IDENTITY MANAGEMENT SYSTEMS ANALYSIS: BOTSWANA COUNTRY REPORT Department of Civil and National Registration Ministry of Labour and Home Home Affairs Case Study developed in collaboration with The Department of Population Studies, University of Botswana SEPTEMBER 2015 Map of Botswana IBRD 33376 20∞E 25∞E To ZAMBIA Lusaka BOTSWANA ANGOLA Kasane To Menongue i nt ya Ok Lin Ngamas eri av an og CHOBE Xaud um NGAMILAND ZIMBABWE NAMIBIA Nokeneng Okavango Swamps To Maun Gweru 20∞S Nata 20∞S Tsau eb Eis Sehithwa Lake Ngami Makgadikgadi Salt Pans NORTH- Rakops Bote ti EAST To Orapa Francistown Messina Lake Xau Letlhakane Shashe Mo Ghanzi C E N T R A L tlo u tse Seruli Selebi-Phikwe GHANZI Okwa Sefophe Mamuno Serowe Palapye p Limpo o Lotsane K a l a h a r i Mahalapye D e s e r t Kang KWENENG Tshane KGATLENG Mochudi Molepolole SOUTH AFRICA KGALAGADI Jwaneng GABORONE Khakhea SOUTHERN 25∞S Kanye SOUTH- 25∞S No Werda Lobatse EAST ss ob b e Mosele To Pretoria po Molo Tshabong po B O T S WA N A lo Mo To DISTRICT CAPITALS* Kimberley Bokspits NATIONAL CAPITAL RIVERS MAIN ROADS 0 50 100 150 Kilometers RAILROADS 0 25 50 75 100 Miles DISTRICT BOUNDARIES This map was produced by the Map Design Unit of The World Bank. INTERNATIONAL BOUNDARIES The boundaries, colors, denominations and any other information shown on this map do not imply, on the part of The World Bank * The town councils of Francistown, Group, any judgment on the legal status of any territory, or any endorsement or acceptance of such boundaries. Gaborone, Lobatse, and Selebi-Pikwe have status equal to Districts. 20∞E 25∞E SEPTEMBER 2004 Cover artwork: Bonang Mafokate, Department of Civil and National Registration, Botswana Publication design and layout: The Word Express, Inc. Identity Management Systems analysis: Botswana country report Contents Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v Acronyms, Abbreviations and Setswana Terms. . . . . . . . . . . . . . . . . . . . . . . . . vii Executive Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix 1  Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Background. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Rationale for Identity Management Systems Analysis . . . . . . . . . . . . . . . . 2 Methodology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2   National Level Civil Registration and Identification Ecosystem. . . . . . . . . 5 Department of Civil and National Registration. . . . . . . . . . . . . . . . . . . . . 5 National Civil Registration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 3   National/Foundational ID . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 National ID Database. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 The Omang. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Inter-Agency Information Flows and Interoperability. . . . . . . . . . . . . . . 15 4   Key dimensions of the National/Foundational ID system . . . . . . . . . . . . 17 Accessibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Robustness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Integration and Regulated Access to Data. . . . . . . . . . . . . . . . . . . . . . . . 21 Legal Framework and Personal Data Protection . . . . . . . . . . . . . . . . . . . 21 5   Program Specific ID Cards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Social Protection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 6  Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 7   Way Forward. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 The 2015–2020 CRVS and Identity Management Investment Plan . . . . 29 Strategic Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 APPENDIX 1: National Registration Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Acknowledgments T his report was prepared by the University of Botswana, Department of Population Studies in collaboration with the Department of Civil and National registration in the Ministry of Labour and Home affairs (MLHA) and with support from the World Bank Group. The University team was led by Dr. Serai Daniel Rakgoasi with team members Professor Kannan Navaneetham, Mr. Kenabetsho Bainame, Mr. Mpho Keetile, and Mr. Motsholathebe Bowelo. The work was co-authored by Ms. Neo Corneliah Lepang, Director, Department of Civil and National Registration, MLHA. In guiding the work tech- nically, she provided key information, research, and resources for the work. Dr. Samuel Mills, Senior Health Specialist, Health, Nutrition, and Population Global Practice, together with the World Bank Group Identification for Development Working Group, also provided technical guidance. The work benefited greatly from the useful and insightful peer reviewer comments of Mr. Benito Semommung, UNICEF Botswana; Mr. Moses Keetile, UNFPA; Mrs. Grace Mphetolang of Statistics Botswana; and Mrs. Hauwa Nhuru, Assistant Registrar, Administration of Justice, who collaborated closely with the DCNR on the issue of accelerated improvement in Civil Registration and Vital statistics (CRVS) and Identity Management. Acknowledgements are also due to the Senior Management Team and the Staff of the Department of Civil and National Registration who contributed immensely to the development of the report, including providing data sources and validation of the report. Acronyms, Abbreviations and Setswana Terms AFIS Automated Finger-print Identification System APAI-CRVS Africa Programme on Accelerated Improvement of Civil Registration and Vital Statistics BDRS Births and Deaths Registration System ‘Botho’ Humility CR Civil Registration CRVS Civil Registration and Vital Statistics DCNR Department of Civil and National Registration DPP Destitute Persons Program DSP Department of Social Protection E-ID Electronic Identity Cards ERM Enterprise Risk Management HoD Head of Department ICAO International Civil Aviation Organization ICS Immigration and Citizenship System ICT Information Communication Technology IDM Institute of Development Management ID-M Identity Management IEC Independent Electoral Commission IMS Identity Management System IMSA Identity Management System Analysis ‘Kgotla’ A traditional public village committee or forum in rural areas convened by village chiefs and sub-chiefs for public consultative purposes on matters of national interest and public policy MLHA Ministry of Labour and Home Affairs NIS National Identification System x The Case Study of Botswana ‘Omang’ An Identity Card in Setswana vernacular SOBERS Social Benefits Registration System directly translated into mean “who are TRIP Traveler Identification Program you” UID Unique Identification Number OAP Old Age Pension UNICEF United Nations Children’s Fund OVC Orphans and Vulnerable Children UNFPA United Nations Population Fund Program WBG World Bank Group RADS Remote Area Dwellers WHO World Health Organization Executive Summary T This report analyses the Identity Management System of the Republic of Botswana with respect to 1) accessibility, 2) robustness, 3) integration and regulated access to data, and 4) legal frameworks and data protection, and documents the extent to which the legal and institutional framework and the human and physical infrastructures have facilitated the establishment, operational- ization and management of identity management as a comprehensive system. Botswana has a single foundational Identity Management System is a pri- mary tool for public administration and governance as well as facilitation of service delivery to the public. It creates one identity per person pursuant to the current legal framework which is used several times by the person at various institutions to facilitate the individual’s access to services including social safety net programs, claiming of rights and entitlements. The national identity card is used as a breeder document for obtaining other documents such as passports, driver’s licenses and voter registration cards. The National Identity number used at age 16 is the same unique identifi- cation number (UID) issued upon registration of birth. This strategy ensures an identity life cycle from “Identity Establishment” to “End of Identity”. “Identity Establishment” is accomplished on the basis of ‘Evidence of Identity’, such as timely birth registration, and “End of Identity’ is accomplished through death reg- istration or emigration. In the case of a resumption of citizenship, identity will be reactivated. The National Identity Management System is linked with other systems, such as the electoral system, the Social Benefit Registration System (SOBERS), government payroll, and the transport system. Similarly, through this link, the National Identity Management System is updated in real time when a death occurs. The status of the registered citizen is changed from ‘Live’ to ‘Deceased’ and subse- quently all other systems for service ministries interfaced with the NIS receive the update as well. Although Botswana is a vast country with low population density, the reg- istration services are highly decentralized in the country. There is a network of 37 offices across the country in 12 districts and 25 sub–districts. It also operates 13 on-site registration offices at various hospitals across the country. Further, birth xii The Case Study of Botswana registration, birth certificates, and the first issuance of processes, an effective ID management cycle, contin- the national ID are all free. Late registration fees for uous monitoring and evaluation, and data security births and deaths has been waived through subsidiary and integrity management. It is envisaged that the legislation. ID-management system will in the future be linked The Botswana National Identity System is facil- to the immigration and citizenship system under the itated by legal reforms and reviews, risk management, department of immigration and citizenship to progress rigorous re-engineering and re-design of business it to a fully-fledged Population Register or People Hub. Strategic Foundations for the Ministry of Labour and Home Affairs Vision: Excellence in provision of Labour and Homeland services Mission: MLHA to promote Social and Industrial Harmony and Homeland Security Values: Integrity, Botho Strategic Themes: Service Excellence, Operational Excellence, Homeland Security Strategic Results: Customer Satisfaction, Efficient Operations, Labour Safety and Security Strategic Foundations for the Department of Civil and National Registration Vision: To be the best in providing registration services Mission: To undertake registration of births and deaths; national registration, marriage solemnization, authorization of name changes as well as providing registration and monitoring of societies. Values: Integrity, Botho Strategic Themes: Service Excellence, Operational Excellence, Homeland Security Strategic Results: Customer Satisfaction; Efficient Operations 1 Introduction Table 1   Botswana at a Glance Populationa 2,024,904. Residence : a 64.1 % (Urban), 35.9% (Rural) Literacy rate (females aged 15–65 years) b 89.6 % Poverty rate (headcount index) (2009) 23% Official Language English Birth registration mandatory Yes Rate registration of births (0–1 year) 76.9% (Source: Vital Statistics Report, 2012) Undocumented population 520,000 (Population above 14), 188,000 (Population below 14) National ID mandatory Yes Unique (or personal) identity number Yes (*A unique identity number given at birth and printed on birth certificate and used at 16 years when one acquires an identity card) Percentage of population with NID (%) 67.3% with the remaining 33 % accounting mostly for the population under 16 years. Percentage of eligible population with NID 80–90% NID in the eligible population (Number) 1,541,571 Electronic identity cards (E-ID) Botswana does not have an electronic identity card, (e-ID) but has an analog machine-readable laminated card which is also barcoded with biometrics (finger print, photo). This multi-purpose analog-ID card is foundational and is used by holders to access most services off-line. However, the NIS is interfaced with many Government systems for on- line authentication of person identity and person data and particulars for service delivery purposes. Digital signature is included in e-ID None (manual signature affixed on manual card) but digital signature to be included in the upcoming e-ID e-ID card can be used for remote online Analog card, not e-ID card, is used in remote areas. transactions Type of passport issued Electronic Passport issued on the basis of the ID Business registration is automated Yes, but the registration is handled by the Companies and Intellectual Property Authority Unique business ID Yes   Statistics Botswana Population & Housing Census 2011 ANALYTICAL REPORT a b   Statistics Botswana, Republic of Botswana. Literacy survey 2014. Stats Brief. (http://www.cso.gov.bw/images/literacy.pdf) 2 The Case Study of Botswana Botswana is a landlocked upper-middle income associated rights. The right to identity and nationality country in Southern Africa. It shares borders with is embedded in the Universal Declaration of Human South Africa in the south and southeast, Namibia in the Rights and Convention on the Rights of the Child northwest, and Zambia and Zimbabwe in the north- Resolution 44/25 of November 20, 1989. Therefore, east. Botswana has a surface area of 582,000 square the possession of an identity is a precondition for full kilometers with the Kalahari Desert comprising more citizenship. than two-thirds of the total area. About 87 percent of The importance of Identity Management the population lives in the eastern part of Botswana Systems is recognized in the post-2015 Sustainable where rainfall is more regular, ground water is avail- Development Goals, namely Goal 16 on promoting able, and the soil is relatively fertile. At independence peaceful and inclusive societies for sustainable devel- in 1966, Botswana was one of the poorest countries in opment, providing access to justice for all, and build- the world with a per capita income estimated at less ing effective, accountable and inclusive institutions at than US$100 per annum and a largely rural economy all levels. This goal has as a target for the provision of that was dependent on agriculture. However, with the legal identity for everyone, including birth registration discovery of minerals, especially diamonds, soon after (target 16.9). independence, Botswana quickly became the fastest In Botswana, every citizen must be registered growing economy in the world. Yet, while diamond and issued an identity card within 30 days of turn- mining contributes a relatively large proportion to ing 16 years of age or acquiring Botswana citizenship. growth, GDP, export shares, and government revenues, Furthermore, the Government, through legislation and its direct impact in terms of employment is quite small government operations, has committed to ensure that because it is capital intensive by nature. Botswana’s sta- citizens can enjoy these most fundamental rights. The ble democracy and prudent economic management has centrality and value of a robust, secure, and reliable facilitated good investment in infrastructure, health, identity management system is confirmed in the coun- and education, which has resulted in improvements in try’s Tenth National Development Plan (NDP10). social indicators, such as the female literacy rate (among 15–65 year olds) which has increased from 67.7 per- cent in 1991 to 89.6 percent in 2014. Rationale for Identity Management Systems Analysis Background Once a National Identity Management is in place, it is necessary to assess the system with respect to 1) accessi- Identification plays an important role in proving one’s bility, 2) robustness, 3) integration and regulated access identity, exercising one’s basic rights, claiming entitle- to data, and 4) legal frameworks and data protection, to ments, accessing a range of governmental services, and document the extent to which the legal and institutional conducting many daily activities (World Bank, 2014). framework and the human and physical infrastructures The Government of Botswana recognizes and places have facilitated the establishment, operationalization value on the national identity management and civil and management of identity management as a compre- registrations systems as critical for good governance hensive system. This assessment used the criteria and and accountability for sustained socioeconomic devel- guidelines developed by the World Bank Group (WBG) opment, and as vehicles for facilitating the establish- and development partners within the framework of the ment of an array of human rights, such as the right National Identity Management and Civil Registration to a name, citizenship, nationality, voting, and other System. Introduction 3 Methodology of Civil Registration and Vital Statistics (APAI- CRVS); (2012); c) Botswana’s National e-Government The Identity Management Systems Analysis (IMSA) Strategy 2011–2016; d) Yamoussoukro  Declaration included informant interviews with key stakeholders (2015); e) Global Civil Registration and Vital Statistics in the Identity Management System (IMS), includ- Scaling up Investment Plan 2015–2024; f ) Reforming ing representatives from the Department of Civil and Improving Civil Registration and Vital Statistics and National Registration (DCNR), the Department Systems in Africa Regional Medium-Term Plan: of Social Services (Social Protection), and the 2010–2015; g) Handbook on Civil Vital Registration Independent Electoral Commission. Representatives and Statistics Systems Developing Information, of other Ministries and departments were not inter- Education and Communication; and h) Improving the viewed because the Identity Management System IDs Quality and use of Birth, Death and Cause-of-Death are the ones used for validation of a person’s data and Information. identification of persons for service delivery by these Information collected from the IMSA question- Ministries and departments. Data collected from the naire and desk review was analyzed for each of the vari- three basic stakeholders clearly showed how Identity ous key areas. Tables were created to show the distribu- Management supports service delivery across agencies. tion of registration of births, deaths, and benefits. The Additionally, desk reviews were conducted of pertinent document was circulated to key stakeholders for valida- documents including: a) National Development Plan tion of findings. In addition, the team consulted with 10; b) Africa Programme on Accelerated Improvement outside experts for peer reviews and technical inputs. 2 National Level Civil Registration and Identification Ecosystem Department of Civil and National Registration The Department of Civil and National Registration (DCNR) was established in 2003 with the merger of the division of National Registration with the division of Civil Registration and Vital Events. It is a Government Department within the Ministry of Labour and Home Affairs (MLHA). It is statutorily headed by a National Registrar who is also an administrative Director. The core mandate of the Department is the delivery of registration services on civil registration (CR) and identity management (ID-M), as well as registration and monitoring of societies. The DCNR has a staff complement of four hundred and fifty four (454) stationed in 37 stations across the country in 12 districts and 25 sub–districts. It also operates 13 on-site registration offices at various hospitals across the country. There are plans for future expansion of the on-site registration initiative to other health facilities. The annual budget for civil registration for the 2014/15 financial year was P56 000 000 (equivalent to US$ 5.6 million). The different items of infrastructure available at the offices across the country are shown in Table 2. The DCNR derives its core mandate from six (6) Acts of Parliament: The Births and Deaths Registration Act; the National Registration Act; the Marriage Act; the Married Persons Property Act; the Change of Name Act; and the Societies Registration Act. In carrying out its work, the DCNR utilizes strategic partner- ship alliances with numerous other stakeholders, including: the Ministry of Health, which is both a source and user of the births and deaths data; the Administration of Justice, which is responsible for divorce administration; and Statistics Botswana, which by law is responsible for the compilation, analysis, and dissemination of vital statistics. The DCNR has working collaborations with various development 6 The Case Study of Botswana Department of Civil and National Registration Infrastructure Capacity Table 2    Infrastructure capacity Percentage of offices Photocopiers 70 Telephone 100 Computers 100 Electronic formsa 0 (*There is no on-line application for registration services, applications are submitted through manual forms) Capacity to transmit data 100 (*ICT infrastructure including network, bandwidth, Internet and so forth available in all the 37 stations and 13 by internet hospital-based Births and Deaths Registration Centers. However, in some very few instances, the network is unstable) Regular power supply 90 (*The Country is currently undergoing load shedding in power supply of a maximum of one hour which sometimes affects systems availability at out stations. Central Data Base connected to back-up power supply.) a   On-line services will be introduced in which electronic forms (such as online application forms for births and deaths registration) will be used upon completion of People Hub project. partners such as the United Nations Children’s Fund The Births and Deaths Registration Act CAP (UNICEF), the United Nations Population Fund (1968, last amended in 2014) provides for mandatory (UNFPA), the World Health Organization (WHO), registration of every birth and every death that occurs the African Development Bank (AfDB), and recently, in Botswana within 60 days and 30 days, respectively, the World Bank Group. Other strategic partnerships of each occurrence. It also requires doctors and mid- are maintained with non-state actors such as the wives to notify the Registrar of Births and Deaths of Project Concern International (PCI), funded by the birth and death events that they attend to. Initially United States Agency for International Development there was resistance from some health personnel, but (USAID), the Masiela Trust Fund, and the Marang this was resolved after the country undertook a com- Child Network Trust. These partners and stakeholders prehensive assessment of CRVS in November 2013 assist the registration processes and sustained accelera- and a recommendation was made that notification of tion of civil registration and vital statistics CRVS and births and deaths be required as part of the duties of ID-M improvements through resource mobilization, health personnel. Although about 94 percent of births including financial and technical assistance. are occurring at health care facilities, there is a mecha- nism in place for also working with community leaders and engaging in community outreach for registration National Civil Registration of non-institutional births. The transfer of documentation about births Civil registration is defined by the United Nations as and deaths from local and regional offices to a central the “Universal, continuous, permanent and compul- national data repository is performed online. There is sory recording of vital events provided through decree a central data repository connected to outstations that or regulation in accordance with the legal require- allows changes on registrations and updates to be made ments of each country.”1 Civil registration provides the in real time. The DCNR has undertaken a number of most important source of vital statistics and is a basis initiatives which have significantly improved registra- for identity management. It provides individuals with tion over time. documentation needed to establish legal identity and family relationships, and by extension, to exercise their 1 United Nations Statistics Division—Principles and civil rights, access services and participate in modern Recommendations on Civil Registration and Vital societies. Statistics, 2014. National Level Civil Registration and Identification Ecosystem 7 On-site Birth registration kiosk awarding a birth certificate to a newly born baby at Marina Hospital in Gaborone Electronic On-site Birth Registration institutions. This is crucial since every life counts and Realizing that health institutions are a natural partner must be counted and accounted for in a timely manner. in civil registration, and in order to utilize their key Available data indicates that since its inception in 2011, position as a source of data where about 94 percent of on-site registration strategy has significantly improved births and 54 percent of the deaths occur, Botswana the number of registered births and deaths and has instituted a strategy of electronic On-site Registration reduced the number of late registered events. From an of Births and Deaths in hospitals in 2011 and to date initial 2,856 births registered on-site in 2011 to a peak has opened up onsite registration facilities in 13 hos- of 28,007 in 2014, this increase has shown the impor- pitals. Assistant Registrars are placed in health institu- tance of on-site registration (Figure 1). tions to register births and deaths as they occur. The The Government has also decentralized registra- strategy goes a long way in significantly reducing late tion services in rural areas utilizing districts, sub-districts birth registrations (that is, registration after the 60 days and administrative offices, and has improved access to of birth stipulated in the Births and Deaths Registration registration services. To this effect, the DCNR offices Act but before age 1 year) or delayed registrations (after are staffed with trained and semi-skilled personnel, age 1 year) and the initiative is expected to significantly such as professionals, technicians, artisans and prepara- bring the country up to the level of universal registra- tory clerks, based in various districts and sub-districts tion, building on the advantage of already having in across the entire country. To date there are a total of 37 the system the 94 percent of births occurring in health offices and 13 on-site registration centers. Therefore, 8 The Case Study of Botswana Number of Onsite and Total Birth Registrations, Figure 1    2011–2014, Botswana 120,000 107,848 100,000 97,850 92,636 80,000 67,550 60,000 40,000 27,739 21,288 15,653 20,000 2,856 0 2011 2012 2013 2014 Number of registered births Number of onsite birth registration decentralization is taken very seriously as services are authorized. At this point event registration is complete. taken closer to the people. The certificate is delivered to the mother before she leaves the hospital, or in case of death, to the next of kin before the transfer of the body to the private under- The Births and Deaths Registration takers ormortuaries.. In cases where the form was sub- Processes mitted to offices outside the hospital, the registration is There are two processes to follow depending on whether processed and authorized, and the birth/death certifi- the registration is on time (within 60 days of birth or 30 cate is ready for printing. In order to be able to pick up days of death) or is a late registration (60 days or more the birth/death certificate, the next of kin is required after birth). to produce a tear–off piece from the birth notification On time registration: Registration can be done form that was acquired at the time of the birth or the either at the health facility where the event occurred deceased’s death. The next of kin’s own identity card is or at the nearest DCNR office. For registration at the required for confirmation and authentication of iden- health facility, health personnel record the birth by tity , and linkage of the next of kin to the subject. In completing a birth/death notification form immedi- addition, the DCNR operates through each district and ately after the event occurs and then forwarding the sub-district monthly/quarterly mobile registration ser- completed form to the relevant DCNR office for pro- vices to remote and difficult to reach areas, and other cessing, either on-site at the hospital within an hour of centers to conduct registrations of any non-institu- occurrence, or at a district or sub-district office within a tional birth and death events and to distribute certifi- week. Once the forms are received at the DCNR office, cates without the respective individuals having to visit they are entered into the Births and Deaths Registration civil registry offices. Civil registration is undertaken free System, where registration is quality-checked and of charge. A late registration fee of BWP 5 (US$0.50) National Level Civil Registration and Identification Ecosystem 9 is charged for every month of not registering up to Assessment Board for data authentication and autho- a maximum of BWP 100 (US$ 10). For a duplicate rization at a higher level. The Board is based at the certificate, BWP20 (US$2) is charged, while for alter- head office of the Department of Civil and National ations the fee is BWP 10 (US$1). However, in order to Registration in Gaborone. It can either ask for addi- further improve access to the registration service and tional information, refer the matter for further investi- to facilitate the registration of vulnerable children, the gation, or approve or reject registration. All completed Government made a decision in 2014 to suspend all application forms, including approved late registration late registration fees from April 2014 to March 2015, forms, are then immediately entered into the registra- and to continue the suspension of fees for the vulnera- tion system, at which point the registration process is ble population (destitute persons, orphans and vulnera- completed and a certificate can be issued. The certificate ble children) beyond March 2015. In addition, another collection protocols and procedures will then follow. It decision was made to relax requirements for supporting is important to note that at this point, the customer can documentation for registration of remote area dwellers. collect a certificate from any of the DCNR offices coun- Instead, a local assessment committee comprising of trywide since the births and deaths registration system local leadership and officials meets to orally hear such is decentralized and connected to the central database. evidence and on the basis of the minutes produced, an application for registration is completed and forwarded to the Registrar for authorization and processing. As Processes for Obtaining Duplicate Births of June 2015, laminating machines were acquired to and Deaths Certificate specifically laminate the births and deaths certificates Duplicate certificates are normally requested for vari- issued to those residing in remote and difficult to reach ous reasons. The procedure for acquiring a duplicate areas. This was done for preservation purposes to assist is that a customer presents himself/herself at any of people living a more nomadic lifestyle. DCNR offices where he/she will be required to make a Late registrations: In case of late registrations, sworn statement describing the circumstances that led the declarant also has to bring an affidavit and witnesses to the loss of the certificate. The customer will then pay to confirm that the event indeed occurred. These extra a replacement fee of BWP20.00 (US$ 2) after which a steps are designed to prevent ghost registrations. The supervisor authorizes a certificate to be issued. In cases application form is considered by the Late Registration where there are changes as a result of a change in the Number of Births, Deaths, and Marriages Registered, and National Identity Table 3    Cards Issued Number of births Number of Number of Number of Number of Number of ID in health facilities births at registered Number on on-site registered registered Cards Issued Year (MoH) home (MoH) births (CNR) registration (CNR) deaths (CNR) marriages (CNR) (CNR) 2009 45,145 220 123,524 — 14,497 4,637 245,601 2010 49,853 475 197,382 — 14,317 5,648 147,811 2011 44,904 104 67,550 2,856 15,430 5,677 198,111 2012 49,957 91 107,848 15,653 15,629 6,391 152,572 2013 49,771 68 92,636 21,288 15,614 5,806 188,119 2014 — — 97,850 27,739 14,551 5,609 177,002 Total 239,630 958 686,790 67,536 90,038 33,768 1,109,216 10 The Case Study of Botswana Figure 2    Percentage of On-site surname or where the High Court has authorized mate- Registered Births as a rial changes in either birth or death registrations, the Proportion of all Registered same capture and authorization procedures will be fol- Births lowed and new certificates issued accordingly. 40 35 35.1 Coverage of Vital Events 30 According to the 2007 Botswana Family Health Survey 28.3 25 report, about 94 percent of births in the country 23.0 Percent 20 are institutional (that is they take place in a modern health facility, attended to by qualified, professional 15 14.5 birth attendants). Table 3 shows the number of births, 10 deaths, marriages registered, and national identity cards 5 issued between 2009 and 2015 The table also disag- 4.2 0 gregates the number of births according to whether 2011 2012 2013 2014 2015 they occurred in a health facility or at home, as well as (Jan–June) whether they were registered onsite or not. Year Figure 2 shows the percentage of births regis- tered onsite between 2011 and 2015 out of all births that were registered during each year. The figure shows that the proportion of onsite births has been increasing steadily from 4.2 percent in 2011, to 28.3 percent in 2014, and to 35.1 percent in the first half of 2015. 3 National/ Foundational ID T he Botswana national identity management system is foundational (that is the mode of identification is national and is used for multiple purposes). According to the National Registration Act CAP 01:02, it is compulsory for every citizen of Botswana to undertake National Registration within thirty (30) days of attaining the age of sixteen (16), and within 30 days of acquiring Botswana citizenship. Birth registration establishes the identity of an individual or citizen and the additional enrolment in the national registration and the issuance of the National ID card, confirm his or her legal identity. The ‘Omang’ or National iden- tity Card is the prima facie proof of the particulars stated on the identity card. The National Identity Card enables every citizen to access reserved public services (such as social safety net programs) by presenting it to service providers for identification purposes and authentication of person data. The Government of Botswana has established an organic link between births registration, national registration, and death registration through a unique identifier to ensure that birth registration becomes a credible foundation for iden- tity management beyond just serving as a source of vital statistics and to ensure that death registration marks the official end of identity. In 2011, in addition to a certificate of naturalization, the birth certificate was made a compulsory require- ment for National Registration and for acquisition of national identity card at the age of 16 years. In a case where the birth certificate is not available, mechanisms for dealing with the lack of breeder documents when applying for a new, national ID have been put in place. For instance, social footprints like school certificates and baptismal certificates are used to inform the reconstruction or establishment of identity. Moreover, the law provides that the Registrar can require any addi- tional information necessary to ensure authenticity of registration. In such cases the next of kin/parent /guardian or those with material knowledge of the events are often required to depose to an affidavit attesting to the facts they present. An additional affidavit from a local or village Chief or Headman may also be required in certain cases. 12 The Case Study of Botswana The National Identity number used at age 16 is For Gaborone and surrounding areas, the service the same unique identification number (UID) issued delivery turn-around time standard is 8 days from the upon registration of birth. This strategy ensures an iden- time of application to identity card issuance and 14 tity life cycle from “Identity Establishment” to “End of days for other parts of the country. Identity”. “Identity Establishment” is accomplished on A total of 1,710,345 national identity cards have the basis of ‘Evidence of Identity’, such as timely birth been issued since 1988 of which 1,549,173 are cur- registration, and “End of Identity’ is accomplished rently held by individuals. This represents 80–90% of through death registration or emigration. In the case of coverage among the eligible population. Figure 3 shows a resumption of citizenship, identity will be reactivated. the number of identity cards added annually to the Identity establishment is a fundamental right of National ID database between 2009 and 2015. There citizens, and the National Identity Management System are reasons for the apparent annual fluctuations in the is linked with other systems, such as the electoral sys- number of National identity cards issued. For instance, tem, the Social Benefit Registration System (SOBERS), the highest number—245,601 in 2009—coincided government payroll, and the transport system. Similarly, with the 2009 General Elections when demand for through this link, the National Identity Management identity cards for voter registration went up. Similarly, System is updated when a death occurs. The status of the there were upticks in 2013 and 2014 prior to the registered citizen is changed from ‘Live’ to ‘Deceased’ 2014 elections. For instance, about 137,647 replace- and subsequently all other systems get updated upon ment cards were issued in 2014. This number is a little enquiry of the NIS on the status of the person. high due to incidences of replacement of lost cards to The DCNR handles all the administrative func- facilitate voters wanting to participate in the General tions, including card production, card distribution, Elections of 2014 since a valid identity card is a require- enrollment, data storage and management, and card ment under the Electoral Act for one to register and issuance and distribution. Only system maintenance and vote at any election. Additionally, the initial general support is contracted out to the tune of P30 Million or national general enrollment for national registration US$ 3 Million per annum over and above the approved which was first conducted from 1988 to 1993, and the annual budget of US$ 5.6 Million. The system is based 10 year-cycle of card expirations requiring reissuance of on proprietary technology or source code, although identity cards, accounted for some of the large numbers because the system has challenges, it is not good practice recorded in 2009 and to some extent in 2011. to use it. At the moment, it will be difficult to change The following information is obtained at the vendors due to a lock-in of the vendor, but the DCNR is time of enrollment: (i) name (ii); date of birth; (iii) sex; working on modalities for a more open source situation. (iv) residential and postal address; (v) place of birth; (vi) marital status; (vii) occupation; and (viii) informa- tion on parents or other family members. Biometric National ID Database data, mainly photo and fingerprints (two thumbs) are also captured at the time of enrollment. The original The National ID database includes all citizens. There source images are stored in the registry and are not is also a separate register maintained for non-citizens stored as encrypted templates. Linkage of the appli- under the Immigration and Citizenship System (ICS). cant information with parents’ identity numbers was However, a project is ongoing to link the two regis- introduced in 2012 to create family trees and to fur- ters together with the marriages/divorce function and ther enhance de-duplication (that is, ensuring that each change of name to create a comprehensive Population individual is entered in the central database only once). Register or People Hub for all the people in the country. Additionally, the Automated Fingerprint Identification National/Foundational ID 13 Number of National Identity Cards Issued per Year, 2009–2015 Figure 3    300,000 245,601 250,000 198,111 200,000 188,119 177,002 147,811 152,572 150,000 100,000 88,831 50,000 0 2009 2010 2011 2012 2013 2014 2015 (Jan–June) System (AFIS), which is similar to the one employed machine readable. The Omang ensures the uniqueness by the United States Federal Bureau of Investigation, of individuals in the database. The unique ID number is utilized to secure national identity. All national iden- issued at birth is the same one used for the “Omang” at tity cards issued should have gone through the AFIS age 16 years. This provides an organic link between the thereby ensuring uniqueness. AFIS uses biometrics and birth register, the National Identification System, and the identification numbers to verify the identity of an the Death Register. Furthermore, biometrics are used individual at the time of enrollment, subsequent re-ap- to de-duplicate at the time of enrollment. In case of plication and at any point of de-duplication. late registration, community level verification is used by involving local leadership and collecting social foot- prints for re-creation of a person’s identity. The Omang By law, the identity card is valid for only 10 years, after which it expires and must be replaced. The The Omang or National Identity Card, which was first National Registration Act also provides for replace- introduced in 1988, is a barcoded paper laminated ments when particulars or the surname change, or when identity card. There are currently no online identity an identity card is lost. The cost to produce and issue services available, but an electronic identity card will be an ID is BWP150 (US$ 15). There is no fee charged introduced as part of the implementation of the NDP for first time applicants. However, a fee is charged for 10 project. The external features on the card are human replacing a lost or stolen card, mainly as a deterrent. and machine-detectable. On the face of the card, the The cost of replacement is BWP110 (US$ 11) and the unique ID number, name, age, sex, place of birth, and renewal fee is BWP5 (US$ 0.50). color of eyes is printed. The card has both first and sec- As in the case of issuance of a new ID, the ond level security features. First level security features replacement ID for renewal or for lost or stolen are those visible to the naked eye, while second level cards also takes about 8 days in Gaborone and large features are machine readable. There is no other infor- areas and 14 days in other places. There are mecha- mation stored on the card that is not visible but is only nisms in place under the Change of Name Act, which 14 The Case Study of Botswana regulates use of surnames, and under the Births and Despite the fact that birth certificates and Deaths Registration Act, which regulates the use of identity cards are key documents required by citi- forenames, which are used for updating information zens to access social and development services in the in the national registers for individual identity. About country, not all people have been registered. In rec- 15,000 requests are made annually to process such ognition of this, a Special Project on the Registration changes, including those authorized under the law of Vulnerable People was launched in 2012 by the by the High Court and the Honorable Minister of Ministry of Labour & Home Affairs in collaboration Labour and Home Affairs. with UNICEF. In June 2015, the second generation Under the National Registration Act, Chapter Universal Registration Campaign was launched. The 01:02 section 8, any person shall be guilty of an offence project is aimed at improving registration of births under the Act who- among vulnerable groups, which is mainly comprised of Remote Area Dwellers (RADS), people with dis- 1. Furnishes false information or makes any abilities, orphans, street children, and other vulnerable false statement in his application for regis- children. During registration, stringent requirements tration or in any affidavit sworn under this are relaxed, but relevant evidence or information is Act; or required through community level verification to 2. Forges any document for the purpose of reconstruct the person’s identity. For applicants who do obtaining registration under this Act; or not have any proof of birth, the District Registration 3. In any way seeks to illegally influence the Assessment Committee assesses eligibility for registra- decision of the Registrar; or tion as well as date of birth and uses any available social 4. Being already registered, applies for registra- footprints to assist in registration. This is a multi-sec- tion; or torial committee chaired by the District Commissioner 5. Being in possession of any identity card, with representatives from government departments applies for a new card falsely alleging that and other stakeholders in the respective locality. For his identity card was lost or destroyed. instance, members are generally made up of representa- tives from the Botswana Police Service, the Department Section 19 of the same Act also states that any of Immigration and Citizenship, the Department of person who is guilty of an offence under the Act shall, Social and Community Development, the Old Age in addition to any punishment under any other law: Pensions Office, the District Health Management Team, the Village Development Committee, and the 1. be liable under section 8 and under para- village Chief. A representative of the Department of graphs (e), (f) and (h) of section 18 to a Civil and National Registration serves as the Secretary fine not exceeding P1500 (USD 150) or to to the committee. The committee interviews the appli- imprisonment for a term not exceeding one cant and family members through the help of the Chief year or to both such fine and imprisonment; and Village Development Committee to get as much 2. be liable under paragraph (a) to (d) and para- information as possible and makes recommendations graphs (g) of section 18 of this Act to a fine to the Registrar. The Secretary then makes a report and not exceeding P500 (USD 50) or to impris- forwards the application for processing to the Head onment for a term not exceeding six months office for the registration to be effected and an identity or to both such fine and imprisonment. card or birth certificate issued. National/Foundational ID 15 Inter-Agency Information Flows and card are issued on the basis of the Omang but they are Interoperability not national ID cards per se. Other government insti- tutions use this one identity created to facilitate data It is a requirement for a person to possess a valid iden- authentication through system interfaces and integra- tity card in order to access numerous services, includ- tion of data. ing opening a bank account, obtaining credit or loans, The organic linkage of the National Identification reporting to the tax authority, obtaining a marriage cer- System (NIS) with the Births and Deaths registration tificate, obtaining private health insurance, enrolling in system (BDRS) has been mutually beneficial. The social insurance programs, qualifying for cash transfers, ongoing project of establishing a Population Register food or other safety net programs (especially those pro- or People Hub will further improve the interoperability vided by or through the government), obtaining a cell of systems. phone account, obtaining a passport, getting a drivers’ Despite this Inter-Agency information flow and license, registering for and voting during national elec- interoperability described above, there are some infor- tions, registering a vehicle, obtaining health care, pur- mation communication technology (ICT) related con- chasing property such as a house, and obtaining tuition straints. While ICT infrastructure is available, in some assistance for education. Furthermore, Government very few instances the network is unstable. Specialized agencies and programs are not expected to issue their ICT technical skills are scarce, and this has necessitated own forms of identity cards because the DCNR is the the dependence on international private contractors, only authority for issuing the Omang. However, the especially for systems design and maintenance. electoral registration card and old age pension scheme 4 Key dimensions of the National/ Foundational ID system T he following sections describe the four key dimensions of the status of the national ID (Omang) system: (1) accessibility, (2) robustness, (3) integration and regulated access to data, and (4) legal frameworks and data protection. Accessibility Accessibility is important to achieve significant access of an individual to a foun- dational ID. The extent of coverage of civil registration and the Omang is noted above. Some factors that affect the accessibility of the National ID System are described below. Financial Costs As noted earlier, in Botswana, birth registration, birth certificates, and the first issu- ance of the national ID are all free. The renewal of the national ID is done every 10 years for a nominal fee of P5 (50 Cent in US$). The replacement of a lost national ID card is P110 (US$11), which is imposed with a purpose to instill responsibility and to ensure safe keeping of the card. The free service and the nominal fees are instrumental in ensuring that there are no barriers to service access. In order to help improve access to registration services, there are set turnaround times for officials to provide these services. 18 The Case Study of Botswana Geographic Access registration of births among vulnerable groups, includ- Although Botswana is a vast country with low popula- ing Remote Area Dwellers (RADS), people with dis- tion density, the registration services are highly decen- abilities, orphans, street children, and other vulner- tralized in the country. The DCNR has a network of 37 able children. The main objective of the project is to offices across the country in 12 districts and 25 sub–dis- improve registration levels of these target groups. One tricts. It also operates 13 on-site registration offices at way is through ensuring an effective and targeted use of various hospitals across the country. Additionally, every the mobile outreach service to those residing in remote district or sub-district office undertakes a monthly out- and difficult-to-reach areas, orphans, and street chil- reach program, an initiative labeled ”Taking Services to dren. Furthermore, the registration requirements have the People’’. This was explicitly designed to expand out- been waived to improve vulnerable population access reach to the people, especially those in remote and hard to identity management and civil registration services. to reach areas. The DCNR deliberately engages with the leadership of their communities, and of NGO’s working with them, to improve program inputs, and to foster the building Access to Vulnerable or Marginalized of trust among them. Furthermore, although stringent Groups requirements are relaxed, relevant evidence or infor- The Special Project on the Universal Birth Registration mation is still required to reconstruct the identity of of Vulnerable Groups, which was launched in 2012 such individuals through interviews by the registration by the Ministry of Labour & Home Affairs in col- committee in order to validate information vouched laboration with UNICEF, also aims to serve hard-to- by the local leadership from where the client ema- reach individuals. The project is aimed at improving nates. Additionally, thirty officers have been trained Provision of registration service during outreach to remote and hard-to-reach areas Key dimensions of the National/Foundational ID system 19 Street children with their guardians and Director of DCNR (center) showing and waving their newly acquired ID cards and birth certificates. The street children are part of the 3 vulnerable groups - orphans, street children and those in remote areas. on sign language; and the braille book (for the visually agencies and organizations to improve inclusion and impaired) has also been produced for all registration to gain better access to registration and identification services. documents. These include other government agencies, international agencies and donors, and non-govern- mental organizations. Information, Education and Below are some of the actions undertaken to Communication Campaign address the needs of the most vulnerable population Economic, cultural and logistics are some of the cat- groups: egories of barriers identified by the DCNR as bottle- necks to civil registration and identification for vul- In 2011, the First generation, Universal birth, nerable groups of the population. Accordingly, the Death and National Registration Campaign was Department provides free services for them. According launched targeting the whole population and to the Affirmative Action Policy the following groups of specifically conducting awareness and registra- people are vulnerable: people living in remote and hard tion campaigns in remote areas to reach areas; orphaned children; the poor; disabled Special project on the Registration of the people; and senior citizens. On the basis of this pol- Vulnerable Groups icy, the DCNR has developed a Special Project on the Establishment of Registration Assessment Registration of the Vulnerable People. The DCNR fur- Committees established to facilitate the ther has formal cooperation arrangements with other implementation of the Special project on the 20 The Case Study of Botswana Registration of the Vulnerable Groups And to accomplished by assigning a unique identification assist those who do not have required docu- number or card to a specific individual, ensures robust- ments for registration ness of the national ID system and minimizes fraud. Waiver on payment of late registration penalty Uniqueness facilitates a de-duplication process (that is fees ensuring that each individual is entered in the central Prioritizing applications from vulnerable groups database only once). In Botswana, an elaborate mech- Second Generation Campaign on the Universal anism is in place to ensure uniqueness. The enrollment Registration launched on June 2, 2015. (how biometrics are captured) features of the identifi- cation card and the use of an Automated Fingerprint Identification System (AFIS) for de-duplication are Grievance Redress Mechanism described in detail above in the section on national There is a robust client feedback system which utilizes ID. The Government of Botswana in 2003 established prescribed instruments to collect client grievance and an organic link between birth registration, national feedback inputs. One of those is the Customer Feedback registration, and death registration through a unique System introduced by Government in 2015 and is imple- identifier to ensure that birth registration becomes a mented across Government Ministries and Departments. credible foundation for identity management beyond Complaints are analyzed on a monthly basis and appro- just serving as a source of vital statistics and conferring priate corrective action taken, including following up rights on individuals. The organic link extends to death with clients where necessary. Furthermore, a complaint registration that marks the end of identity. In 2011, the procedure is published in each service center detailing birth certificate was made a compulsory requirement the contact details, including telephone numbers, of offi- for National Registration and acquisition of a national cials to contact in case of a query, a complaint, or a com- identity card at the age of 16 years. The national iden- pliment. The Ministry has a centralized Call Center in tity number acquired at age 16 at the time of national Headquarters where customers from across the country registration is the same as the unique identification can call to make telephone contact on any complaints or number (UID) issued at the time of birth registration. compliments they may have. Further, there is a Minister’s The integration ensures an effective management of an Call-in Program once every month on the last Tuesday of identity life-cycle from birth (“Identity Establishment”) the month from 10 a.m. to 11 a.m. where the Minister throughout the life-time to death (“End of Identity”). receives calls from members of the public in the call Establishment of identity is thus done on the basis of center on anything they may want to discuss with him, “Evidence of Identity” such as a timely birth regis- including complaints and compliments. The calls are tration, or on the basis of social footprints (such as a received in the presence of all Directors who may resolve school certificate) in case of late registrations in cases or respond to the complaints on the spot or later depend- where births occurred outside a health facility. “End of ing on the intricacies of the issues raised. In addition, Identity” is carried out through death registration or many – but not all- of the registration laws stipulate that emigration. Under this system opportunities for dou- the office of the Hon. Minister is the appeal authority. ble registration are diminished (as further described above). Thus, only one identity is created and can be used several times, securing the integrity of the identity. Robustness Authentication (that is verification at the point of transaction) of the National Identification System Robustness refers to the accuracy, reliability, and is linked with other Government systems, such as the security of the mode of identification. Uniqueness, electoral system, SOBERS, government payroll, the Key dimensions of the National/Foundational ID system 21 transport system, and others, to facilitate service deliv- identity management register cannot proceed at once, ery because this identity serves as a gateway for an indi- but instead the person must first be subject to investiga- vidual accessing services. Similarly through this link, tion and verification. Similarly, any double registration the National Identification System is updated when a is queried and cleared-up before inclusion or exclusion death is reported. The status of the registered citizen is in the voting roll. Furthermore, anytime the death of a changed from ‘live’ to ‘deceased’. At the same time, all registered voter is registered, a real time update occurs other government systems maintained by service min- changing the status of the voter from ‘live’ to ‘deceased’, istries that are interfaced with the NIS will receive such hence maintaining the integrity of the voters roll. an update at the next enquiry for the citizen’s status. The integration between BDRS and NIS results in several advantages for identity management and ser- Integration and Regulated Access to Data vice delivery. First, the integration process ensures that the identity management register is up-to-date and not Integration refers to the extent to which a unique ID bloated with non-living identities, and ensures further is used by both private and public programs allowing that identities listed in the register are actually living the ID holder to verify identity for many different and represent real identities. The organic link also sta- purposes, and allowing for different databases to be bilizes the identity of the individuals such that by and mapped to each other. As noted above, a single unique large, individuals are who they say they are. This brings identification number is used mostly in the public sec- about integrity in identity management. Secondly, such tor, while a physical ID card is used by individuals to integrity and trust has resulted in the acceptance and prove their identity in the private sector, since there is use of identity by individuals and institutions, both pri- no integration of the identity management system with vate and public, in order to transact business with one those of the private sector for personal data authenti- other. Identity is largely used to secure access to services cation purposes. There are, however, plans to interface by those qualified either in terms of age, citizenship, the systems of the private sector for authentication pur- or social safety net programs. As a result, this integra- poses with the identity management systems through tion of civil registration and identity management has the ongoing project to build a Population Register. The effectively reduced governance challenges such as fraud, National ID system is administered by DCNR. The cre- pilferage, ghost employees, and so forth. ation of one department to deliver on civil and national In terms of the electoral process, identity man- registration headed by one Registrar brought about an agement has served to strengthen Botswana’s electoral advantage of synchronization of processes and imme- process and to continuously preserve its democracy diate decision-making. This has greatly stabilized the through ensuring the integrity of the voter’s roll. The registrations and continues to facilitate the accelerated integrity is achieved by ensuring that on the basis of an improvement and development of civil registration and identity card, the right to vote is exercised only by those identity management. entitled and qualified to vote by virtue of citizenship and age in terms of the Botswana Constitution and the Electoral Act, and also by reinforcing the validation of Legal Framework and Personal Data identities of voters to ensure that they are indeed who Protection they say they are before registering to vote or actually casting a vote. The voters roll is also generated on the Currently there is no explicit and comprehensive Act basis of the identity management national register. The of Parliament regulating privacy and data protection registration of someone not registered in the national save for some provisions embedded in different laws. 22 The Case Study of Botswana However there are administrative procedures and pro- on the general keeping and releasing of person data; tocols on how government agencies can link their data- submission of digital evidence and use of digital signa- bases to the national I-DM which must be adhered to tures among others. by the connecting Ministries. Furthermore, Section 20 On another note, the information that must be of the National Registration Act provides for secrecy provided for obtaining the national level ID is the min- of the data contained in the National Register, which imum required for the purposes of this ID. The only means that the registry databases cannot be accessed information that is disclosed on the face of the Omang by the members of the public. In the interim, in regard is the bearer’s name, date of birth, place of birth, iden- to privacy and data-sharing regulations and protocols, tity number, and sex. Also, there are penalties provided the National Registration Act provides for creating a in the National Registration Act for violation of the pri- schedule containing a list of Government institutions vacy rules as contained under Section 20. allowed by the Honorable Minister to access national As already indicated, the DCNR is by law registration data for administrative purposes. However, required to maintain a centralized national register. such access rights are limited to only viewing the data. However, the data is not stored in an encrypted or a The provision spells out accountability responsibilities confidential form. Despite this, there is no record for the user agencies and their staff and contractors any distinct security breaches reported in past years in order to control data access. Furthermore, most of with respect to the identification system(s), although the released data is in the form of “yes” or “no” data this does not necessarily mean that breaches may not rather than the actual data transfer. In recognition of have occurred. As a result, there is no data available to the fact that these initiatives are not comprehensive substantiate how many times individual data has been enough, the country is in the process of promulgat- accessed by other entities (for instance, security agen- ing data protection legislation which is currently at cies) outside of the regular course of public affairs. the Bill Stage. Once completed, the Bill is expected Similarly, there are no reports that have been to provide for critical improvements, such as a super- received so far of situations where offenses or instances visory body within government responsible for mon- of misrepresentation of personal information have been itoring compliance with privacy, data protection recorded by registrars. There is recourse for administra- rules for data processors and users, and so forth. The tive and judicial appeal if individuals are denied regis- Electronics Transactions Act has recently been enacted tration or documentation in cases of misrepresentation and among other things, it proposes for the provisions of personal data. 5 Program Specific ID Cards A s already indicated, Botswana has a single foundational Identity Management System which creates one identity per person pursuant to the current legal framework which is used several times by the person at vari- ous institutions, and by those other institutions, to facilitate transactions between themselves as individuals and service providers. For instance, the post office card is simply a debit card produced on the basis of the Omang. The same principle applies to the voter’s card, which is given as proof that somebody has registered and is issued purely on the basis of the identity card issued under national registration. Also, the Electoral Act is explicit that a valid Omang is a requirement for one to reg- ister for elections and to be given a voter registration card and to vote in elections. The Electoral act, Ch0209s54]54(b) states that every voter desiring to vote shall go to the polling station where the voter is registered to vote, and shall produce his or her voter registration card and identity card to the presiding officer. Social Protection The Government of Botswana has created a comprehensive social protection sys- tem with numerous programs, including labor (SPL) programs, the Orphans and Vulnerable Children Program (OVC), the Destitute Persons Program (DPP), the universal Old Age Pension (OAP), the Community Home Based Care Program, Disability Cash Transfer, Vulnerable Group Feeding, Primary School Feeding, and the public works Ipelegeng program (which has reached roughly 220,000 persons). The Department of Social Protection (DSP) under the Ministry of Local Government and Rural Development uses the Identity Management System and the resultant identity cards to facilitate their clients to access programs as follows: 1. Orphan and Vulnerable Children Program (OCP) 2. Destitute Persons Program (DPP) 24 The Case Study of Botswana 3. Old Age Pension (OAP) DCNR. However, for its operations, the DSP captures 4. World War II veterans from the National ID database the name of the client, 5. Community Home Based Care Program date of birth, sex, and address. Once clients enroll for 6. Destitute Housing the programs in DSP there is no photo taken. However 7. Public Works Programme (Ipelegeng). biometric information such as fingerprints is taken 8. Disability Cash Transfer Program (new one for the OCP, OAP, DPP, and World War II veterans being designed) programs. These biometric data are stored on the card and the card can be used to authenticate the identity However, for the OAP, Disability Cash Transfer for transactions. The DSP is working to interface their and World War II veteran’s program, beneficiaries can client registration database with the payment system. register as a proxy for those who are bedridden or those There are clear rules for access to the data maintained with caretakers. These registrations are reviewed every by the programs under the DSP. six months to establish if the beneficiary is still alive. This also ensures that the proxies do not continue to benefit from the program even when the main bene- Replacement of Card ficiary is deceased. To date, 100, 471 individuals over There is a cost to individuals for replacing a Botswana the age of 65 have been registered for the old age pen- Post and Smart Switch Card that is lost due to negli- sion program, and 1,900 for the World War II veter- gence, but a free replacement card is provided in the an’s program. The total spending for the OAP under case of a stolen, burned, or malfunctioning card. The the 2015/16 budget stands at BWP393, 602,400.00 National ID is required to apply for the replacement of and BWP10, 699,920.00 (these figures are based on these cards. the projected numbers, acquired from the National Identification System, of people alive who benefit from the programs). The Department of Social Protection Elections Management and Voter offer several benefits to their clients (see Table 4). Registration Card To access programs such as the OAP and World The Independent Electoral Commission (IEC) was first War II veterans program, Botswana Post, which is a established in 1997 and the voter registration cards service provider engaged by the Department of Social came into effect in 1998. During the October 2014 Protection (DSP), charges varying service fees depend- General Elections, 824,034 voters were registered. ing on whether payment is made at the Post Office New voter registration cards, which are paper barcoded or off site. The information that can be derived from cards, are issued for each round of elections and a vot- the card is not visible but the smart card is machine er’s roll stays in place for five years. Since at the time of readable. Such information includes the National ID enrollment neither a photo nor biometric information number, name, address, age, and sex. As already stated, is captured, the national identity card is used for proof the Department of Social Protection does not issue IDs of identity of a voter and for validation of records. The and any operational issues regarding the production voter registration card is used together with a national and issuance of the IDs are the responsibility of the identity card by an individual during elections. Functional Programs and their Coverage, Department of Social Protection Table 4    Payments Number of Total Program/ Targeted Responsible Geographical Mechanism beneficiaries expenditure benefit population Qualifying implementing areas (if cash or near (value/latest (value/latest category group Objective conditions agency covered cash) year) year) Old Age Monthly Cash Elderly To empower Age Botswana |Post Countrywide Smartcard 101,208 393,602,400 pension Transfer the elderly 65 years and economically and above eradicate poverty amongst them World War II Monthly Cash Veterans or their To empower them Having served at Botswana Post Countrywide Smartcard 2,077 10,699,920 Veterans Transfer widows economically the World War II Destitute Monthly Food The poor who To empower the Socio-economic Botswana Post Countrywide Smartcard 31,829 247,594,200 Persons Basket and Cash have been poor (Cash) (Baskets) Transfer assessed and Smartswitch 48,515,040 found to have Botswana (Cash) monthly income less P300 Community Monthly Food The terminally ill To empower them Doctor’s referral Smartswitch Countrywide Smartcard 1,229 P20,000,000 Home Based Basket and facilitate with the assistance Botswana Care their healing of a Dietician nutritionally Orphans and Monthly Food Orphan To empower Every Orphan Smartswitch Countrywide Smartcard 32,803 P350,000,000 Vulnerable Basket Assessed and Botswana Vulnerable Child OVC Children recommended School Uniform Vulnerable Child Private Clothing Disability Cash Monthly Food Severe and To empower Assessed and Not yet Not yet Not yet Assessments P20,000,000 Transfer Basket and Cash Profound recommended determined determined determined ongoing PW severe and Transfer Disability PWD profound Disability Program Specific ID Cards 25 6 CONCLUSION T he right to identity and nationality are firmly embedded in the Universal Declaration of Human Rights and the Convention on the Rights of the Child. The possession of an identity is a precondition for full citizenship. The Botswana government has committed through legislation and operations to ensure that people can enjoy these most fundamental rights. The Department of Civil and National Registration in the Ministry of Labour and Home Affairs is responsible for administering the single foundational National Identity Management system based on birth registration. The Government of Botswana has established an organic link between births registration, national registration, and death registration through a unique identifier to ensure that birth registration becomes a credible foundation for identity management beyond serving just as a source of vital statistics, and that death registration marks the end of registration. In order to synchronize the pro- cesses and decision making, one Registrar is responsible for both civil and national registration. In order for individuals to have access to a national ID, they must be citizens of Botswana, born in Botswana, and aged 16 years or over. The national level ID is commonly used for accessing most services. An identity card is a requirement to access numerous services, including: health care; opening a bank account; obtaining credit or loans; reporting to the tax authority; obtaining a marriage certificate; obtaining private health insurance; enrolling in social insurance programs; qualifying for cash transfers, food or other safety net programs, especially those provided by or through government; obtaining a cell phone account; obtaining a passport; getting a drivers’ license; voting in national elections;, registering a vehicle, purchasing property such as a houses, and obtaining tuition assistance for education An inadequate budget and a shortage of skilled manpower are some of the political and economic limitations that affect the government’s ability to imple- ment the ID system. However the resources that are available show a significant commitment on the part of government to CRVS and IDM development and maintenance. The current political commitment and leadership is visible both nationally and locally at councils and among local authorities. 7 WAY FORWARD T he recently completed Comprehensive Assessment of CRVS and ID-M in Botswana has identified gaps and bottlenecks that require remedial action. The Investment Plan based on the assessment and the on-going project on creation of a People Hub will be extensively relied on to further improve Identity Management in Botswana. The use of a formalized Memorandum of Understanding between the MLHA and other user agencies for secure data management and interoperability will facilitate service delivery in numerous programs, especially social protection programs. Botswana has deliberately moved slowly towards creating a People Hub and introducing electronic Identity cards in order to first ensure that data integrity and efficiency of processes for the civil registration and identity management sys- tems are maintained, and also to ensure that the systems are reliable, stable, and dynamic, and not vulnerable to fraud. This is done by ensuring that the registra- tion processes are dynamic and foolproof before proceeding with digitization and that the environment is in fact ready to embrace a full scale population register or People Hub. Rushing into digitization before ensuring that processes are efficient, adequately inclusive, and rigorous, could result in Identity Management Systems that are vulnerable to fraud, with multiple or ghost beneficiaries for social protec- tion programs and other entitlements and services. This could erode trust and con- fidence of the national Identity Management System, and also could result in high implementation costs for various government programs. Botswana was careful to first build robust processes before proceeding with digitization and a People Hub. The 2015–2020 CRVS and Identity Management Investment Plan The following section highlights some of the key elements of the CRVS and Identity Management Investment Plan, which point a way forward for further development of Botswana civil and national registration. 30 The Case Study of Botswana Strategic Impact 3. Standardized and harmonized registration processes Evidence-based decision making that contributes to 4. All systems linked national development and societal transformation 5. Increased usage of national service points towards prosperity for all. 6. Vulnerable groups have access and use of registration services 7. National population register is part of the Strategic Outcomes and Goals e-government system The four CRVS strategic outcomes are: Strategic outcome 2: Availability of disaggregated 1. One lifetime unique identity created and data and indicators for evidence based decision used several times to secure civil rights and making and good governance access to services By 2020 the goal is to provide 95 percent of reliable 2. Availability of disaggregated data and indi- and accurate vital statistical data and indicators derived cators for evidence-based decision making from a civil registration source for evidence-based deci- and good governance sion making. 3. Enhanced service delivery and accountability Key indicators for success are: 4. Institutional excellence 1. Complete and reliable civil registration These outcomes are to be achieved over the 2. Improved civil registration data integrity medium- to long-term period. They are aligned to the and accuracy NDP 10, Vision 2016 and the Africa Programme on 3. CRVS systems are integrated, interoperable Accelerated Improvement on Civil Registration and and fully utilized Vital Statistics (APAI-CRVS). 4. Official statistics are published according to international standards Strategic outcome 1: One legal identity to secure 5. Production and dissemination of an up-to- civil rights for all date Annual Vital Statistics Report gener- By 2020 the goal is to achieve a registration rate of ated from a civil registration source 95 percent for births and deaths, 100 percent for civil marriages and civil divorces, and 95 percent for cus- Strategic outcome 3: Improved service delivery and tomary marriages and divorces. On the basis of the accountability of the state organic link between the births and deaths registra- By 2020, the goal is to provide and account for 95 per- tion, national registration and death registration, and cent of all CRVS services to ensure maximum customer on the achievement of universal registration for all, the satisfaction. country should continue to sustain one identity for Key indicators for success are: all, since an identity is created only once by only one institution for an individual and is used several times 1. Registration points established in rural by agencies in delivering services to the individual. areas (replace with decentralized services to Key indicators for success are: remote and difficult to reach areas) 1. Registration documents issued to all the 2. Integrated planning, implementation and registered coordination structures established 2. All registration processes automated 3. The “People we Serve” are satisfied WAY FORWARD 31 4. Empowered government agencies for evi- Critical Success Factors dence-based decision making and good 1. Collaboration and cooperation by governance stakeholders 2. Enabling laws Strategic outcome 4: Institutional excellence 3. Compliance to international standards By 2020 the goal is for CRVS institutions to be capa- 4. Computerized/Digital processes ble, sustainable and modern. 5. Decentralized Registration points: On-Spot Key indicators for success are: and mobile registration 6. Good coordination structures: Local author- 1. Enabling CRVS legislation passed and ities and Assessment committees implemented 7. Unique identifier/One Identity 2. Performance of CRVS institutions moni- 8. Reliable, timely and Quality data tored and evaluated 3. Skilled staff for new environment 4. Modernized and automated processes as part of the government modernization program 5. Modern, accessible and set standards of office facilities 6. Performance culture is all about the “People we serve” References Africa Programme on Accelerated Improvement of Civil Registration and Vital Statistics (APAI-CRVS) (2012), Second Conference of African Ministers Responsible for Civil Registration Durban, South Africa, E/ECA/CMRCR/2/ EXP/3. Government of Botswana (2010); Botswana’s National e-Government Strategy 2011–2016, Government Printers, Gaborone Yamoussoukro  Declaration (2015), The Third Conference of African Ministers Responsible for Civil Registration-“Promoting the Use of Civil Registration and Vital Statistics (CRVS) in Support of Good Governance in Africa” World Bank Group (2014), Global Civil Registration and Vital Statistics Scaling up Investment Plan 2015–2024, World Bank WHO United Nations Economic and Social Council (2012), Reforming and Improving Civil Registration and Vital Statistics Systems in Africa Regional Medium- Term Plan: 2010–2015, E/ECA/CMRCR/2/EXP/4. Department of Economic and Social Affairs (1998), Handbook on Civil Vital Registration and Statistics Systems Developing Information, Education and Communication, STIESAJSTATISERI169. World Health Organization (2010), Improving the quality and use of birth, death and cause-of-death information: guidance for a standards-based review of coun- try practices, (NLM classification: WA 900). APPENDIX 1: National Registration Act S ection 20 of the National Registration Act Chapter 01:02 emphasizes the security and privacy of data. The following are regulations stipulated in the act. 1. The registrar shall not disclose any information received by him from any application for registration or from any inquiries or investigations made by him in connection with any application for registration. 2. All persons who are employed in carrying out the provisions of this Act shall, subject to the provisions of subsection (3), keep secret and assist in keeping secret any information that comes to their knowledge in the course of the exer- cise of their duties under this Act. 3. No person referred to in subsection (2) shall, except in the exercise of his powers or the performance of his duties under this Act or in obedience to an order of a court:    a. disclose information acquired by him in the exercise of his powers or perfor- mance of his duties; or    b. permit access to any record of information received by a registrar under this Act, to any person who is not an authorized person or to any person other than a person entitled to receive such information in the course of the exer- cise of his duties under this Act. 4. Notwithstanding the previous provisions of this section, the Minister may, by direction in writing, authorize access to information obtained by the Registrar under this Act by specified members of the Departments named in the Schedule. 5. The Minister may, by Order in the Gazette, from time to time, amend the Schedule. 6. Any person who, contrary to the provisions of this section, discloses information acquired by him in the exercise of his powers or the performance of his duties to, or permits access to information or records acquired under this Act by, unau- thorized persons shall be guilty of an offence and liable to a fine of P 1000, in addition to any other disciplinary measures that may be taken against him by his employer. 1818 H Street, NW Washington, DC 20433