e- government may not be as orderly as surmised and there will be individual variations.  It seems that in a transformed government, the organisation allows communication in a networked manner, rather than enforcing a classical hierarchical pattern on communications. 4.1. Ferguson’s MethodologyWhile the former models describe the phases of development that a governmentmust go through in order to reach greater ICT maturity, Ferguson (2002), developeda methodology, which a government could use to transform itself. Ferguson’s modelfor e-government transformation at local government level involves four basicmethods that address all facets of implementing full e-government in a municipality.The models developed in this study go further than describing the South Africanmunicipality. They make also make suggestions about how a pilot project may beexecuted in compliance with best practices. This section and the following one relateto theories about transformative ICT projects that inform the development of themodel in Section C.Below, we have selected and para-phrased some of the key methods as they relateto the topics being addressed in this study.It is also interesting to note that participation and inclusion play a strong role in thismethodology and that it is thus applicable to any findings in this study.Involvement - Be sensitive to local community needs - Involve a wide variety of stakeholders - Be aware that no single model works for all municipalities - Get on and do something and actively learn.Access Priorities - Work towards outcomes sought by citizens - Balance process with an understanding of customer needs - Learn with communities and interact to expand the scope for local e- government - Champion the use of electronic media and build citizens confidence in this regardPCRD, Mbumba & eKhaya ICT – May 2011 21
  22. 22. Collaborating and Redesigning - Improve information management for better on-line services - Use expertise from private and other strategic partners to improve front-line services - Consider value of information generated and returns / investments that might flow from this - Seek practical arrangements for data sharing but keep security considerations in mindSearching for Innovation - Seek out the unexpected and look for new opportunities to make progress on change - Consider the role and capacity of citizens and customers to innovate when developing your e-government solution.The relevance of this model to this study is that it roughly describes a methodologyfor local government transformation where the centrality of stakeholders isrecognised. The search for best practices in the remainder of this study takes intoaccount the perspectives of as many stakeholders as possible. Stakeholders that areimmediately apparent with respect to e-governance in South Africa are presented inFigure 1.Figure 1. Stakeholders in South African Municipal ContextPCRD, Mbumba & eKhaya ICT – May 2011 22
  23. 23. Section Summary  Ferguson’s methodology seems to be universally applicable, and it also seems to be in line with the South African policy frameworks as described in section 7.  This methodology provides a starting point for Part C of this document, see section 1. 4.2. Developing Criteria for SuccessThe previous section made recommendations about how a government mayprogress towards the transformational phase of e-government, with a focus onparticipatory practices. In this section, criteria or methods by which one may be ableto objectively judge whether progress has been made are reviewed.Murray, Caulier-Grice (2010) and SALGA (2010) mention several metrics that can beapplied to measure how well an intervention or implemented model is proceeding.The following are criteria which may apply to an ICT intervention:  Cost-effectiveness analysis has been the most widely used method, primarily by public authorities and agencies to assess a particular proposal or project taking into account costs and benefits not reflected in market prices. As a method its goal is to quantify financially what is external to the market, and is now standard for assessing transport investment and large development projects.  Social Impact Assessment methods have been in use since the 1960s, trying to capture all the dimensions of value that are produced by a new policy or programme. They attempt to estimate the direct costs of an action (for example, a drug treatment programme), the probability of it working, and the likely impact on future crime rates, hospital admissions or welfare payments.  Measuring Public Value (particularly associated with Mark Moore), explores the value associated with public policy. Some of these tie value to notions of opportunity cost, i.e. what people would give up in order to receive a service or outcome whether through payments (taxes or charges), granting coercive powers to the state (for example, in return for security), disclosing private information (in return for more personalised services), giving time (for example, as a school governor) or other personal resources (for example, giving blood). The BBC in the UK uses this method as an aid in decision making.  Life Satisfaction Measures are a particularly interesting new set of approaches (led by Professor Paul Dolan) which compare public policy and social actions by estimating the extra income people would need to achieve an equivalent gain in life satisfaction. One imaginative study of a regeneration scheme, for example, showed that modest investments in home safety which cost about 3% as much as home repairs, generated four times as much value in terms of life satisfaction.  User Experience Surveys. This approach takes the emotional reactions of the users’ into account in a survey and reflects the development of biographical methods as qualitative research techniques in the social sciences.  Outcome Benchmarks, e.g. a survey asking whether people feel a sense of influence over local government decisions after a particular intervention hasPCRD, Mbumba & eKhaya ICT – May 2011 23
  24. 24. been implemented to raise such influence. Outcome benchmarks generally provide a much more objective measure of social dynamics than the indicators chosen by the implementers of a project.Measuring success objectively is important in any ICT project as different elementsimpact stakeholders in a variety of ways (see Figure 1). Further, it is good practice toobtain consensus on which method should be used before beginning a pilot. Sincemany interests are represented in local government, multiple metrics apply whenmeasuring different aspects of a pilot project, For instance, outcome benchmarksmay be a good way to measure success across the project in general, whereas acost-effectiveness analysis may address administrative imperatives.Section Summary  Several criteria and methods of measurement and analysis may be used to track progress of any ICT intervention. This may be critical to understanding the results of any pilot project. 4.3. South African e-Governance Access ModelsA CPSI e-government access study released in 2003 by the South AfricanDepartment of Public Service and Administration (DPSA) and the State InformationTechnology Agency (SITA) named seven e-government models that could beadopted in South Africa to allow citizens to access e-Government. These methods ofaccess are important as they address the issue of limited public access to websites,especially in the poorer municipalities. Below, we briefly outline each access method.a) Smart Service Gateway Service PointsThis model enables the provision of services to citizens using technology such asthat of widely accepted ATMs. The CPSI study noted that the model allows thecitizen to perform entire e-government transactions via self-service or just accessinformation. Unfortunately the ATM technology itself poses problems for manydisadvantaged citizens. The Thusong Centres are a realisation of this mode ofaccess.b) Smart Plug-InThis model foresees a closer interaction with the extensive telecommunications andICT networks of agencies. Currently, South Africa boasts the highest deployment ofICT platforms on the continent. Agencies such as Uthingo, the Post Office and PostBank have a wide reach at local level throughout the country. The modelemphasises the need to integrate some plug-ins with, for instance, the Uthingonetwork (CPSI 2003).c) M-ServicesThe model embraces the multitude of mobile subscribers in South Africa. Hence, it isa cornerstone to the implementation of e-government functionalities. One suchexample of e-government strategy rooted within this model is the rapidly growingpopularity of cell-phone banking being implemented by banks and mobile phonecompanies. Government could also integrate e-government functionalities before themobiles reach the customers. The model addresses the objectives of extension ofservices to under-serviced areas (CPSI 2003).PCRD, Mbumba & eKhaya ICT – May 2011 24
  25. 25. d) Government OnlineThis is the government website, which is discussed in detail in the next section(technology overview). This is a very important mode of access to e-government andhas been legislated as mandatory for local government.e) Gateway Service CentreThis model is reported to be the most visible face of e-government service delivery.The Gateway Service Centre will provide one-stop interaction to the citizen. Themodel emphasizes the need to consider the location, which should ease the citizens’movements, proximity to other services and traffic flow. However, the study reported,the model realizes only the need for centres to be confined to high population densityareas. It is therefore more applicable in big cities and high density suburban areas(CPSI 2003).f) Talk-to-Government: the plain old telephone.Apart from being an appropriate model for under-serviced areas, this model has thecapability of transactions if there is a payment system in place with effectiveauthentication mechanisms (CSPI 2003). The study suggests that the model can bereferred to as an information service model, which can be based on two applications– IVR and call centers. The application of IVR will be best suited to rural areas, thestudy noted. A current example is the presidential hotline.The 2009 presidential hotline is an excellent example of such a service, whichshowed how publicity using the name of the president and technology could becombined motivate citizens to contact the government. According to the Office of thePresident, 30000 calls were serviced in a single year of operation (more than 100per day).g) Computerized Counter ServicesThe model is a key one when e-government is in its initial stages of implementation.The main objective of strategies behind this model is to reduce repeated visits bycitizens. However, the location of the e-government functionality will still be ingovernment offices, though computerized (CPSI 2003).The CPSI is continually upgrading its National Access strategy as applicable toNational and Provincial government (via interview with Kgatliso Hamilton, CPSI).Local government should be more closely tied into these efforts, especially as localgovernment is enabled to provide access through the ECA and is closest to thecommunities.Section Summary  This section focuses on providing e-inclusion to disadvantaged constituents in South Africa. This study attempts to find ways to boost e-participation in such segments of our society.  The South African government is developing and has developed several types of access, which should also be taken into account in any recommendations.  There has not been much success in the past in connecting the masses at a broad based level using technologies. However, connectivity prices are falling and mobile usage is increasing, and thus access methods need to be re- evaluated from time to time.PCRD, Mbumba & eKhaya ICT – May 2011 25
  26. 26. 5. Process and Systems Overview using Gartner’s Hype CycleThis section tries to make sense of the process and systems possibilities open tolocal government to improve or implement e-participation. In order to growgovernment and transform it, its processes must also be transformed (as mentionedabove in the section “ e-Inclusion”). ICT’s, on the other hand, embed particulargovernment business processes in systems. This section investigates the questionof process and systems relevance and priority in government, looking specifically atthe systems that may be required to achieve local government’s goals. Specifically itfocuses on the Gartner publication “Hype Cycle for Government Transformation,2010”. It summarises Gartner’s findings and interpolates to the case of localgovernment, given the South African context.In section 5.1, we review the processes that must be implemented by government inorder to reach the final (“transformational”) level of e-government maturity. Thereason for focusing on the final level is two-fold:  since the final level builds on the previous levels it also encompasses those levels and adds to our understanding of the previous levels  technologies are developing rapidly and may enable us to skip certain initial steps, or one may be able to get ahead with respect to certain technologies, despite other aspects of the e-government lagging behind.In section 5.2, the technologies required or being implemented in developed nationsto bring about transformation are discussed. Several techniques can be utilised topromote e-participation without full integration of government systems.In section 5.3, the innovative governmental IT systems that Gartner has identifiedare reviewed and described in terms of enabling e-participation in the South Africancontext. 5.1. Transformational level of maturityAccording to Gartner, governments are transforming themselves for financial andsocial reasons, and this change, which involves technology, is unavoidable. Thetransformation exists along several technological dimensions, enabling differentkinds of benefits, according to Gartner:“Seamless Socialisation”Gartner refers to the possibility of using data openness along with analytic tools andsocial media and web technologies that can disseminate information widely toincrease government transparency and to enable citizens to understand governmentprocesses better and take part more actively (see also the World Economic ForumAnnual Report, Dutta & Mia, 2011, p. 95). The WEF report lists the followingbeneficial effects of this transformation: a) Create a single version of the truth by consolidating data from all relevant sources, cleansing the data and transforming them so that they are ready for analysis.PCRD, Mbumba & eKhaya ICT – May 2011 26
  27. 27. b) Gain insight into the long-term economic impact of expenditures and make better, more reliable decisions with large-scale forecasting and optimization. c) Clearly communicate the value and results of programs by developing a performance management system that has meaningful, targeted outcome measures. d) Provide valuable insights and essential decision- support information to stakeholders and policymakers by delivering accurate and timely reports on spending and program effectiveness.These technologies are meant to enable a specific form of democracy, which ispresent in many nations that score very highly on the transparency andaccountability index, such as Sweden and Germany. In these countries, participationand awareness of civic duties is promoted nationally and facilitated throughlegislation. Although voting is not compulsory, high voter turnout (above 85%) isnormal. These democracies experience a “seamless socialisation” becausegovernment and the public understand themselves as being part of the same team –i.e. that they are part of the same society; that citizens have an important role to playin government and that government staff are also citizens themselves.It is not in the scope of this document to ask whether South African society can bemoulded to fit models that try to transform government to allow seamlesssocialisation. The approach in this document is rather to note technologies that canwork in the South African context and which to bring government and citizenstogether in a practical fashion.“Commoditisation”Here Gartner refers to the rationalisation of costs of assets that local governmentcontrols and produces as part of its operations. Examples include the sharing ofservices between departments and use of common off the shelf software (COTS) toreduce costs. Additionally, there may be the possibility of local governmentbecoming an information service provider, thus commoditising its own assets.In the case studies in section B, we see that municipalities as producers of data canattract wide audiences, which can in turn generate revenues for the municipality. Anobvious example of this is the Cape Town electricity saving campaign. One of theservices the City would like to offer its citizens is a service to identify the easiestways to save electricity and the nearest shops where necessary supplies could bebought. This service could bring in advertising revenue from suppliers (who couldalso register themselves for the service online), all legalities being observed.“Information Continuum”Here Gartner refers to the future idea of integrated local government systemsadvancing far enough to allow integration with citizen created public data. Suchpublic data sources could augment or even replace some local governmentdatabases, thus blurring the distinction between local government as informationservice provider and consumer.In the South African context, this idea can be equated with public input into the IDPand budget processes (among others). Wards and special interest groups could useICT’s to create their own data sets and change requests, which could automaticallybe communicated to government.“Employee Centricity”PCRD, Mbumba & eKhaya ICT – May 2011 27
  28. 28. With this idea, Gartner refers to the employees of local government, whose efficiencycan be improved through integrative IT.In the South African context, this most likely translates to capacity building andawareness training that shows the value of systems and processes to theemployees. In the transformational context, it refers to the fact that employeesrecognise that over and above their responsibilities as civil servants, theythemselves are civic actors as individuals who have additional responsibilities inmaintaining transparency and accountability.“Confluence of Information, Operational and Consumer Technologies”By this Gartner refers to the increased technological level of all aspects of society inWestern Nations, which allows a more integrated planning and problem resolutionapproach for governments.Section SummaryThis section outlines in terms of very broad process and technology baseddescriptions, the vision of a new kind of government and society. Such agovernment and society are at the transformational level of maturity. They aretransparent and accountable, and public participation in the government is high. Thecollaboration is enabled through specific ICT systems, which are discussed in thenext sections. 5.2. Web 2.0 and Gartner Technology MaturityIt is not only governments that can be assessed by maturity - the technologies usedalso have varying levels of maturity. Gartner’s Hype Cycle concept prioritises thoseIT supported processes that governments must prioritise during their process oftransformation. This section briefly looks at the IT technologies Gartner recommendsusing, because of their stable nature.The following technologies are listed in the Gartner e-government hype cyclesanalysis 2010. Gartner selected these technologies, because they are the onesmaking the most difference in the business of public authorities at the moment.The list is presented in order of lowest to highest risk when implementing a projectusing such technologies.Mature Technologies - Packaged ERP for GovernmentMaturing Technologies - Advanced Analytics for - Geographic Information Systems Government - Service Oriented Architecture: - Enterprise Content Management Government for Government - Federated Identity ManagementHigh Risk TechnologyIn these cases, some experience has been gathered (sliding into Gartner’s trough ofdisillusionment)PCRD, Mbumba & eKhaya ICT – May 2011 28
  29. 29. - BPM for Government - Internal Communities in Government - Government Domain-Specific COTS - Whole-of-Government Enterprise Architecture - External Communities in Government - Business Intelligence for Performance Management in - Shared Services Government - Government Data InteroperabilityAt the Peak of Hype - Government Cloud - Consumer Social Networks in Government - Private Cloud Computing - E-Discovery for Government - Open Government Data - Public Cloud Computing - Cross-Agency Case Management in GovernmentOn the Rise - Enterprise Information - Open-Source Public-Sector Management Programs Vertical Applications - Citizen Data VaultsThe Gartner Hype Cycle classifies technologies according to their end-user functionand it does not focus on implementation technology. Many of the technologies thatGartner mentions are thus not only concerned with software and hardware, but alsowith the business process of (local) government. This is an important caveatconcerning IT system driven transformation, namely, that IT systems are only asbeneficial as the processes they implement. Very few transformations can be drivenby technology, e.g. from the list above there is perhaps only one topic that could bedriven by IT and not by process and regulations, namely Government Cloud.Nevertheless, it is clear as one delves into the Gartner publication, that the drivingforce behind the transformation is the increasingly networked nature of society andthe emergence of Web 2.0 – technologies that connect “consumers directly toconsumers” in business terms (Andriole, 2010), or citizens directly to citizens. Web2.0 technology can be used to implement portions of most of the functionalityrelevant to citizens and especially to e-participation. Web 2.0 has spurred vastamounts of involvement by the public in content creation and it is perhaps the hopethat this technology can also spur citizen involvement in government that is the ideabehind this study. On the other hand, Gartner sees integrating public web 2.0technology and social media into the municipal ICT infrastructure as risky anduntested and at the peak of hype – everyone is talking about it.Andriole (2010) performed a study on web 2.0 technologies including social mediaand their perception and impact on business organisations. He found that theexpected benefits were generally much higher than the actual benefits. Hecategorised benefits and outcomes of web 2.0 into an impact metric, which hePCRD, Mbumba & eKhaya ICT – May 2011 29
  30. 30. systematically investigated in US businesses. A rather small sample wasinterviewed: 15 senior managers in 5 large companies. The results of the surveyshow that the expectations regarding benefits to collaboration and communicationimprovements within the companies were realised. However, benefits regardingcustomer relationship management, which is perhaps the closest to citizenparticipation in the governmental sphere, were usually not realised, or the resultswere disappointing. Although not conclusively shown, the managers attitudestowards information sharing, security and privacy may have contributed to thedisappointing results in terms of improving customer relations through web 2.0technologies.An important “maturing technology” is the Service Oriented Architecture (SOA) forGovernment. SOA, in general, is used to structure enterprise-wide systems that canoffer the entire organisation access to information and shared services to maximisetheir utility within the enterprise, and also without (in the case of externally availableservices). This technology requires close cooperation in organisations between ITdepartments and business functions (within the municipality these would equate toline departments as well as core departments such as finances, strategy andplanning). SOA, according to Stal (2006) has the important function of bringingbusiness departments and the IT department in an organisation together, and forcingthem to speak the same language. The fact that SOA for Government is considereda maturing technology indicates that developed countries are standardisinggovernment processes and finding a common language among Government and ITpractitioners. A consideration in the South African context is the CPSI InnovationCentre7, which is responsible for bundling best practices and innovation acrossgovernment departments. This new centre has two core offerings. It has created avisual process planning tool, which allows planners to visualise all governmentprocesses in their department (only available at National level at the moment) and itpresents awards to the most innovative departments and units at all levels, annually(information from interview with Kgatliso Hamilton, 2011).Section SummaryThis section serves as a warning that we should not expect too much fromtechnology driven change. Many of the technologies that should be investigated inthis study are only being used in an ad hoc fashion and are noted by Gartner as stillbeing relatively immature and badly understood technologies. Because they are atthe “hype” phase of the technology maturity cycle, they are receiving a great deal ofattention, nevertheless, to expect productivity gains from them is not reasonable.This is especially true of the corporate market where expectations of web 2.0 orsocial software technologies have exceeded the actual impact of the technologies.On the other hand, service oriented architectures (SOA) for government are amaturing technology. SOA require a clear understanding of an organisation’sbusiness processes and they specifically focus on bringing IT and core businessdepartments together and enabling them to speak the same language. This couldalso be critical for the adoption of ICT’s in local government.7 http://www.cpsi.co.za/innovation_centre.phpPCRD, Mbumba & eKhaya ICT – May 2011 30
  31. 31. 5.3. Process Technology for the South African ContextThis section relates the Gartner publications discussed to the South African localgovernment context. First we look at a core e-government service that Gartnerexpects advanced nations will be implementing within 2 years, but which it would beunreasonable to implement at the SA local government level in the near future.Thereafter, we look at three technologies which could be incompletely implementedat the LG level, and which to some extent are already being used.Challenges to local government in terms of ICT skills availability and ICT awarenessprevent most advanced technologies being implemented at the local level [SALGA,2010]. Strategic e-government initiatives seem to be better housed at the nationallevel, but as surveys have shown, the public do not readily differentiate betweenlevels of government – they expect better service regardless of which level ofgovernment is responsible [IDASA civic report, 2011]. This suggests that any partialbroad based e-government solutions are likely to lead to misunderstanding andconfusion, unless, perhaps, very well advertised and free of charge. The SARS e-government solution is an often quoted example of a successful e-governmentservice, but it is careful to avoid the grassroots population and the informal economy.ICT’s aimed at this segment need to be well supported by municipal processes andtechnologies, otherwise they risk misleading civic users, either because:  the services are not “deep enough” and the citizens never receive an answer, i.e. the automatic processes simply result in more issues clogging the inboxes of civil servants who are not able to process the sudden influx (perhaps part of the problem with the Gauteng e-services crisis), or  citizens receive an answer that is unsatisfactory, e.g. that they are 211 th in the queue and will be serviced within two weeks.Federated Identity Management, is a core topic for any e-government initiative(including such ideas as the electronic citizen file), while useful for e-participation atlocal government level may be a topic for National Government, because of its corenature in describing citizens across all government levels and departments (see theexamples following). Gartner advances the following arguments about FIM:  Federated Identity ManagementAlthough popular, system-by-system identity management is often painfullyinefficient and ineffective:  Users have the problem of different names and passwords for a frustratingly large number of systems.  Systems managers have the cost and difficulty of managing identities, something they are often unqualified to handle.  Also, systems are not very strong — leading to an enormous rise in identity theft and other fraud and abuse.“Federated identity management (FIM) seeks to solve these problems throughcollaboration among institutions, to gain economies of specialization and scale.Federated management is well positioned to provide a cost-effective infrastructurefoundation for citizen, consumer and business identification, authentication andauthorization.PCRD, Mbumba & eKhaya ICT – May 2011 31
  32. 32. The primary benefits for users will be improved convenience through reducedauthentication failures and single sign-on. For service providers, and society at large,federated identity management promises reduced mistakes and increased trust at arelatively low identity management cost.” [Gartner 2010:47]FIM could boost participation in the South African context, for several reasons.Assuming that FIM allows collaboration between silos of information: FIM could, forexample, enable municipalities to access information, which the RICA database,DHA and SARS collect. Such collaboration would have a number of applications fore-participation:  This could allow highly personalised targeting of segments of the market, which have previously been unreachable or very silent – targeted communication has a higher effectiveness.  E-government mash-ups could be enabled – for instance, an eFiling user could be polled on local government issues and her response could be routed to the correct local authority.  Indirect participation could be enabled: the public could vote through their interactions with public facilities, which require that they be identified when they use the facility; for instance if only certain segments are known to use the public access facilities, campaigns could be launched to spread awareness to other segments through capacity building. Similar arguments could apply to use of the clinics, or as another example, registering for social grants through the Department of Social Development could automatically reflect on municipal indigent registers.On the other hand, there are technologies that can be piloted now (without requiringa strategic intervention at the highest level) by ordinary South African municipalities,including the following 3 technologies: 1. Consumer Social Networks in Government:Consumer social networks in government refer to the use of a variety of social-networking sites to better communicate and engage with citizens. This can eithercomplement or be an alternative to the establishment of external communities bygovernment organisations themselves.There are two different uses of consumer social networks that can be (and usuallyare) very independent of each other: a) Establishing an institutional presence to communicate with constituents in virtual spaces where they already are, as opposed to drawing them to government-driven external communities. Such presence includes pages on mainstream social-networking sites, including microblogging sites. b) Empowering employees to use these social networks in the context of their work. By linking social networking profiles with documents, it is feasible, that responses and interaction among employees of large municipalities might be facilitated. These technologies may improve interactions within small municipalities, which possibly have a number of different offices spread across town. Many modern Document Management Systems include social networking aspects.PCRD, Mbumba & eKhaya ICT – May 2011 32
  33. 33. “While the institutional presence on consumer social networks will have a positiveeffect on improving communication with citizens, the real transformational impact willcome from the regular engagement of employees in those networks. The reason isthat this allows them to tap into external content and knowledge that can help thembecome more effective and efficient (for examples, see the Gartner publication "Web2.0 Opportunities Abound in Most Government Domains"). Further, participation inexternal social networks creates more opportunities for informal collaboration withother government employees, possibly competing with collaboration tools deployedinternally. The main business impact will come from the possibility of blurring theboundaries between external and internal collaboration.” [Gartner 2010, p. 20]Consumer social networks include Twitter and Facebook and these are already inuse by many municipalities throughout South Africa. Their use is uncoordinated andthus far there is not much evidence that they have been used effectively. Perhapsthe most effective services seen thus far are by the City of Cape Town, and theseservices are related to service delivery and not e-Participation. It is doubtful that useof consumer social networks for interaction between municipal staff would improveproductivity. 2. Open Government Data“Open government data is public data that is in machine-readable, raw and notaggregate form, accessible to anyone without any requirement for identification orregistration, and for any purpose, possibly in an open format and not subject to anytrademark or copyright. The purpose of open government data is to increasetransparency, favour participation of citizens and other stakeholders, and support theemergence of new services that are based on that data. Early examples of opendata were feeds provided by state and local governments to give visibility to theirperformance.Government organisations that either are required to comply with the mandate ofpublishing open government data or decide to do so autonomously should prioritiseopen datasets in order to maximise the value generated for the organisation. Thetotal cost of ownership as well as the benefits and risks should drive suchprioritisation. Unfortunately, some (if not most) of the uses of the data are hard topredict in advance, and therefore, it is difficult to gauge the value in advance,particularly when the data is integrated in third party applications and consumedthrough multiple channels (mash-ups) and for analytical applications that might, forexample, be able to identify important trends and relationships (in the data) that theoriginating government agency was unaware of.” [Gartner 2010, p. 17] 3. External Communities in Government:External communities are groups of persons or institutions that share a commoninterest in an aspect of local government and have an interface with governmentthrough some form of ICT’s, usually a website. The communities may be well-defined along institutional boundaries, or they may have an ad hoc nature andPCRD, Mbumba & eKhaya ICT – May 2011 33
  34. 34. include some government employees. Generally, though, the members of thecommunities are external to local government, hence “External communities”. Theidea is that these communities can provide beneficial impulses, feedback and raiseinterest for government initiatives both in the community and in general.Technically, external communities can be hosted and supported by municipalinfrastructure, using technology such as blogs and wikis. Gartner mentions that thismethod may be appropriate where there is a clear purpose and where consumersocial networks do not have "interest" and "capabilities" for getting involved.“External communities will certainly improve the image of government, will improvethe way to engage with established constituencies in policymaking (such asconsumer and industry associations, nongovernmental organisations, and lobbyinggroups), and will have moderate success in engaging individuals or groups that haveno direct interest in politics. Impact is related to: a) how engagement can be more directly connected to service delivery and areas that are of immediate concern for larger audiences; b) the transparency of idea ranking and rating mechanisms; and c) the complementarity and connection with spontaneous initiatives taken by citizen and other groups on consumer social sites” [Gartner 2010, p. 30]An excellent example of an external community is the LED (Local EconomicDevelopment) Network. The website is hosted by government and any interestedparties are welcome to get involved. The LED Network is a project that is usedprincipally to join municipalities and SALGA in focusing on local economicdevelopment issues, although its great strength is that any external organisationscan join and add to the discussion. As the website reports, it is “a forum for theexchange of knowledge and successful LED practice, for municipal peer-to-peersupport and learning across disciplines;” and also “a platform for networking amongpractitioners from different sectors.”Can such communities also be harnessed for other local government issues?Certainly, a community around transparency of tenders for specific municipalitiescould also be instituted as a best practice and other examples can also be raised.One possibility is to look for existing networks of community based organisations andto attempt to incorporate these into government process through ICT’s.Section SummaryThis section looks at the use of specific technologies in the South African context.While some technologies cannot be adopted quickly because they requirewidespread systemic adoption, others are already being used and could be improvedthrough wider marketing, better integration and more effective strategic planning.6. Computing Technology OverviewIn this section, we attempt to draw inspiration for the actual computing technologiesused from as wide a sample of existing and announced projects as possible. All ofthe hardware or software mentioned in this section either exists or will soon exist.PCRD, Mbumba & eKhaya ICT – May 2011 34
  35. 35. Hypothetical or new technologies which could be developed do not form part of thisreview.To guide the research, a categorisation of computing technologies has been drawnup, set out in Figure 2 below.PCRD, Mbumba & eKhaya ICT – May 2011 35
  36. 36. Figure 2. Mindmap of ICT’s relevant to e-participation in municipalities in South AfricaPCRD, Mbumba & eKhaya ICT – May 2011 36

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