Digital Government Readiness Assessment (DGRA) Toolkit V.31 Guidelines for Task Teams April 2020 (Version 3.0) 2 List of Acronyms 4IR Fourth Industrial Revolution Technologies APIs Application Programming Interfaces B2B Business-to-Business B2C Business-to-Consumer CERT Computer Emergency Response Team DAI Digital Adoption Index DE Digital Economy DD Digital Development DECA Digital Economy Country Assessment DGRA Digital Government Readiness Assessment DII Digital Infrastructure Initiative EDU Education EGDI E-Government Development Index G2B Government-to-Business G2G Government to Government G2P Government-to-Person GDP Gross Domestic Product GOV Governance GSMA Global System for Mobile Communications ICT Information Communication Technology ID Digital Identification ID4D Identification for Development Program IFC International Finance Corporation IoT Internet of Things ITU International Telecommunication Union OECD Organisation for Economic Cooperation and Development ODRA Open Data Readiness Assessment PKI Public-Key Infrastructure PPPs Public-Private Partnerships SME Small and Medium Enterprise TA Technical Assistance WBG World Bank Group WEF World Economic Forum 3 Table of Contents I. Overview: Digital Government Readiness Assessment ………………………….p.5 II. Context: Digital Government in Digital Economy ……………………………….p.6 III. Understanding Principles of Digital Government Readiness Assessment ……….p.10 IV. Analytical Framework of Digital Government Readiness Assessment …………..p.12 A. Leadership and Governance ……………………………………………...p.14 B. User-Centered Design ……………………………………………………p.16 C. Public Administration and Change Management ……………………….. p.17 D. Capabilities, Culture and Skills …………………………………………..p.18 E. Technology Infrastructure ………………………………………………..p.19 F. Data Infrastructure, Strategies, and Governance …………………………p.20 G. Cybersecurity, Privacy and Resilience ………………………………….. p.21 H. Legislation and Regulation ……………………………………………… p.21 I. Digital Ecosystem ……………………………………………………….. p.23 V. Suggestions on using Digital Government Readiness Assessment Toolkit ……... p.25 A. Assessment Process and Timeline ………………………………………. p.26 B. Assessment Result Delivery …………………………………………….. p.26 C. Recommendations on the composition of Task Team and Client ………..p.27 List of Figures Figure 1: 9 Pillars of Digital Government Readiness Assessment …………………………………….. p.6 Figure 2: Digital Government Ecosystem in Digital Economy ………………………………………... p.8 Figure 3: Digital Government Readiness Assessment Theory of Change ……………………………... p.12 Figure 4: Dashboard Result of Senegal DGRA …………………………………………………………p.14 Figure 5: Map of DGRA toolkit assessed countries …………………………………………………….p.25 Figure 6: DGRA Process and Timeline …………………………………………………………………p.26 List of Tables Table 1: Assessing Leadership and Governance ………………………………………………………..p.15 Table 2: Assessing User-Centered Design ……………………………………………………………. .p.16 Table 3: Assessing Public Administration and Change Management ………………………………….p.17 Table 4: Assessing Capabilities, Culture and Skills ………………………………………………….. p.18 Table 5: Assessing Technology Infrastructure …………………………………………………………p.19 Table 6: Assessing Data Infrastructure, Strategies, and Governance …………………………………. p.20 Table 7: Assessing Cybersecurity, Privacy and Resilience……………………………………………. p.21 Table 8: Assessing Legislation and Regulation ………………………………………………………...p.22 Table 9: Assessing Digital Ecosystem ………………………………………………………………….p.24 Annex Annex 1: DGRA Excel – Assessment Questionnaire …………………………………………………..p.29 Annex 2: DGRA Excel – Senegal Dashboard Example ………………………………………………..p.35 Annex 3: DGRA Excel – Key Action Plan ……………………………………………………………. p.36 4 Acknowledgement World Bank Digital Government Readiness Assessment V.31 and user guideline has been developed in FY20 by the DGRA core team, Samia Melhem (Lead Digital Development Specialist, Digital Development GP), Youngyun Lee (Consultant, Digital Development GP), Cem Dener (Lead Governance Specialist, Governance GP), Masatake Yamamichi (Digital Development Specialist, Digital Development GP), Marta Lucila Priftis (ET Consultant, Digital Development GP), Seda Pahlavooni (Digital Development Policy Specialist), Oleg Petrov (Senior Digital Development Policy Specialist), Pierre Anselme Gilbert Chrzanowski (Digital Development specialist), Emir Sfaxi (YP, Digital Development GP) . The team benefited from insight from David Satola (Lead Council), Sandra Sargent (Senior Digital Development Specialist), Silvana Kostenbaum (Public Sector Specialist, Governance GP), and Seunghyun Kim (Senior Digital Development Specialist, Digital Development GP). Representatives of several Global Practices helped develop the concept during various review meetings, such as from ETIMT John Wille (lead Private sector development specialist), Prasanna Lal Das (lead knowledge management specialist), Goran Vranic (Senior Private Sector Development Specialist), IFC (Carlo Maria Rossotto), as well as former WBG leads Senior Consultants and Global experts in the topic such as Eduardo Talero, Nagy Hanna and Deepak Bhatia, WBG ITS team have jointly coordinated to develop the online version of DGRA; Yohannes Kebede (Senior IT Officer, Business Analysis, ITS), Chressance Victoire Moche (Consultant, Business Analysis, ITS), Ritesh Sanan (IT Officer, Business Solutions II, ITS), Raghupathi Reddy (Contractor, Cognizant Technology Solutions, ITS). The product was developed under the advisor and support of Jane Treadwell, Practice manager, IDD01. It was financed thanks to a generous grant from the Digital Development Partnership, a multi-donor trust fund hosted under the Digital Development Global Practice. The methodology has been based on the expert input from World Bank staff, consultants and partners; a study of global Digital Government trends conducted by the World Bank for the Ministry of ICT of the Russian Federation; the 2016 “Digital Dividends” World Development Report by the World Bank; published Digital Government strategies, including those of the USA, UK, Estonia, Singapore and South Korea; a review of published digital business assessment literature, including a range of published assessments and surveys by the OECD, McKinsey, Boston Consulting Group, Forrester, Cap Gemini and Accenture; and other literature on digital government and business. Also, it has been based on the experience of the World Bank and others using the Open Data Readiness Assessment methodology in more than 20 different countries and the practical issues faced in getting in-depth and actionable assessment and recommendations in a range of different governmental situations. Currently, at request of Sahel and LAC countries, the DGRA is being translated into French and Spanish. License to use: This work is available under the Creative Commons Attribution 3.0 Unported license (CC BY 3.0) http://creativecommons.org/licenses/by/3.0. Under the Creative Commons Attribution license, you are free to copy, distribute, transmit, and adapt this work, including for commercial purposes, under the following conditions: Attribution: Please cite the work as follows: Digital Government Readiness Assessment Questionnaire, January 2019, Washington, DC. World Bank. License: Creative Commons Attribution CC BY 3.0 5 I. Overview: Digital Government Readiness Assessment (DGRA) Building an innovative, open, agile and accessible digital government is the first and foremost essential foundation of any digital development, including the establishment of a modern digital economy. Government digitization not only increases administrative efficiency but also brings unprecedented ways to bolster balanced economic growth and facilitates active communications with the public. Digital Government Readiness Assessment (“DGRA”) toolkit, a comprehensive diagnostic tool, aims to help governments at all levels in developing countries assess their readiness towards digital transformation. Through both qualitative and quantitative analyses, it identifies strengths and weaknesses of the current digital government status and proposes future-looking action plans to improve and/or develop a comprehensive national ICT strategy. The framework of the Digital Government Readiness Assessment methodology derives from research into international best practices and views of experts in Digital Government. It is comprised of a comprehensive set of 67 questions and delves into nine core foundations that build open and agile digital government’s infrastructure and operations; (i) Leadership & Governance, (ii) User-Centered Design, (iii) Public Administration and Change Management, (iv) Capabilities, Culture and Skills, (v) Technology Infrastructure, (vi) Data Infrastructure, Strategies, and Governance, (vii) Cybersecurity, Privacy and Resilience, (viii) Legislation and Regulation, (ix) Digital Ecosystem. The DGRA toolkit has been piloted in several countries (Myanmar, Vietnam, Lebanon, Kyrgyzstan, Uzbekistan, Senegal, etc.) and facilitated strategic policy dialogues with the respective governments. In November 2019, the DGRA team launched an online version of the toolkit, in collaboration with World Bank ITS, to serve as a database for analytics and visualization of the country’s relative digital readiness contrasted with other countries. It will be applied in French and Spanish versions as well. Digital Government Readiness Assessment (DGRA) Toolkit V.31 Guidelines for Task Teams is intended for the task teams who will engage in policy advice on transforming governments through digitization or assessing digital government readiness for Digital Economy. 6 Figure 2: 9 Pillars of Digital Government Readiness Assessment Source: World Bank DGRA team, 2020 II. Context: Digital Government in Digital Economy How are government leaders around the world adjusting to the new digital era, so as to join the modern Digital Economy? Since the advent of the internet in the mid-1990s, many governments embarked on their digital transformation journey to improve administrative and operational efficiency; thus, introducing the ‘e - Government’ model which mainly focused on putting e-services online through the usage of ICT.1 However, as the growth of consumer digital technology accelerated, citizens have come to expect a higher standard of digital services from their governments. Therefore, an open and accessible government with high-quality digital public services and better digital communication between the government and the public has emerged as an ideal government model for the public. Hence, the traditional paradigm of ‘e -Government’ has been challenged by the ‘Digital Government’ model which aims to create a holistic digital environment and infrastructure for active citizen and business participation. Needless to say, the government’s digital agenda continues to evolve as the global trend and public expectations change. 1OECD (2016), "Digital government", in Broadband Policies for Latin America and the Caribbean: A Digital Economy Toolkit, OECD Publishing, Paris, https://doi.org/10.1787/9789264251823-15-en. 7 Digital Economy was coined by Don Tapscott in his first book ‘The Digital Economy: Promise and Peril in the Age of Networked Intelligence’ in 1995 which explores how the internet impacts businesses.2 When it was first defined in the 90’s, Digital Economy originally pertained to a small sliver of the economy that used digital technologies for business purposes. However, with the explosion of disruptive technologies and consumer connectivity including social media, open data, cloud computing, AI, IoT, etc. in the Fourth Industrial Revolution, the scope of Digital Economy has expanded to almost every industry at a truly global level. As a result, Digital Economy has become a modern economic model that is high on the agenda for many governments around the world. In fact, according to the World Economic Forum, over 60% of global GDP is expected to be digitized by 2022 and an estimated 70% of new economic value for the next decade will be served on digital platforms.3 Leadership of the Digital Agenda (Leadership & Governance) Even though Digital Economy has become a global phenomenon, governments across the world are all at different phases of their digital transformation and have varying priorities on their national agendas towards building a Digital Economy. For example, approximately half of the world’s population is sti ll not connected to the internet, thus not able to participate in the global Digital Economy at all. There is also a large gap between the private sector, which has high ambitions for digitizing their businesses and participating in the global Digital Economy, and the government, which lacks the resources, regulation and skills to support, accelerate and spearhead this growth.4 Hence, building an innovative, open, accessible and agile Digital Government is the first and foremost essential step in establishing and developing a modern digital economy with comprehensive growth. In fact, a top-down configuration and clear prioritization of digital transformation by both political and administrative leadership in Estonia have greatly contributed in creating a transparent and agile digital society, thus a leading digital government powerhouse who ranks as one of the top countries among the UN eGovernment Readiness Index (EGRI).5 2 Kosha Gada.2016. “The Digital Economy In 5 Minutes”. Forbes. https://www.forbes.com/sites/koshagada/2016/06/16/what- is-the-digital-economy/#732499237628 3 World Economic Forum. “Shaping the Future of Digital Economy and New Value Creation”, World Economic Forum Publishing. https://www.weforum.org/platforms/shaping-the-future-of-digital-economy-and-new-value-creation 4 “Delivering Services”. 2016. World Development Report 2016: Digital Dividends. World Bank Group. https://openknowledge.worldbank.org/handle/10986/23347 5 Kati Lehmuskoski. 2019. “Building the Digital Government – Estonia’s Digital Transformation”. eTradeforall. https://etradeforall.org/building-the-digital-government-estonias-digital-transformation/ 8 Figure 2: Digital Government Ecosystem in Digital Economy Source: World Bank DGRA team, 2020 Digital Services & Human Resources (Public Administration Reform & Culture) Building a Digital Government would require significant investments in both administrative and technological functions, as well as human capital. While digital technologies can rapidly improve administrative operations and capabilities such as cash transfer, licensing and registration services, it cannot substitute all the government's operations. Some services that include discretionary tasks or close monitoring require actual human intervention.6 Therefore, the government must also focus on hiring and training individuals for digital skills by creating a culture of innovation and creativity across the administration, while re-orienting the back-office administrative functions optimal for digital delivery. Digital Infrastructure & Government Business Continuity (Technology, Data & Cybersecurity) Another top priority of the government should be the development of shared digital infrastructure with strong cybersecurity and government business continuity management across the public administration and operations. A specific protocol, scenarios to ensure security and recovery of any risks from undefined cyber threats, disasters, pandemic should be prepared. Cloud computing is increasingly seen as a standardized strategic tool by leading digital governments as a way to achieve its goals of agile and fast deployment, as well as data consolidation and efficiency. Also, in order to improve their efficiency and quality in public services, digital governments are improving their ability to collect, analyze and share data using new 6“Delivering Services”. 2016. World Development Report 2016: Digital Dividends. World Bank Group. https://openknowledge.worldbank.org/handle/10986/23347 9 technologies. Lastly, governments must invest in a strong cybersecurity system so that its digital citizens can entrust their data and prevent encroachment of personal data. Digital Legislation & Regulation A digital government necessitates a sound legal and regulatory environment that provisions new laws for data privacy, consumer protection, digital signatures, digital identification, cybersecurity mitigation, etc. These kinds of regulation will also bring transparency to much decision-making on public spending or any e-services such as e-procurement processes that are driven by data in digital government. Also, it will help facilitate an open digital market where both the public and private sectors could co-exist and thrive in a fair manner. In particular, an adoption of Public-Private-Partnership law will encourage private sector participation in digital development and facilitate its knowledge and expertise transferring to the public sector, which, in the long-term, contributes to a balanced economic growth. Digital Public (User-Centric Design & Digital Ecosystem) While the key to creating an accessible and transparent digital government starts with focusing on the needs of citizens, many government authorities fail to prioritize this in their digital government agenda. As the government’s role is to serve the public’s needs regardless of class, gender, race, geographies, etc., it is critical to implement a ‘user-centric design’ principle to the national digital strategy. For instance, creating a mechanism to incorporate feedback from citizens for any e-services will encourage open participation from the public. It has the potential to empower the public voice and engender collective action as it dissolves the barrier between the government and the public and connects each other in unprecedented ways.7 Ultimately, an open participation and discussion among the citizens, private sector, civil society and academia in the public digital ecosystem will not only boost innovation, education and entrepreneurship, but also contribute to the modern digital economy. According to a McKinsey study,8 capturing the full benefit of the digital government can free up US$1 trillion economic value per year through improved cost and operations. In spite of the benefits, often, the governments fail to leverage the full advantage of digitization. In order for the governments to take their digital transformation to a deeper and more comprehensive level, the World Bank DGRA team has developed a methodology that collaboratively assesses the current digital government status and proposes action-oriented recommendations to move forward with the digital government agenda. 7 “Delivering Services”. 2016. World Development Report 2016: Digital Dividends. World Bank Group. https://openknowledge.worldbank.org/handle/10986/23347 8 Cem Dilmegani,. B. Korkmaz,. and M. Lundqvist. 2014. “Public-sector digitization: The trillion-dollar challenge”. McKinsey Digital. https://www.mckinsey.com/business-functions/mckinsey-digital/our-insights/public-sector-digitization-the-trillion- dollar-challenge# 10 III. Understanding Principles of Digital Government Readiness Assessment The Digital Government Readiness Assessment process is designed around the following principles: • The assessment is intended to help generate shared understanding and consensus among key stakeholders about government priorities and constraints of their digital transformation journey. The toolkit offers a holistic and comprehensive view of digital government. It would investigate into a wide spectrum of the government’s digital ecosystem, starting from the leadership and governance assessment to shared digital infrastructure for the enhancement of government performance and public services. The direct participation of key officials and other stakeholders is a key part of the process. • The assessment is conducted through a collaborative partnership between the client government and the World Bank. The objective is to assist clients identify and plan strategic actions to maximize its operation efficiency and citizen satisfaction through the usage of digital business techniques as well as to deepen the understanding and knowledge of the key officials who will lead the digital change. • Inclusive and harmonized processing, using the toolkit as a guideline, is as much as critical as completing the final reporting requirements. Due attention should be given to make the process inclusive and reflective, to generate ownership and consensus, and to raise awareness of current situation and commitment to priority areas. • The assessment is not intended to rank the governments. The purpose of the assessment is to diagnose the government’s digital transformation and to provide action-oriented recommendations. Questions are expected to be answered by yes/no/absent/non-applicable and to score the response on a scale of 1- 3 to further analyze the maturity level of the development which enables to easily identify strengths and weaknesses. • The categories or pillars of digital government development covered by the assessment are interdependent. An innovative, open and agile digital government is built when all the pillars in the assessment are connected as one digital ecosystem. The nine sections in the assessment include leadership and governance; capabilities, culture and skills; user focus; public administration and change management; data infrastructure; technology infrastructure; cybersecurity, privacy and resilience; legislation and regulation; and digital ecosystem. The section starts with the most comprehensive and least technical topics and ends with the most specific and most technical ones. • To produce a high-quality outcome of the assessment, seeking the appropriate participants for each section would be critical. The scope of stakeholders’ participation along the assessment process is expected to vary by category. The Leadership and Governance assessment section requires the broadest and most diverse number of participants mainly from the whole of government stakeholders, core agencies such as Finance and Public Administration who are drivers and authorizers of government performance improvements and reforms. On the other hand, assessing shared infrastructure will require limited participation of agencies with specialized expertise, led by the Ministry of ICT. Privacy issues would require participation by civil society organizations, media, legal, etc. Data driven assessment category would involve the ministry of Planning, Finance, Economy, statistical offices, researchers, and NGOs, among others. It is also recommended to engage with stakeholders from the private sector, civil society, parliament and academia to enrich the information and collect diverse perspectives. 11 • The final analysis of the assessment could be used in several other projects and cases as necessary. Ideally, this assessment is not a one-time exercise but a continuing exercise. It should be used as an input to analyze the strengths, weaknesses, opportunities, and threats (SWOT) of a government transformation process and thus to develop a national vision and strategy of the digital government. It can also be used as a quick diagnosis tool to develop recommendations for specific strategic future actions, and to prepare World Bank-funded technical assistance or lending operation. • A quick stakeholder mapping or analysis prior to the actual engagement helps to identify the influential participants and to invite a balance of various stakeholders from different sectors . This process would also later help during assessments to create a coalition among the stakeholders and governments on their vision and strategy towards digital transformation. Limiting participation to certain sector groups of people, such as inviting only government officials or technicians, or private sector businesses or academia, should be avoided. • The assessment process is intended to raise awareness of the digital transformation process, not just to collect information and evidence from the client. Periodic communications with the clients prior to the actual assessment help the clients to familiarize knowledge of the digital transformation agenda. Early knowledge sharing with the key officials and stakeholders would result in receiving a better quality of information and evidence during the assessment process as well as deepening the official’s understanding of the final assessment report. • Assessing the evidence of actual implementation or practices of the strategy, policy or regulation is critical rather than seeking those in documented form only. 12 IV. Analytical Framework of Digital Government Readiness Assessment The framework of Digital Government Readiness Assessment methodology derives from the research into international best practices and views of experts in Digital Government. Research and information collection from the experts were first conducted in 2016 as part of the production of ‘Digital Government in Russia 2020’, the World Bank report. Since then, the toolkit has evolved into a more concrete and comprehensive assessment tool that can be applied to any developing countries. The toolkit has provided opportunities to diagnose country-specific digital government strategies and programs that can be subsequently financed by the World Bank and other development partners. It builds upon and connects other analytical tools that have been developed by the Digital Development unit such as the Digital Economy Country Assessment (DECA) tool by DD; Digital Infrastructure Initiative (DII) assessment tool by DD/IFC; Open Data Readiness Assessment (ODRA) by DD/DEC, and a few others. Figure 3: Digital Government Readiness Assessment Theory of Change THEORY OF CHANGE Government’s DGRA Digital Transformation Offering Outcome Impact Capacity/Knowledge Gap Lack of awareness about the Define and identify Short-term Enhance communications opportunities of digital priority areas for digital Improved government measures between government government development service delivery government and citizens Lack of capacity and Digital government pillar Increased citizens Active integration of client knowledge to build digital diagnostic to assess engagement countries to global digital government so as to join strength and weakness economy Enhanced ICT enabling digital economy environment for Identification of ICT Reduce digital divide government development Lack of information on policy maturity between cities, gender and and regulatory for enabling Enhanced ICT enabling rural population ICT environment Consultation with environment for private stakeholders on national sectors Sustainable economic digital government growth of client countries strategy Mid-term Increased Bank’s Enhance social Perform gap analysis investments and donor empowerment of citizens funding Capacity building to key officials Strengthened collaboration between client countries Stakeholder workshops/seminars on Long-term recommendations and Enhanced capacity to best practices develop & execute national ICT strategies Linkage to relevant lending/TA projects The assessment takes into account the rising use of data by government and citizens, the increasing availability of big data generated from various sources, and the prevalence of networks and artificial 13 intelligence and analytics tools so governments become data-driven and smart in delivering services, developing policies, and making decisions. It is also the objective of the toolkit to nudge and encourage the users in their search and adoption of best practices and their adaptation to the local context. Put differently, the toolkit is organized around the key principles of openness and engagement; governance and cohesive approaches to deliver services; and capabilities to implement. To be specific, the DGRA toolkit V.30 reflects the following emerging best practices in applying digital technologies to governments: • Adopting a whole of government approach • Taking a user-centric approach to service design and implementation • Developing integrated multi-channel delivery • Leveraging the mobile channel; designing services for scale and sustainability • Mobilizing demand for good governance and e-service adoption • Promoting collaboration and shared infrastructures, platforms, and processes • Building capabilities, skills and culture for innovation and continuous improvement • Addressing cyber security, privacy, and resilience • Adopting legislation and regulation • Understanding the existing digital ecosystem A total of 67 assessment questions are phrased in simple and clear form, and are divided in nine different sections that are the foundations of digital government: (i) Leadership & Governance, (ii) User-Centered Design, (iii) Public Administration and Change Management, (iv) Capabilities, Culture and Skills, (v) Technology Infrastructure, (vi) Data Infrastructure, Strategies, and Governance, (vii) Cybersecurity, Privacy and Resilience, (viii) Legislation and Regulation, (ix) Digital Ecosystem. The toolkit allows both qualitative and quantitative result analysis. Responses are required to the questions in each section with the following options: YES/NO/Absent/Non-Applicable (Absent = no information available in the assessment, Non-Applicable = not applicable question for the client country) The qualitative analysis will be delivered mainly through the assessment report which is based on the responses, the comments provided from the clients, and further expert views or research. Meanwhile, quantitative analysis of the Digital Government Readiness Assessment, particularly visualized charts in the dashboard sheet, help clients to easily identify the strengths and weaknesses of the current digital government development status. While 'YES' data highlights the strengths and continued development opportunities, the 'NO' and 'Absent’ data allows the task team to prioritize the areas of required advancement and easily flag the needs of in-depth future engagements. 14 Figure 4: Senegal DGRA Dashboard Result Source: World Bank DGRA team, 2020 It is based on the score weighing of the responses from the main 67 questions, excluding branch questions. For each question with 'YES' responses among the main 67 questions, it is required to answer in a scale of 1 - 3 in order to provide a more gradient view of the extent of development, coverage, completeness of work, maturity of capabilities, awareness levels, readiness of platform, etc. (3= Highly developed and aware, 2 =Moderately developed and aware, 1= Less developed and aware, 0 = 'NO', 'Absent') A. Leadership and Governance Digital government transformation comes with the need for adjustments including legal, institutional, technological, and cultural changes. Therefore, high-level political commitment is critical in helping the government make necessary reforms in a timely and effective manner. Leading countries in digital government have proven themselves to have strong political leadership, clear vision and strategy, effective governance and organizational structure, and secured funding resources. Governments should lay out a clear vision statement in their digital strategy that encourages policy makers to link the government-wide digital transformation vision with broader public-sector reform and innovation to secure commitment of political leadership, promote ministerial level coordination, and facilitate engagement of relevant agencies. In that regard, it would be beneficial to collaborate with the 15 World Bank Governance Global Practice and other relevant teams to produce a more realistic and effective assessment. Leadership and Governance section investigates strategies, roadmaps as well as organizational and governance structure for digital transformation. The leadership and governance aspect estimates the likelihood of successful digital transformation. Stakeholders holders may involve digital government agency leaders, Public Sector CIOs, President's office, Prime Minister's office, Steering Committees, Ministries of Finance/ Planning/Public Administration, Parliamentarians, Private sector associations, Civil Society Organizations, Academia, etc. Table 1: Assessing Leadership and Governance Leadership & Governance (9 Main Questions, 10 Branch•Sub Questions) • Does the government have a vision for digital transformation? - If Yes, is there a digital government strategy linked to the national development agenda and aligned with national priorities? • Are there specific, measurable, and achievable goals towards digital transformation across the various sectors? - If Yes, are these goals aligned with the SDGs? Please describe which SDG Goals are covered under the digital transformation strategy. • Is there a clear implementation roadmap that supports the digital government strategy? - If Yes, are there any key performance indicators for measuring implementation of the digital government strategy? - If yes, do these indicators cover the transformation’s socio -economic as well as environmental impacts? • Is there a permanent government entity (Ministry, Authority, Agency, Department, etc.) that owns, maintains, facilitates, and coordinates the development and implementation of the digital government strategy? - If Yes, does this entity have an official mandate with a clear operating model (people, processes, technology, and governance construct) to succeed? • Are the other government entities effectively structured and staffed to work with the permanent digital government entity on their entity's and the whole-of-government digital transformation? - If Yes, Are there any entity engagement programs with incentives in place for this collaboration? • Do government officials (e.g., Ministers, Under-Secretaries, Departments Heads, etc.) understand and support the vision of digital government? - If Yes, are non-government stakeholders (such as the private sector, civil society, academia, etc.) consulted about the digital government strategy development? • Is the government's vision/digital government strategy communicated well? Please describe the communication processes and mechanisms used. • Is there sustainable funding to support and implement the digital government strategy, based on the endorsement of the country's top leadership? - If Yes, Is there a dedicated budget line for the digital transformation? - If Yes, Is the budget tied to a) KPIs and results; b) cross-agency collaboration; c) maintenance and operations; d) other? Please describe in the comment. 16 • Are government ICT procurement procedures being followed for digital government expenditures? - If Yes, is there a central procurement authority for ICT procurement and asset management? B. User-Centered Design ‘User-Centered Design’, with the focus on the user’s needs, is the fundamental principle of digital government. While the key to creating an accessible and transparent digital government starts with focusing on the needs of citizens, many government authorities fail to prioritize this in their digital government agenda. As the government’s role is to serve the public’s needs regardless of class, gender, race, geographies, etc., it is critical to implement a ‘user-centric design’ principle to the national digital strategy. User-Centered Design section examines the consultation and participation of users in the design and development of government digital services or e-services, across all user groups including civilians, businesses, and government employees Stakeholders may involve both supply (public administration and modernization employees) and the demand (population, businesses). The Human Centered design methodology is an example of such a participatory approach for public service modernization. To ensure a comprehensive representation of all users, present, and potential, the interviewers should consult on this section with NGOs and social intermediaries. Guidance from CMU staff is key to identify and target the relevant users to interview in this section of the survey. Table 2: Assessing User-Centered Design User-Centered Design (8 Main Questions, 3 Branch•Sub Questions) • Is the digital government strategy based on a user-centered design of public e-Services (with user covering the following categories: citizens, businesses, government employees, government entities)? Please describe how the user-centered approach is followed in the comment box. • Are there guiding principles established to define the design and implementation of digital or e-Services for each user category (e.g. business friendly fundamentals, life event alignment, transparent reporting and data accessibility, personalization features, etc.)? • Are users invited to participate in design, test and use of new digital or e- Services? - If Yes, are there guidelines in place for government entities to facilitate and maintain this participation? • Is there an integrated multi-channel approach to deliver and promote the digital or e- Services (Online Portal, Mobile, etc.)? • Is there an outreach/marketing strategy and plan to promote digital or e- Services' uptake across all available channels? Please describe the actors, partners, leaders and the processes. • Are government digital or e-Services made accessible to all, taking account of location, connectivity, gender, skills, affordability and disabilities (or special needs)? - If Yes, Are government digital or e-Services compliant with appropriate accessibility standards (e.g. WAI, WCAG)? 17 • Is there a process and mechanism to accommodate users' feedback for improving the online user-interface? - Is there a process and mechanism for online services delivery? • Is civil society and/or the private sector regularly engaged in a consultative process to inform the user- centered digital or e-Services design, particularly for rural users and those with special needs or disabilities? C. Public Administration and Change Management Digital government initiatives are also about re-engineering the back-office processes to digitize the entire workflow and to automate routine processing. Whereas previous phases of e-government have been based on existing business processes, digital government looks to transform the public administration processes so that they are optimized for digital delivery. Public Administration and Change Management section examines the public administration reforms for digital transformation. This is often the most neglected aspect of digital transformation and can determine the program's success. Stakeholders may involve agencies in charge of reform or civil service modernization. There may be an articulated system (matrix-based) to implement the change. If so, try to orient the questions around understanding the system and the processes of change management around it. To include users on some of the questions, a visit to a government services kiosk/desk is recommended for the team. Table 3: Assessing Public Administration and Change Management Public Administration and Change Management (6 Main Questions, 4 Branch•Sub Questions) • Does the government have an administrative reform or modernization strategy that can support the digital transformation agenda? - If Yes, is this strategy officially endorsed and put into implementation? - If Yes, is there ownership and support of this strategy in the government? • Did the government follow any standard procedures to simplify, digitalize, and optimize government services (e.g. ISO 9000 certification, use of feedback mechanisms, etc.)? • Is cross-government referential data (e.g. Personal ID, Business registry, Land database, Non-Movable assets registries) consistently shared electronically across agencies? • Has a government-wide catalogue of services been developed (e.g. including for each service a brief description, its fulfillment requirements, concerned government entities, associated forms to fill, duration for completion and associated fee)? • Is Government using any management information systems (such as: IFMIS, e-Procurement, HRMIS, Tax MIS, Trade Facilitation, e-Business, Education MIS, Health MIS, Land management MIS, Transport MIS, or Others)? - If Yes, Is there a -Services Transformation Toolkit based on the administrative reform or modernization strategy and enabled by the digital government strategy, with clear services modernization and integration standards and work activities to follow? 18 • Does the government invest in change management practices (training, skills, culture, knowledge, HR, etc.) towards digital transformation? - If Yes, Is there a change management office in charge of the implementation within the government? D. Capabilities, Culture and Skills Governments must focus on hiring highly-skilled individuals with technical and administrative capabilities as well as training individuals for digital skills, while creating a culture of innovation and creativity across the administration and re-orienting back-office administrative and technological functions optimal for digital delivery. Leading governments have found that some of their existing cultures and skills are not only unsuitable but, in some cases, inimical to digital transformation. While digital technologies can rapidly improve administrative operations and capabilities, they cannot substitute all of the government's operations. Some services that include discretionary tasks or close monitoring require actual human intervention. Capabilities, Culture and Skills section investigates the human capital readiness within the government for digital government domain experts and practitioners (internal and contractors), as well as administration business specialists. Categorizing civil servants by profile and skill is key. It is essential to identify key indicators such as certification and accreditation. Training is also required ranging from program management, infrastructure and application operations, database management, data analysis, customer/call center service, etc. Table 4: Assessing Capabilities, Culture and Skills Capabilities, Culture and Skills (7 Main Questions, 4 Branch•Sub Questions) • Is there a clear view on the digital government capabilities requirements, both business and technical, across the government to support realization of the digital transformation agenda? • Does the government have enough skilled, qualified staff (with business and technical capabilities) to deliver on the digital government transformation strategy? • Is there targeted internal digital education and training at all levels of government (central and local included)? - Is there a Digital government Center of Excellence or Academy to own and deliver such programs? • Are there clear career paths for government staff with digital government business and technical qualifications? - Does the government have a tactic for keeping these staff from moving to the private sector? • Can the government access new specialized talent from local universities or industries for specific projects in the digital transformation plan? • Is the government open to outsourcing digital government enabling functions to the local private sector? - Have any such arrangements materialized over recent years? • Is there a culture of collaboration around themes or projects amongst civil service staff in the government? - Are there knowledge-based communities of practice inside the administration on digital technologies? 19 E. Technology Infrastructure Rather than investing in application-specific facilities, leaders in digital government look to use increasingly standardized technology infrastructure components including public infrastructure. Use of cloud computing is seen as a strategic tool to achieve the flexible and fast deployment and elastic continuing capacity needed to meet digital government goals, as well as a form of data center consolidation or server efficiency. Technology Infrastructure section examines the common technology infrastructure standards, designs and implementations put in place or planned for the digital government, either by the government alone or in partnership with the private sector. Stakeholders may involve the Ministry of ICT (EA, Interoperability), ICT Agencies, Ministry of Finance, private sector ICT players, academia / specialized institutes, etc. Table 5: Assessing Technology Infrastructure Technology Infrastructure (10 Main Questions, 4 Branch•Sub Questions) • Has a whole-of-government Enterprise Architecture (covering infrastructure, data, integration, application, presentation, operations and security dimensions) been developed for the digital government program? • Have the government developed an e-Government Interoperability Framework or other MetaData Framework with mandatory standards for each government entity's systems? • Has the government designed and deployed an Enterprise Service Bus (ESB) construct for integrating various data sources to the many services applications? - Have standardized Application Programming Interfaces (APIs) been developed for applications or online services? • Has the government designed and deployed a secure Government-wide digital network that connects all entities (at the national and local levels) to share services and data through a secure Data Center hub? • Does the government use Disruptive technologies such as Cloud services, IoT, Blockchain or AI - or is it open to the idea of doing so? • Have core government services applications been developed? - Have government document management or correspondence management applications been developed? • Are these applications re-usable to benefit all government entities? • Is there a common digital government portal that acts as the front-end interface for all planned digital or e- Services? - Does this portal support mobile government applications? • Does the government have a contact center to address inquiries on government services or to document complaints from the various user groups? - Is there a hotline number for this contact center? • Has the government developed guidelines for ICT/digital operations good practices for both basic and advanced civil service users? 20 F. Data Infrastructure, Strategies, and Governance Digital government relies to a great extent on data-driven activities. The ability to collect, store, analyze, and share data using emerging technologies is critical to improve service delivery. Available data can be used to improve decision-making and lead to enhanced efficiencies and generate external benefits. Leading countries in this area have established national “basic data registers” that enable government organizations to use and share a set of standardized data for greater effectiveness. This section examines the government data, its accessibility, structure, currency and associated exchange standards, protocols, and policies. Stakeholders may involve the National Statistics Office, Digital government and innovation teams, Ministries of Finance, Interior, Economy, Trade, Planning, Transport and other key agencies. Differentiate between data used by government for service delivery (of relevance to this assessment) and data used by the private sector. Engagement with CSOs, NGOs and private sector representatives, especially on the Open Data questions, is recommended. Table 6: Assessing Data Infrastructure, Strategies, and Governance Data Infrastructure, Strategies, and Governance (8 Main Questions, 5 Branch•Sub Questions) • Does the government have a data management strategy (collection, storage, sharing and re-use strategy)? - If Yes, is it being implemented? • Has the government defined, digitized and shared a set of "basic data registers"? - If Yes, do these include a) People; b) Businesses; c) Land; d) Vehicles; e) Non-Movable assets f) Chart of account or g) Other registers? - If Yes, for each basic register, has the government defined institutional responsibilities for the operation, update, and sharing of the register's data? • Are all government entities legally required to use "basic data registers" (Y) or do they still collect and hold their own data? (N) • Does government have Data Sharing Agreements or Data Exchange Protocols with any third party? • Has a National Spatial Data Infrastructure (SDI) been defined? - If Yes, is a common GIS platform being used? Please list all agencies using it and the applications they use it for. • Is Government using AI, Big Data and Analytics for better decision making? • Is the country member of the Open Government Partnership - If Yes, is government pro-actively publishing open datasets and encouraging their use? • Has government or the private sector benefited from the available government datasets for economic development or other national development agendas? 21 G. Cybersecurity, Privacy and Resilience Security and government business continuity management are vital elements of the digital transformation process. A specific protocol, scenarios to ensure security and recovery of any risks from undefined cyber threats, disasters, etc., should be prepared. And leading experts commonly find that public trust towards the use of digital public services is crucial when building a digital government. Governments must invest in a robust and reliable cybersecurity system so that its digital citizens can entrust their data, and governments must prevent domestic or foreign encroachment of personal information. Cybersecurity, Privacy and Resilience section looks into measures in place or plans to ensure cybersecurity, privacy, authenticity, integrity, and resilience of digital government transactions. Stakeholders may involve the National Cyber Security centers, National Critical Infrastructure Agencies, Ministries of Interior, Justice, and Defense. Table 7: Assessing Cybersecurity, Privacy and Resilience Cybersecurity, Privacy and Resilience (4 Main Questions, 3 Branch Questions) • Has the government developed a cyber security strategy and policy document? • Has the government established a Cyber Security unit or center within a core entity to manage and maintain security of all digital assets and platforms? - If Yes, Are there government entity cyber security functions established and staffed? • Is there a Computer Emergency Response Team (CERT) capability in the government? - Does the government collaborate with regional and international governments or organizations to share information on and mitigate cyber threats or risks? • Does the government have a National Critical Infrastructure Protection Plan? - If Yes, does it include digital government infrastructures, platforms, and services? Legislation and Regulation A digital government necessitates a sound legal and regulatory environment that provisions new laws for data privacy, consumer protection, digital signatures, digital identification, cybersecurity mitigation, etc. These kinds of regulations will also bring transparency to much decision-making on public spending or any e-services such as e-procurement processes that are driven by data. Also, it will help facilitate an open digital market where both the public and private sectors could co-exist and transact in a fair manner. An adoption of a Public-Private-Partnership law will encourage private sector participation in digital development and the sharing of its knowledge and expertise with the public sector, contributing, in the long term, to balanced economic growth. Legislation and Regulation section examines enabling legislation and regulation in support of digital government and digital economy. 22 Stakeholders may involve the Ministries of Finance, Economy & Trade, Interior, Justice, Defense, Parliament and its special legislative committees. Table 8: Assessing Legislation and Regulation Legislation and Regulation (8 Main Questions, 8 Branch•Sub Questions) • Has a *Data Protection law been enacted that includes the following minimum elements? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *Data Protection Law 1. Legitimate: Personal Data shall be Processed for legitimate purposes and in a fair and transparent manner in accordance with this Policy. 2. Purpose Limitation and Data Minimization: Personal Data shall be collected for one or more specific and legitimate purpose(s) and not further processed in a manner that is incompatible with the original purpose(s) for which it was collected; 3. Data Accuracy: Personal Data shall be recorded as accurately as possible and, where necessary, updated to ensure it fulfills the legitimate purpose(s) for which it is processed. 4. Storage Limitation: Personal Data shall be kept in a form which permits identification of individuals only so long as necessary for the fulfillment of the purposes for which it was collected or for compatible further processing in accordance with this Policy. 5. Security: Personal Data shall be protected by appropriate technical and organizational safeguards against unauthorized Processing and against accidental loss, destruction or damage. 6. Transfer of Personal Data: Personal Data shall only be transferred to third parties for legitimate purposes and with appropriate regard for the protection of Personal Data. 7. Accountability and Review: Provides individuals with mechanisms, subject to reasonable limitations and conditions, to: a. request information regarding the individual’s Personal Data Processed by a data processor; and b. seeks redress if individual reasonably believes that individual’s Personal Data has been Processed in violation of the Policy • Has a Digital Transactions or e-Commerce law been enacted that includes the following minimum? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *For Example, does Digital Transactions or e-Commerce law grant legal equivalence to: • Electronic signatures (if not, indicate whether a separate electronic or digital signature law has been enacted) • Electronic documents/records • Electronic contracts • Has Digital Identification legislation been passed that includes the following *minimum elements? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *Minimum elements of Digital Identification legislation: • Universal • Non-discriminatory • It assigns a unique, random ID number • Mandates technological neutrality and interoperability between databases • Provides safeguards re data protection • Has Consumer Protection legislation been enhanced to cover e-Commerce and e-Payments and which includes the following *minimum protection elements? - If Yes, is this legislation enhancement part of a stand-alone Consumer Protection law or the Digital Transactions or e-Commerce law? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *Minimum protection elements: • product or service liability 23 • non-competitive pricing schemes, • unfair business practices, • fraud, • misrepresentation • Has a Cyber Crime law been enacted (or provision in the Criminal Code) that includes the following *minimum criminalization elements? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *Minimum criminalization elements: • Unauthorized access to computer systems • Unauthorized monitoring of data • Unauthorized alteration of data • Unauthorized interference with computer systems • Content-related offenses • Financial Crimes • Cyberstalking • Has the government passed legislation to support "Open Access to government Information" (Open data or the like) that includes the following*minimum provisions? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *Minimum provisions: • government information should be available to the pub lic • necessary exceptions to the right of access should be limited and specific, and • decisions on the disclosure of government information should be reviewed independently of government . • Has a *Public-Private-Partnership (PPP) law been enacted that advances as a minimum the following principles? - If subsidiary legislation (regulations, decrees, etc.) is required to implement primary legislation, has it been formally published? *Principles of PPP law: • encouraging private sector participation in the development of projects which serve national socio -economic development • enabling the public sector to implement its projects efficiently and effectively • taking advantage of the financial, operational and technical expertise of the private sector • enabling the public sector to obtain the best services at the optimal cost, while creating national jobs • transferring knowledge and expertise from the private sector to the public sector • reducing or sharing with the private sector the public sector financial burdens and risks, and • increasing competition for the projects in the local, regional and global markets. • Are legacy legislation and regulations in all government service sectors (i.e. in the non digital sphere) being amended to enable digital transactions and accommodate new digital and business civil service capabilities based on a government policy proclamation? H. Digital Ecosystem Digital Government can empower the public voice and engender collective action as it dissolves the barrier between the government and the public and connects each other in unprecedented ways. Ultimately, an open participation and discussion among the citizens, private sector, civil society and 24 academia in the digital ecosystem will not only boost innovation, education and entrepreneurship, but also contribute to the development of a modern digital economy. Digital Ecosystem section examines contributing institutions and individuals outside of the government that can support the digital government agenda and its implementation. Stakeholders may involve the National Universities, Specialized Institutions, Innovation, and Entrepreneurship Centers, Private Sector, Civil Society and Development Foundations, Banks and Investment Institutions. Table 9: Assessing Digital Ecosystem Digital Ecosystem (7 Main Questions, 5 Branch•Sub Questions) • Are there national universities or institutes that offer majors and programs in digital business and technology? • Are there innovation hubs and startup accelerator programs to promote and support innovations? - If Yes Are there nation-wide innovation competition and award programs? - If Yes, Does the government provide any incentives to these centers or hubs? • Are there established training institutes that offer courses on leading business and technology topics (e.g. agile services, cloud, IoT, AI, data analytics, etc.)? • Is there an international private sector partner ready and willing to support the government through partnership arrangements in the digital government journey? - If Yes are these formalized with either of a) Academia, b) Business, c) Civil Society Organization D) Other • Have partnerships been formalized with local private sector operators in support of digital government and digital economy? - If Yes, are these formalized with either of a) Academia, b) Business, c) Civil Society Organization D) Other • Are civil society and other foundation establishments active in national development activities, particularly in underserved rural areas? - If Yes, can they be an active participant in the digital government agenda? • Are national banks and investment institutions supporting the digital agenda, for government or other sectors, in the country? 25 VII. Suggestions on Using Digital Government Readiness Assessment The DGRA toolkit has been piloted in several countries and facilitated strategic policy dialogues with the respective governments since 2016. In FY20, the DGRA team launched an online version of the DGRA toolkit,9 in collaboration with ITS, which serves as a database for analytics and visualization of the country’s relative digital readiness contrasted with other countries. And completed inputting assessments of 12 countries (Lebanon, Senegal, Uzbekistan, Kyrgyzstan, Vietnam, Myanmar, Cambodia, Tunisia, Serbia, Moldova, Burkina Faso, and West Bank and Gaza) in the current database through data mining from official documents and actual field operations. The range of countries and region conducting the assessment is continuously increasing. Figure 5: Map of DGRA toolkit assessed countries Suggestions on Using Digital Government Readiness Assessment, the last section of the DGRA guideline, gives a practical guidance on the usage of the assessment that can be helpful to the task team. A. Assessment Process and Timeline Given the constraints of internet access in some client countries, DGRA Excel file is highly recommended for the assessment. The DGRA online tool can be used to produce comparison countries data through the 9 DGRA online tool information: • FURL: dgratool/ • For access grant, contact ylee18@worldbank.org (Youngyun Lee, Consultant) 26 dashboard for the delivery report. Figure 5 indicates recommended assessment process and timeline, and it can be utilized as a checklist. Figure 6: DGRA Process and Timeline B. Assessment Result Delivery The form and content of the Digital Government Readiness Assessment output will be agreed with the client before the assessment is conducted. Here are the following output options: o Assessment Report Assessment report of 30-50 pages may include following contents: • Executive Summary • Summary of the DGRA process • Analyses of the nine dimensions of DGRA - Analyses of the evidence - An assessment of current status against international best practice - Recommendation to address capability shortfalls and opportunities 27 • Narrative summary of the findings and conclusions, including an overall assessment of Digital Government maturity • Schematic representation of all the recommendations o Assessment Briefing Mission Presentation • DGRA briefing presentation and Q&A session could be held with the client stakeholders and prospective interviewees at the beginning of the assessment mission. Contents may comprise of the following: - What is Digital Government? - What are the key drivers of Digital Government among leading countries? - How does Digital Government impact the Digital Economy? - Why have traditional e-Government programs been insufficient? - How is the World Bank Digital Government Readiness Assessment conducted? o Quick Diagnosis Results using DGRA Excel Sheets • Assessment, Dashboard, Key Action Plan sheets o Result Delivery Mission Presentations and Report • Presentation on the results of the Assessment could be delivered to the client stakeholders during Delivery Mission. • Digital Government Strategic Visioning workshop for key stakeholders during a Delivery Mission could be held in order to form an initial consensus on the following: - The government’s vision on how Digital Government should be strategized for different tiers; citizens, businesses, and the government itself - Specific benefits of Digital Government program to the government - Key strategies and actions of Digital Government development • Digital Government action planning workshop(s) during Result Delivery Mission - Interactive discussion and action planning session with client government officials and other stakeholders could be held - A series of workshops to discuss on the findings of the Assessment could be scheduled with the clients. Possibly, a separate series of workshops to study relevant policies and technical operations could be included too. o Aide Memoire report of Result Delivery Mission Contents may include: • Activities undertaken • Main points made in discussion of the report • Actions agreed • Agreements on future projects with the World Bank C. Recommendations on the composition of Task Team and Client o The World Bank team on the Assessment itself may include: • Lead senior international consultant 28 • International consultant/senior local national consultant • Specialist ICT infrastructure/cybersecurity consultant • Junior consultant/analyst o The World Bank team on the Mission may include: • Task Team Leader • Other specialists and consultants for Delivery Mission presentations/workshops as needed o The client government may include: • Counterpart team leader: preferably the senior official whose role will lead or manage the implementation of Digital Government should the government decide to proceed • The Government CIO or an empowered deputy • Policy officer/support analyst responsible for obtaining background information and evidence for the team • Logistics officer(s) responsible for organizing team logistics locally and arranging necessary meetings with relevant people in relevant Ministries • Communication officer responsible for publicity and events o The interviewee list (client) for the Assessment may include: • Client team leader: preferably the senior official whose role will lead or manage the implementation of Digital Government should the government decide to proceed • The Government CIO or an empowered deputy • Policy officer/support analyst responsible for obtaining background information and evidence for the team • Representatives in ICT industry private sect Annex 1. DGRA EXCEL – ASSESSMENT QUESTIONNAIRE 31 33 34 35 ANNEX 2. DGRA EXCEL – SENEGAL ‘DASHBOARD’ EXAMPLE ANNEX 3. DGRA EXCEL – KEY ACTION PLAN